ALAN K NGO – Former PFS INVESTMENTS INC. Broker Barred by FINRA
ALAN K NGO – Former PFS INVESTMENTS INC. Broker Barred by FINRA
Victims of Unsuitable Advice May Recover Investment Losses – Contact Goodman & Nekvasil, P.A. Today
CRD#: 4273116
ALAN K NGO (CRD#: 4273116) is a former broker who consented to being barred by FINRA after regulatory allegations.
According to NGO’s FINRA BrokerCheck report, 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.
On November 25, 2025, PFS filed a Uniform Termination Notice for Securities Industry Registration (Form U5) terminating Ngo’s registration. On February 12, 2026, PFS filed an amended Form U5 disclosing that “the firm received allegations
that a customer gave Mr. Ngo funds to invest in non-PFS investments, specifically a portfolio of bond funds, and he has not timely sent her funds she has requested.”
Ngo worked out of FREEHOLD, NJ from 01/02/2003 to 11/25/2025, according to FINRA.
If you suffered investment losses while working with a broker/financial adviser you may qualify for financial compensation through FINRA arbitration. Contact the national investment fraud law firm Goodman & Nekvasil, P.A. today for a free case evaluation.
ALAN K NGO – Former PFS INVESTMENTS INC. Broker Barred by FINRA
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $500 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 5/5/26. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.