Stephen Grande Subject of New York Regulatory Action

Stephen Grande (CRD #: 2838265), a broker registered with Voya Financial Advisors, was the subject of a state regulatory action, according to his BrokerCheck record, accessed on September 20, 2025. If you have questions about his alleged conduct as a broker, read on.

New York Regulatory Action

On June 13, 2025, the New York State Department of Financial Services alleged that Stephen Grande violated Sections 2110(a)(4) and 2132(g) of the New York Insurance Law by submitting false and or/inaccurate information in a renewal application on or about February 10, 2022.

Stephen Grande consented to a monetary penalty of $7,500.

New York Insurance Law

Section 2110(a)(4) of Chapter 28 of the New York Consolidated Laws authorizes the superintendent of the New York Department of Financial Services to suspend the license of an insurance producer, consultant, adjuster or life settlement broker 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.

FINRA Suspension

On March 4, 2024, Stephen Grande consented to the entry of findings that he allegedly certified to the State of New York in 2022 that he had personally completed the required continuing education (CE) credits needed to renew his insurance license when another person had completed them on his behalf.

A Letter of Acceptance, Waiver & Consent (AWC) concluded that these allegations constituted a violation of FINRA Rule 2010.

Sanctions

Stephen Grande consented to the following sanctions:

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

His suspension ran from April 1 to April 30, 2024. You can read the full AWC here.

Background Information

Stephen Grande has passed the following exams:

• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Stephen Grande is a registered broker in Florida, New Jersey, and New York. He is a registered investment adviser in New Jersey and New York.

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

Kurta Law Can Help

If you worked with Stephen Grande 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.