Allegations Against Alan Ngo

FINRA started its own investigation into Ngo in March 2026.  FINRA alleged that it was investigating whether Alan Ngo engaged in private securities transactions – essentially, whether he was selling investments that were not approved by PFS Investments.  Ngo did not cooperate with FINRA’s investigation, and as such, he was barred under FINRA Rule 8210. 

History

Alan Ngo was licensed with PFS Investments from 2003 to November 2025.     He worked in a Freehold, New Jersey office.  He also sold insurance for Primerica, and he also ran a business called NGO’s Associations, LLC.

PFS Investments Responsibility to Customers

FINRA standards provide that brokerage firms like PFS Investments must reasonably supervise the activities of their financial advisors.   Firms that fail to do so could be responsible for customer investment losses. 

Israels & Neuman Helps Recover Money for Victims in New Jersey

We represent investors throughout the United States as well as New Jersey, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you were a client of Alan Ngo and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration with the help of Israels & Neuman.

• View Ngo’s BrokerCheck Report
• View Ngo’s FINRA AWC

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.