FINRA alleged that it has started an investigation into Glenn Ngo, who was formerly with Park Avenue Securities in San Diego, California.  They are investigating whether he participated in selling investments away from his firm.  Investors may be able to recover losses by filing a claim through the securities law firm of Israels & Neuman.  Generally, financial advisors must get permission for every investment product that they sell from their brokerage firm.  FINRA alleged that Glenn Ngo refused to cooperate with FINRA’s investigation, which is a violation of FINRA Rule 8210.  Violations like this often result in suspensions or expulsions from the securities brokerage industry, and this advisor is now barred by FINRA.

Glenn Ngo Industry History

Glenn Ngo was affiliated with Park Avenue Securities from March 2023 to March 2025.  He worked in a San Diego, California office and was also previously registered with Northwestern Mutual in Carlsbad.

Park Avenue Securities’ Potential Liability

Under FINRA Rule 3110, broker-dealers like Park Avenue Securities must reasonably supervise the activities of their representatives.  If a firm does not adequately supervise its representatives, it could be liable for any investor harm.

Israels & Neuman represents investors throughout the country as well as California, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of Glenn Ngo and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Glenn Ngo FINRA AWC
• View his BrokerCheck Report

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