Haselkorn & Thibaut, a leading investment fraud law firm with over 50 years of experience and a 98% success rate, has officially opened an investigation into Doug McCauley, the former Madison Avenue Securities broker based in Arlington, Virginia. If you worked with Doug McCauley or invested through Madison Avenue Securities and have concerns about your investments, keep reading for essential findings and next steps.
Summary of Regulatory Action Against Doug McCauley
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In December 2025, the Financial Industry Regulatory Authority (FINRA) issued a bar against Doug McCauley, preventing him from associating with any FINRA member firm in all capacities. This followed McCauley’s refusal to fully cooperate with a FINRA investigation into his outside business activities. FINRA requested critical information and documents, including banking and financial records; after submitting incomplete responses, McCauley notified FINRA that he would not comply further. This non-cooperation was found to be a violation of FINRA’s rules, resulting in a permanent bar.
Regulatory History and Professional Background
- Industry Experience: 28 years in the securities business
- Most Recent Registration: Madison Avenue Securities (2009–2024), Arlington, Virginia
- Prior Firms: A. CH. Securities (1999–2000), Jefferson Pilot Securities Corporation (1986–1998)
- Licenses Held: SIE, Series 6, Series 7, Series 63, Series 65
Currently, Doug McCauley is not licensed with any state or firm.
Regulatory and Disciplinary Findings
The following table summarizes the publicly available regulatory and disciplinary records associated with Doug McCauley:
| Year | Regulatory Body | Details & Resolution |
|---|---|---|
| 2025 | FINRA | Barred from associating with any member firm after refusing to provide documents for an investigation into outside business activities. |
| 2014 | New York Dept. of Financial Services | Fined $1,500 for failing to disclose a prior regulatory action from Florida. |
| 2013 | Florida Dept. of Financial Services | Denied nonresident insurance agent applications related to previous Vermont action. |
| 2008 | Vermont Dept. of Banking, Insurance, Securities, and Healthcare Administration | Sanctioned for engaging in advisory activities while unregistered in Vermont. |
Review of Complaints and Public Records
- FINRA BrokerCheck: No current customer disputes or complaints disclosed. For the latest details, visit FINRA BrokerCheck and search “Doug McCauley” or CRD# 1257811.
- SEC EDGAR / Administrative Proceedings: No SEC enforcement actions or cease-and-desist orders identified.
- Federal Court Records (PACER): No securities-related civil lawsuits in federal dockets.
- State Regulatory Records: No administrative sanctions beyond those listed above were found in California, Texas, or New York databases.
- News and Media Searches: No reported consumer complaints, adverse investigative news, or official media coverage of misconduct.
While there are no customer complaints or disputes recorded in public databases, the multiple regulatory actions and the most recent FINRA bar are considered significant red flags for potential investors.
Important Red Flags for Investors
- Refusal to Cooperate with Regulators: Regulatory bars for failing to provide required information are serious industry violations and often viewed as a lack of transparency or willingness to comply with industry standards.
- History of Regulatory Sanctions: Doug McCauley has multiple state-level and federal regulatory issues, spanning Vermont (2008), Florida (2013), New York (2014), and FINRA (2025).
- Lack of Current Registration: McCauley is no longer licensed or approved to act as a broker or advisor, which is important information for current or former clients concerned about investment losses or stranded assets.
- Gaps in Disclosures: No public customer complaints or disputes does not necessarily mean clients were always satisfied; it may simply indicate cases have not yet been disclosed or resolved.
Key Takeaways for Investors
- If you worked with Doug McCauley at Madison Avenue Securities and have experienced unexpected losses, unexplained fees, or questions about your accounts, protect your financial interests by seeking an immediate review.
- Even in the absence of customer disputes, significant regulatory findings point to potential risks. Stay proactive and protect your retirement or investment accounts.
- Red flags like refusal to participate in regulatory investigations and past disciplines are important triggers for a full portfolio review.
What Should You Do Next?
- Contact Haselkorn & Thibaut for a free, confidential review of your accounts for any potential investment losses or compliance concerns. The firm operates on a “no recovery, no fee” basis.
- Call 1 888-885-7162 or visit investmentfraudlawyers.com to speak with an attorney today.
- Review your account statements, correspondence, and investment products for any transactions or activities that are unclear, and bring these to your attorney’s attention for proper analysis.
How Haselkorn & Thibaut Can Help You
Haselkorn & Thibaut has helped investors across the United States recover millions of dollars from financial advisors and broker-dealers, including cases involving regulatory misconduct or violations. The team provides:
- Personalized consultation and case evaluations
- Comprehensive portfolio and loss analysis
- Strong advocacy in regulatory and arbitration proceedings
Don’t wait until losses stack up or regulatory actions result in limited options for recovery. Reach out today for a no-obligation consultation with an experienced team that puts your interests first.
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