Defendant Name:
Voya Financial Advisors, Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
2018-213
Document Details
Legal Case Name
In the Matter of Voya Financial Advisors, Inc.
Document Name
SEC Charges Firm with Deficient Cybersecurity Procedures
Document Date
26-Sep-2018
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
The Commission stated that: "The Securities and Exchange Commission today announced that a Des Moines-based broker-dealer and investment adviser has agreed to pay $1 million to settle charges related to its failures in cybersecurity policies and procedures surrounding a cyber intrusion that compromised personal information of thousands of customers."
Disgorgement & Penalty Information
Resolutions
Censured
Compliance Related Independent Consultant
Monetary Penalties:
Civil Penalty
Individual:
$1,000,000.00
Shared: