DOUG MCCAULEY – Former MADISON AVENUE SECURITIES, LLC Broker Barred by FINRA
Victims of Unsuitable Advice May Recover Investment Losses – Contact Goodman & Nekvasil, P.A. Today
DOUGLAS JOHN MCCAULEY (CRD#: 1257811), also known as Doug McCauley, is a former financial advisor who has been barred by FINRA following regulatory allegations. According to his FINRA BrokerCheck report, FINRA alleged that McCauley failed to comply with the regulator’s investigation, including refusing to provide information or documents requested by FINRA.
As a result of this non-cooperation, FINRA imposed the most serious sanction available—a permanent bar from the securities industry.
FINRA was investigating McCauley’s outside business activities.
Investors who did business with McCauley should carefully review their accounts and transactions, as regulatory bars often raise concerns about potential violations of industry rules.
If you suffered investment losses while working with MCCAULEY, you may qualify for financial compensation through FINRA arbitration. Contact the national investment fraud law firm Goodman & Nekvasil, P.A. today for a free case evaluation.
DOUG MCCAULEY – Former MADISON AVENUE SECURITIES, LLC Broker Barred by FINRA
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $500 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 1/14/26. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.