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George McCaffrey Formerly With NTB Financial Corp. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is George McCaffrey formerly with NTB Financial Corp.?

George McCaffrey (CRD #847377) who was formerly registered with NTB Financial Corp. and located in Englewood, Colorado is a subject of one of our many securities industry sales practice abuse investigations.

In the past, George McCaffrey was also the subject of investigations by FINRA and the Commodities Futures Trading Commission. In 2018, FINRA suspended him for 18 months and ordered disgorgement of $124,250 in commissions he received for allegedly participating in 22 undisclosed private securities transactions with 9 investors who purchased promissory notes of the greenhouse building and leasing company and preferred stock of 1 of the company’s affiliates.

George McCaffrey Customer Complaints

George McCaffrey has been the subject of 2 customer complaints that we know about. One of George McCaffrey’s 2 customer complaints was settled in favor of investors. The customer complaint filed against George Mccaffrey’s former employer NTB Financial Corp. for investment losses caused by the alleged misconduct is pending as of the date of this report.

Allegations Against George McCaffrey

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • The complainant asserts George McCaffrey recommended lending money to the private company.
  • George McCaffrey’s alleged misrepresentation and fraud and negligence in failing to give customer correct information on proposed merger of Luxor and Northern Gold.

George McCaffrey Red Flags & Your Rights As An Investor

Of course, George McCaffrey did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of George McCaffrey at NTB Financial Corp. on alert to review carefully the activity and performance of their accounts and question whether George McCaffrey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NTB Financial Corp. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At NTB Financial Corp. Due To George McCaffrey

If you have questions about NTB Financial Corp. and/or George McCaffrey and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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