George McCaffrey, formerly with NTB Financial Corp., Suspended 18 Months from Securities Industry

Have you lost money with financial advisor George McCaffrey from Englewood, Colorado?  We are investigating into allegations made by FINRA (the Financial Industry Regulatory Authority) against George L. McCaffrey III.  FINRA suspended McCaffrey from the securities industry for 18 months, fined him $15,000, and ordered him to disgorge $124,000 in commissions.  FINRA was investigating allegations that McCaffrey participated in a private securities transactions without disclosing such to his former brokerage firm, NTB Financial Corp.  In particular, McCaffrey was alleged to have raised nearly $1.8 million from investors for a greenhouse building and leasing company, without notice to NTB Financial Corp.

George McCaffrey was a registered representative and financial advisor with NTB Financial Corp. from 1989 to October 2017.  He worked out of a branch office in Englewood, Colorado.

Broker-dealers like NTB Financial Corp. have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations.  When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman are investment fraud and securities arbitration attorneys with offices in Denver, Colorado and Seattle, Washington.  Our firm has recovered millions of dollars for investors throughout the country, including investors throughout the Denver area.   Attorney Aaron Israels is licensed to practice law in Colorado and can meet with our clients in Colorado in-person.

Click to view:  McCaffrey, George FINRA AWC

Click to view:  McCaffrey, George BrokerCheck 9.11.18

If you have lost money with George McCaffrey, or NTB Financial Corp., and want to hear about ALL legal options, please visit https://www.israelsneuman.com/ or CONTACT US at 720-599-3505.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.