George Louis McCaffrey III of Englewood Colorado a stockbroker formerly registered with NTB Financial Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings of him selling away and giving false information to FINRA during a period that he was investigated for engaging in private […]
Read More »
Tag Archives: George Louis McCaffrey III
FINRA Bars NTB Financial Stockbroker For Selling Away
July 12, 2021 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News, Promissory Notes, Selling Away and Outside Activities | Comments Off on FINRA Bars NTB Financial Stockbroker For Selling Away
NTB Financial Accused Of Promissory Note Scheme
May 12, 2020 | Posted by : Guiliano Law Group | Private Placement Fraud, Promissory Notes, Securities Arbitration Claims, Selling Away and Outside Activities | Comments Off on NTB Financial Accused Of Promissory Note Scheme
George Louis McCaffrey III of Englewood Colorado a stockbroker formerly associated with NTB Financial Corporation has been referenced in a customer initiated investment related complaint on May 14, 2019 in which the customer requested $290,000.00 in damages supported by allegations of the customer being inappropriately advised by McCaffrey to use individual retirement account funds to […]
Read More »FINRA Fines NTB Stockbroker For Selling Away
September 28, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
George Louis McCaffrey III of Englewood Colorado a stockbroker formerly registered with NTB Financial Corporation has been fined $15,000.00 and suspended for eighteen months from associating with any FINRA member in any capacity based upon consenting to findings that he engaged in private securities transactions. Letter of Acceptance Waiver and Consent No. 2017056104701 (Sept. 10, […]
Read More »