FINRA Issues Fine, Suspension To ROGER OWENS The Financial Industry Regulatory Authority (“FINRA”) announced on August 14, 2019 that it issued a 12-month suspension and $10,000 fine to Cetera Advisors securities broker Roger Owens (CRD#: 2359204, Elkton, Maryland). Evidently, Owens submitted a Letter of Acceptance, Waiver and Consent (“AWC”) on July 15, 2019, which FINRA […]

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 […]