FINRA barred California broker Glen Ngo for refusing to cooperate with an investigation into whether he sold securities away from his firm at the time, Park Avenue Securities of San Diego, CA.
Glen Ngo (CRD #7200876) allegedly solicited a private securities investment outside of the scope of his employment with Park Ave, which ran afoul of industry rules due to the potential of misconduct when selling away from the firm, and away from industry protections against unscrupulous sales practices, fraud, or other malfeasance.
Formerly associated with Carlsbad's Northwestern Mutual Investment Services before joining Park Ave in San Diego, Ngo informed FINRA he would not cooperate with the regulator's investigation into selling away misconduct, resulting in a permanent ban from the securities industry.
Ngo also sells life insurance through Guardian Life Insurance Company in San Diego, according to his BrokerCheck file.
If you invested with Glen Ngo or with any broker or investment adviser who improperly recommended or sold securities away from their employing firm, which has resulted in losses or other damages, please call an experienced FINRA arbitration attorney at The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.