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Glenn Ngo

Date:

March 17, 2025

Type of alert:

FINRA Barred  

The Financial Industry Regulatory Authority (FINRA) has permanently barred Glenn Ngo, a registered representative with Park Avenue Securities LLC, for refusing to provide documents and information in an investigation into whether he engaged in selling away—the unauthorized sale of securities outside his firm.

Ngo’s refusal to comply with FINRA’s requests violated FINRA Rules 8210 and 2010, leading to a permanent ban from associating with any FINRA member in any capacity.

If you invested with Glenn Ngo or suspect involvement in an unauthorized securities transaction, ChapmanAlbin LLC may be able to help. Contact us today for a free consultation to explore your legal options. Stay informed on the latest investor alerts by visiting our website.

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