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Articles Posted in Voya Financial Advisors

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Silver Law Group Files Securities Arbitration Claim Against Voya Financial Advisors and IFS Securities Regarding James Flynn

Silver Law Group has filed a FINRA arbitration claim against IFS Securities and Voya Financial Advisors, Inc., two firms that employed Greenville, South Carolina-based broker James T. Flynn (CRD# 3082615). In the securities arbitration complaint, the Claimant alleges that she entrusted Flynn with a significant amount of money to manage…

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Silver Law Group is Investigating Former Broker James T. Flynn

According to Flynn’s FINRA BrokerCheck report, he was based out of the Greenville, South Carolina branches of IFS Securities and Voya Financial Advisors.  After he failed to respond to a FINRA inquiry that followed approximately 17 disclosures and two employment terminations within one year, he was permanently barred in June…

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James Flynn, Former South Carolina-based IFS Securities and Voya Financial Advisors Broker, Under Investigation

Silver Law Group is investigating former Greenville, South Carolina-based broker James T. Flynn (CRD# 3082615) after FINRA permanently barred the broker. FINRA Bars James T. Flynn After Numerous Customers File FINRA Arbitrations According to Flynn’s FINRA BrokerCheck report, FINRA permanently barred Flynn in June 2018 after he failed to respond…

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Cybersecurity Breach Costs Voya Financial Advisors $1M In Fines

Des Moines-based broker Voya Financial Advisors (VFA) has been fined $1 million in a cybersecurity case that’s the first under the Identity Theft Red Flags Rule. VFA has agreed to pay the fines in relation to a case that saw their systems compromised and the personal information of thousands of…

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James Edward Knee

James Edward Knee (CRD #1852920) is a former registered broker and investment advisor who was last employed with Voya Financial Advisors, Inc. (CRD #2882) of Concord, NH. He was previously employed by Ameriprise Financial Services, Inc. (CRD #6363), Investors Capital Corp. (CRD #30613) and Cambridge Investment Research, Inc. (CRD #39543),…

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