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Will Olinger-Valmark Securities-FL

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LPL Financial Investigations

Matt Nelson- Prime Capital-TX

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Richard Brown-Cetera-Ft. Myers


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  • ER

George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO
George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO 150 150 ER

George L. McCaffrey Investigation May 2022 – Englewood, CO According to publicly available records, George Louis McCaffrey, a former stockbroker who was last employed by NTB Financial Corporation (formerly Neidiger…

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  • Robert Rex, Esq.

Jeffrey E. Sigman-Former Neidiger Tucker Bruner Broker-Discloses Employment Separation
Jeffrey E. Sigman-Former Neidiger Tucker Bruner Broker-Discloses Employment Separation 150 150 Robert Rex, Esq.

August 2016-Englewood, CO The FINRA records of  Jeffrey E. Sigman,  a  stockbroker who currently is not currently registered  disclose 1 prior final customer dispute and a recent  employment separation after allegations. The Financial Industry…

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  • Robert Rex, Esq.

Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned by Regulator
Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned by Regulator 150 150 Robert Rex, Esq.

Englewood, CO The FINRA records of  Steven Ray Hinkle,  a  stock broker who currently is employed by Neidiger, Tucker, Bruner discloses a final FINRA regulatory event. The Financial Industry Regulatory Authority (FINRA) is the…

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