DOUGLAS JOHN MCCAULEY is currently employed as a Broker and/or Investment Adviser at MADISON AVENUE SECURITIES, LLC located at 1311 EAST ARLINGTON ROAD, ARLINGTON, VT, 05250.
DOUGLAS JOHN MCCAULEY has worked at MADISON AVENUE SECURITIES, LLC since July 16, 2009
Date: September 04, 2013 Category: Regulatory Initiated By: NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES Allegations: RESPONDENT MAY HAVE VIOLATED NEW YORK INSURANCE LAW AND/OR REGULATIONS FOR FAILURE TO DISCLOSE A FINAL DISPOSITION DATED ON OR ABOUT 06/14/2013 WITHIN 30 DAYS AND ON HIS RENEWAL APPLICATION FOR AN AGENT'S LICENSE SUBMITTED ON 09/04/2013. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Monetary Penalty other than Fines SanctionDetails: Amount: $1,500.00 Broker Comment: MADISON AVENUE SECURITIES, INC. BECAME AWARE OF THE ABOVE REGULATORY ACTION ON 5/6/2014 WHEN A COPY OF THE STIPULATION AND CONSENT WAS FORWARDED TO THE FIRM BY RR'S BRANCH OFFICE.
Date: December 04, 2012 Category: Regulatory Initiated By: FLORIDA DEPARTMENT OF FINANCIAL SERVICES Allegations: THE BASIS OF THE FLORIDA NONRESIDENT LIFE INCLUDING VARIABLE ANNUITY INSURANCE AGENT AND NONRESIDENT HEALTH INSURANCE AGENT LICENSE DENIAL WAS PETITIONER MCCAULEY'S ADVERSE REGULATORY HISTORY IN THE STATE OF VERMONT. Resolution: Order SanctionDetails: Sanctions: Denial Broker Comment: MADISON AVENUE SECURITIES, INC. BECAME AWARE OF THE ABOVE REGULATORY ACTION ON 5/6/2014 WHEN A COPY OF A NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES STIPULATION AND CONSENT WAS FORWARDED TO THE FIRM BY RR'S BRANCH OFFICE. THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES STIPULATION AND CONSENT RESULTED FROM FAILURE TO DISCLOSE A FINAL DISPOSITION [THE FLORIDA FINAL ORDER DTD 6/14/2013] WITHIN 30 DAYS AND ON A RENEWAL APPLICATION FOR AN AGENT'S LICENSE [IN NEW YORK].
Date: July 10, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: DUE TO A PROLONGED ILLNESS (BEGINING IN 2005) I WAS UNABLE TO STAY CURRENT WITH MANY OF OUR BILLS. AMERICAN EXPRESS OFFERED THIS COMPROMISE AND THE TERMS WERE MET.
Date: March 26, 2010 Category: Judgment / Lien Judgment/Lien Amount: $9,006.00 Judgment/Lien Type: Civil Broker Comment: THIS DEBT WAS ATTORNEY FEES THAT I WAS MAKING PAYMENTS ON. DUE TO A PROLONGED ILLNESS I WAS UNABLE TO KEEP CURRENT WITH THE PAYMENTS. BECAUSE OF THIS A JUDGMENT WAS GRANTED.
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