Allegations by FINRA

FINRA has initiated an investigation into Douglas McCauley, inquiring about his outside business activities.  FINRA alleged that he refused to cooperate with the investigation, which violates FINRA Rule 8210.  Violations of FINRA Rule 8210 often result in suspensions or expulsions from the securities brokerage industry, and McCauley was barred by FINRA.

Douglas McCauley Industry History

Doug McCauley was affiliated with Madison Avenue Securities from 2009 to December 2024.  He worked in a Arlington, Vermont.  During his career, he has been the subject of three states’ regulatory investigations, as well as 8 tax liens and a civil judgment.  McCauley is involved in several businesses, including New England Tax Pro, Vermont Investment and Insurance Company, and Vermont Bioponics Farm. 

Potential Responsibility of Madison Avenue Securities

Under FINRA Rule 3110, broker-dealers like Madison Avenue Securities must reasonably supervise the activities of their representatives.  If a firm does not adequately supervise its advisors, it could be held liable for any investor harm.

Israels & Neuman Helps Clients in Vermont

We represent investors throughout the country as well as Vermont, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of Douglas McCauley and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Douglas McCauley FINRA AWC
• View his BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We can help you recover the money you deserve.