Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Ngo (Ngo), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ngo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $15,853.74 on December 02, 2021.
Customer alleges that in March 2018, he was misled regarding the surrender schedule and charges related to a Variable Annuity.