Category: VOYA Financial Advisors

Daniel Loy (CRD#: 3029654) is a dually registered Investment Advisor and Broker at Independent Financial Group, LLC in Milpitas, CA. Broker’s Background He entered the securities industry in 1998 and previously worked for Voya Financial Advisors, Inc.; MetLife Securities, Inc.; Metropolitan Life Insurance Company; Mony Securities Corporation; and Citicorp Investment Services. Current And Past Allegations […]

William Colie Johnson (CRD#: 3174473) is a dually registered Broker and Investment Advisor at Cadaret, Grant & Co., Inc. in Greenville, SC. Broker’s Background He entered the securities industry in 1999 and previously worked for Voya Financial Advisors, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

Jamie Marie Cooke (CRD#: 1969380) is a previously registered Broker and previously registered Investment Advisor. She entered the securities industry in 1989 and previously worked for Voya Financial Adivsors, Inc.; Triad Advisors, LLC; Allstate Financial Services, LLC; NYLife Securities, Inc.; NYLife Distributors, Inc.; Guardian Investor Services Corporation; SIFE; Intersecurities, Inc.; and Federation for Financial Independence. […]

David R. Wall (CRD#: 1651874) was a previously registered Investment Advisor and previously registered broker at Voya Financial Advisors, Inc., in Simpsonville, SC. He entered the securities industry in 1987 and previously worked for Capital Investment Group, Inc., Rayment James & Associates, Inc., UCB Investor Services, Inc., Mony Securities Corp., Integrated Resources Investment Centers, Inc., […]

James Travis Flynn is a former Financial Advisor at Voya Financial Advisors, Inc. in Greenville, South Carolina.  After being terminated by Voya in August 2017 for providing “misleading information to the Firm during a complaint investigation,” James Flynn briefly joined IFS Securities, where he was terminated in 2018 for allegations he “traded ahead of authorization.’  […]

The Wolper Law Firm, P.A. is currently investigating claims against James Flynn a/k/a Jim Flynn, a former Financial Advisor at Voya Financial Advisors and IFS Securities in Greenville, South Carolina.  James Flynn a/k/a Jim Flynn has been in the securities industry since the 1990s and previously worked at Capital Investment Group and Brookstone Securities. According […]