Articles Tagged with Ntb Financial Corporation

There are Recent Customer Complaints with Broker Thomas Bonik in Firm Ntb Financial Corporation

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Bonik (Bonik), previously associated with Ntb Financial Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Bonik recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 11, 2021.

Respondent Bonik failed to respond to FINRA request for information.

There are Recent Customer Complaints with Broker George Mccaffrey in Firm Ntb Financial Corporation

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Mccaffrey (Mccaffrey), previously associated with Ntb Financial Corporation, has at least one disclosable event. These events include one regulatory event, alleging that Mccaffrey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 27, 2023.

Respondent McCaffrey failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.