Investors potentially experienced sales practice violations by securities broker Alex Ng (also known as Alex King) [CRD: 5842211, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ng worked for National Securities Corporation from December 20, 2010, to June 1, 2022, and has been registered with PHX Financial Inc. since May 27, 2022. Investors should continue reviewing the information below to find out more about disclosures involving Ng that have been reported through FINRA.
Evidently, on September 4, 2025, a PHX Financial Inc. client filed FINRA Arbitration No. 25-01852 about Alex Ng. Primarily, the client alleged that Ng made unsuitable recommendations by reallocating portfolio holdings after an account transfer. For this reason, the client allegedly experienced damages associated with stocks. As a result, the client requested $500,000 in compensation from PHX Financial Inc. or Ng. It appears that this arbitration is pending a resolution.
Also, a client of PHX Financial Inc. contested Ng’s sales practices by filing FINRA Arbitration No. 25-00598 on March 28, 2025. Allegedly, Ng made misrepresentations and was negligent, while also breaching his fiduciary duty. It appears that Ng allegedly caused the client to sustain damages relating to stocks and private equity investments. Consequently, the client seeks compensation from PHX Financial Inc. or Ng in the amount between $500,000 and $1,000,000 in this ongoing matter.
Are you concerned regarding investments you made through Alex Ng? Contact Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Ng and brokerage firms Ng worked for deny accusations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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