Glenn Ngo Fired from Park Avenue Securities

Glenn Ngo (CRD #: 7200876), a broker formerly registered with Park Avenue Securities, was fired from that firm, according to his BrokerCheck record, accessed on May 5, 2025. Keep reading if you want to know more about his alleged conduct as a broker.

Termination from Park Avenue Securities

On March 6, 2025, Glenn Ngo was fired from Park Avenue Securities following his entering into a Letter of Acceptance, Waiver & Consent (AWC) with FINRA barring him from associating with FINRA members.

Bar by FINRA

On March 4, 2025, Glenn Ngo consented to the entry of findings that he allegedly refused to provide information and documents requested as part of a FINRA investigation.

According to a Letter of Acceptance, Waiver & Consent (AWC), FINRA was allegedly investigating whether Glenn Ngo had engaged in selling away by soliciting a private securities investment.

The AWC concluded that this alleged refusal constituted violations of FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Glenn Ngo consented to a permanent bar, which took effect on March 4, 2025. You can read a copy of the AWC here.

Background Information

Glenn Ngo has passed the following exams:

• Investment Company Products/Variable Contracts Representative Examination – Series 6TO
• Securities Industry Essentials Examination – SIE
• Uniform Securities Agent State Law Examination – Series 63

He has also worked for Park Avenue Securities (CRD#:46173) and Northwestern Mutual Investment Services (CRD#:2881).

Kurta Law Can Help

If you worked with Glenn Ngo and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.