George Louis McCaffrey III
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/25/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064024001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: George Louis McCaffrey III (Respondent) Former General Securities Representative CRD No. 847377 Pursuant to FINRA Rule 9216, Respondent George Louis McCaffrey, III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064024001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/10/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056104701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: George L. McCaffrey III, Respondent Former General Securities Representative CRD No. 847377 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2017056104701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 847377 |
Other names2
Also known as2
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