GEORGE LOUIS MCCAFFREY III (GEORGE MCCAFFREY) CRD#: 847377, formerly with NTB FINANCIAL CORPORATION of Englewood, Colorado, was suspended and sanctioned by FINRA following allegations of participating in private securities transactions.
On September 10, 2018, without admitting to or denying the findings, GEORGE MCCAFFREY consented to the sanctions and to the entry of findings that without first providing notice to his member firm, he allegedly participated in 22 undisclosed private securities transactions in which nine investors, including one firm customer, purchased $1,775,000 in debt and equity securities.
FINRA’s findings stated that GEORGE MCCAFFREY allegedly introduced the nine individuals to representatives of a greenhouse building and leasing company so they could invest in the company. Also, FINRA’s findings stated that he allegedly reviewed and edited documents relating to the investments, forwarded investment-related documents to the clients, and communicated with the clients about their investments. The investors purchased $1,775,000 in promissory notes of the greenhouse building and leasing company and preferred stock in one of the company's affiliates.
FINRA’s findings also included that in connection with these transactions, the company paid $124,250 in commissions to an entity allegedly controlled by McCaffrey's wife. FINRA found that the alleged transactions were not executed through the firm and GEORGE MCCAFFREY did not give the firm prior written notice that he would be participating in them. FINRA also found that allegedly McCaffrey incorrectly indicated on the firm's annual compliance questionnaire that he had not participated in any private securities transactions.
According to FIRNA’s BrokerCheck, GEORGE MCCAFFREY’s suspension is for 18 months. It began September 17, 2018, and will end, March 16, 2010, and he was fined $15,000. There are 4 Disclosures on McCaffrey’s BrokerCheck report. He has been listed in the securities industry for 37 years and has been with 9 firms, the most recent listed below:
07/14/1989 - 10/30/2017 NTB FINANCIAL CORPORATION - ENGLEWOOD, CO
If you’ve experienced financial losses due to the actions or recommendations of broker, GEORGE MCCAFFREY, formerly of NTB FINANCIAL CORPORATION of ENGLEWOOD, CO, contact Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationally before FINRA and we operate on a contingency fee basis.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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