Investigation of George McCaffrey Regarding Greenhouse Building and Leasing Company

ENGLEWOOD, COLORADO –  Have you lost money with financial advisor George McCaffrey from Englewood, Colorado?  We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against George L. McCaffrey III.  In 2018, 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.

In 2021, FINRA barred George McCaffrey from the securities industry.  FINRA alleged that McCaffrey failed to disclose all of his private securities transactions during its 2018 investigation.

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. McCaffrey is also the subject of a 2021 customer complaint.

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; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  Our firm has represented over one thousand 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.

View FINRA AWC:  McCaffrey, G. FINRA AWC

View BrokerCheck:  McCaffrey, G. BrokerCheck 6.28.21

View FINRA AWC 2021:  McCaffrey, George FINRA AWC 2021

If you lost money with George McCaffrey or NTB Financial Corp., contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.