Sal LaRocca: Voya Advisor Faced $90K Denied Complaint

Melville, New York financial advisor Sal LaRocca (CRD# 1742689) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Voya Financial Advisors.

Mr. LaRocca’s BrokerCheck report discloses two investor complaints. The most recent, filed in August 2025, alleged that as a representative of Voya Financial Advisors, he “prepared paperwork that caused a transfer of an amount of assets into a fixed account that was greater than the amount” the customer wanted to transfer, resulting in losses. The complaint alleged damages of $90,000 and was denied by the firm.

An earlier complaint, filed in 2018, alleged that as a representative of Voya Financial Advisors, he did not adequately disclose fees and/or charges associated with the customer’s variable annuity account or accounts. The complaint alleged damages of $8,363.75 and was denied by the firm.

A third disclosure on Mr. LaRocca’s BrokerCheck report concerns a FINRA disciplinary action against him. Filed in 2024, it alleged that he falsely certified that he had completed 15 hours of continuing education to renew his state insurance license “when, in fact, another person had completed that continuing education on his behalf.” He was issued a two-month suspension and a fine of $5,000.

According to the Financial Industry Regulatory Authority, Sal LaRocca holds 38 years of securities industry experience. Based in Melville, New York, he has been registered as a broker with Voya Financial Advisors since 2011. His past registrations include ING Financial Advisers, Equico Securities, the Equitable Life Assurance Society of the United States, Aetna Life Insurance and Annuity Company, and Pruco Securities Corporation. His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Connecticut, Florida, Illinois, New York, South Carolina, Texas, and Virginia. (Information current as of October 7, 2025.)

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