JOHNNY GIN YANG NG at STIFEL, NICOLAUS & COMPANY, INCORPORATED – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)



CRD# 4044141

Disclosure #1 for JOHNNY NG

    • eventDate: 8/15/2018
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: Claimant alleges that Respondent mistakenly represented the amount of payout on annuities and seeks $15,562.00 in damages.
    • Damage Amount Requested: $15,562.00
    • Settlement Amount: $15,987.00
    • Arbitration Docket Number:
    • Broker Comment: The parties settled this matter for $15,987.00 to avoid the costs of arbitration. I did not contribute any money to this resolution.

Should I file a FINRA complaint against brokers like JOHNNY GIN YANG NG?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update – 2022.11.15If you have suffered investment losses that may have been caused by JOHNNY GIN YANG NG’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today! helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About JOHNNY GIN YANG NG

What is JOHNNY NG’s Central Registration Depository (CRD) Number?

Which firm is JOHNNY GIN YANG NG associated with?


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Where can I find more details about JOHNNY NG’s Investment Firm?

Visit to read a detailed report for STIFEL, NICOLAUS & COMPANY, INCORPORATED

Are there any disclosures, allegations or complaints filed against JOHNNY GIN YANG NG?

Yes. There are disclosures, allegations, or complaints filed against JOHNNY GIN YANG NG. Click here to view all details

Where can I download a detailed FINRA report for JOHNNY NG?

Click here to download a detailed FINRA report for JOHNNY NG

Is it safe to do business with JOHNNY GIN YANG NG?

We’re not sure. Please research JOHNNY NG’s disclosures, allegations and complaints before taking a decision

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