SEC
Whistleblower
Attorneys

September 26, 2018

Voya Financial Advisors, Inc.

Trading and Pricing

SANCTION AMOUNT: $1000000

Defendants: Voya Financial Advisors, Inc.

Des Moines-based broker-dealer and investment adviser Voya Financial Advisors Inc. agreed to settle charges relating to failures in cybersecurity policies and procedures surrounding a cyber intrusion.

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