Tuan Anh Ngo (also known as Toon Ngo) of Los Angeles, California, a stockbroker registered with VFG Securities Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $20,000.00 in damages based upon allegations that Ngo failed to supervise certain registered representatives in connection with the recommendation and sale of securities offered by Aequitas Capital Management during the period that Ngo was associated with VFG Securities Inc. FINRA Arbitration No. 19-03424 (Aug. 25, 2021).
This is not the first time that Ngo has been referenced in a customer initiated investment related dispute concerning Ngo’s conduct in the securities industry. FINRA Public Disclosure shows that Ngo is also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $75,000.00 in damages based upon allegations that Ngo failed to supervise concerning the recommendation and sale of direct investments, oil and gas investments, and real estate securities when Ngo was associated with VFG Securities Inc. FINRA Arbitration No. 18-02324 (Aug. 28, 2019).
Tuan Ngo was associated with Delta Investment Management LLC in Los Angeles, CA, as an investment advisor representative from November 2, 2018 to April 9, 2019. Ngo has been associated with Ares Management Capital Markets LLC in New York, NY, as a stockbroker since April 4, 2019.
