Douglas McCauley Of Madison Avenue Securities Barred By FINRA Following Investigation

Investors potentially experienced sales practice violations by securities broker Douglas John McCauley (also known as Doug McCauley) [CRD: 1257811, Arlington, Vermont], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Douglas McCauley worked for Madison Avenue Securities LLC from July 16, 2009, to December 31, 2024. Investors should continue reading to find out more about disclosures involving this individual.

FINRA Sanctioned Doug McCauley For Noncooperation During Investigation Into Outside Business Activities

Notably, on December 8, 2025, FINRA issued Case: 2025085574001 sanctioning Douglas McCauley for infractions. Specifically, McCauley was barred from associating with any FINRA member in all capacities. Notably, FINRA alleged that McCauley refused to provide requested information and documents.

FINRA stated that the matter arose from an examination related to McCauley’s outside business activities while he was associated with Madison Avenue Securities LLC. According to the regulator, FINRA sent multiple written requests under Rule 8210 seeking information and records. FINRA alleged that McCauley failed to respond by the initial deadline, provided an incomplete response after follow-up requests, and ultimately acknowledged that he would not supply the remaining requested materials.

Douglas McCauley Violated FINRA Rules

FINRA concluded that McCauley’s refusal to fully comply with information requests violated FINRA Rules 8210 and 2010. As a result, FINRA imposed a permanent bar, preventing McCauley from associating with any FINRA member firm in any capacity.

Were You Impacted By Financial Advisor / Securities Broker Doug McCauley?

Do you need clarification on any investment losses relating to Douglas McCauley? Contact Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. McCauley and brokerage firms McCauley worked for deny accusations of sales practice violations.