Tag Archives: George Louis McCaffrey III

NTB Financial Accused Of Promissory Note Scheme

May 12, 2020  |   Posted by :   |   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 […]

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FINRA Fines NTB Stockbroker For Selling Away

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, […]

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