2023079746101 Thakoor Ben Balkaran CRD 2506670 AWC gg (2024-1708820397329).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079746101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Thakoor Ben Balkaran (Respondent)
General Securities Representative
CRD No. 2506670
Pursuant to FINRA Rule 9216, Respondent Thakoor Ben Balkaran submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020065474001 Voya Financial Advisors, Inc. CRD 2882 AWC gg (2024-1708820397326).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065474001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Voya Financial Advisors, Inc. (Respondent)
Member Firm
CRD No. 2882
Pursuant to FINRA Rule 9216, Respondent Voya Financial Advisors, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2023079746301 Charles J. Gross CRD 2120578 AWC vr (2024-1708820405517).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079746301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Charles J. Gross (Respondent)
Associated Person
CRD No. 2120578
Pursuant to FINRA Rule 9216, Respondent Charles J. Gross submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.