Douglas J. McCauley, of Arlington, Virginia, a stockbroker formerly associated with Madison Avenue Securities was sanctioned and barred by FINRA. Letter of Acceptance, Waiver, and Consent No. 2025085574001.
According to the AWC, without admitting or denying the findings, McCauley consented to the sanction and to the entry of findings that he failed to provide information and documents requested by FINRA in connection with an investigation into his OBAs. The findings stated that FINRA sought, among other items, information about McCauley’s OBAs and bank and other financial records pertaining to those activities. After McCauley initially submitted a response that was incomplete and that did not provide all of the requested information and documents, he ultimately refused to provide the information or documents requested. As a result, FINRA found he violated FINRA Rules, and was barred from associating with any member firm in any capacity.
Although Mr. McCauley appears not to be the subject of any customer complaints, FINRA Public Disclosure shows that he was the subject of nine disclosed unsatisfied judgments and liens dating back to 2013. In 2008, the Vermont Department of Banking, Insurance, Securities & Healthcare Administration sanctioned him in connection with allegations that he participated in “advisory activities while unregistered in the state of Vermont.”
In 2013, he “the Florida Department of Financial Services denied McCauley’s nonresident applications for licensure to act as an insurance agent due to the Vermont regulatory action.” In 2014, he was fined a sum of $1,500 by the New York State Department of Financial Services in connection with allegations that he failed to disclose the Florida regulatory action.
The Guiliano Law Group, P.C.
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