Jeffrey Evan Sigman of Greenwood Village Colorado a stockbroker formerly registered with Neidiger Tucker Bruner Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Sigman engaged in undisclosed outside business activities while associated with the securities broker dealer. FINRA Arbitration…
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,…
Public disclosure records via FINRA’s BrokerCheck reveal that on July 26, 2016, Jeffrey E. Sigman, of Englewood, Colorado, was terminated by Neidiger, Tucker, Bruner, Inc. Apparently, the firm permitted Sigman to resign amid allegations of violating the firm’s policies regarding outside business activities. The firm indicated that it conducted an internal review into Sigman after…