ALAN K NGO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/04/2026: Ngo refused to provide information and documents and to appear for testimony requested pursuant to FINRA Rule 8210 in connection with an investigation into whether Ngo sold securities away from his member firm. As a result, Ngo violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2026088818101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4273116

Other names1

Also known as1

Alan K. Ngo

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