Tag Archives: NTB Financial Corporation

FINRA Bars NTB Financial Stockbroker For Selling Away

July 12, 2021  |   Posted by :   |   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

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 […]

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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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