Christopher Deo Subject of Second State Regulatory Action

Christopher Deo (CRD #: 3145183), a broker registered with Voya Financial Advisors, was the subject of a New York regulatory action, according to his BrokerCheck record, accessed on August 17, 2025. Keep reading for more information about his alleged conduct as a broker.

New York Regulatory Action

On July 10, 2025, the New York Department of Financial Services alleged that Christopher Deo violated Section 2110(a)(4) and Section 2132(g) of Chapter 28 of the New York Consolidated Laws by submitting a license renewal application containing false and/or inaccurate information.

Christopher Deo consented to a sanction of $7,500.

New York Consolidated Laws

Section 2110(a)(4) of Chapter 28 of the New York Consolidated Laws allows the superintendent of the New York Department of Financial Services to suspend an insurance producer, consultant, adjuster or life settlement broker’s insurance license if they are found to have engaged in fraudulent or dishonest practices.

Section 2132(g) requires persons subject to continuing education requirements to submit a certification attesting their success completion of these requirements to the superintendent.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Maryland Regulatory Action

On October 8, 2024, the State of Maryland filed a regulatory action against Christopher Deo, citing a Letter of Acceptance, Waiver & Consent (AWC) he entered into with FINRA. In that AWC, he consented to a one-month suspension from associating with FINRA members.

With the State of Maryland, Christopher Deo consented not to apply or reapply for registration as a broker-dealer, agent, investment adviser or investment adviser representative.

FINRA Suspension

On September 3, 2024, Christopher Deo consented to the entry of findings that he allegedly certified to the State of New York in 2023 that he had personally completed the continuing education (CE) credits required to renew his insurance license.

According to an AWC, Christopher Deo allegedly knew that another individual had completed the 15 hours of insurance CE credits on his behalf when he certified that he had completed them himself.

The AWC concluded that these allegations constitute a violation of FINRA Rule 2010.

Sanctions

Christopher Deo consented to the following sanctions:

• One-month suspension from associating with FINRA members
• $5,000 fine

His suspension ran from October 7 to November 6, 2024. You can read a copy of the AWC here.

Background Information

Christopher Deo has passed the following exams:

• Securities Industry Essentials Examination – SIE
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Securities Agent State Law Examination – Series 63

Christopher Deo is a registered broker in 17 states and a registered investment adviser in New York.

He has also worked for ING Financial Advisers (CRD#:34815).

Kurta Law Can Help

If you worked with Christopher Deo and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.