DOUGLAS JOHN MCCAULEY

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

Disclosure History

DOUGLAS JOHN MCCAULEY has 13 Disclosure Event(s).

Date: May 12, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $15,671.15
Judgment/Lien Type: Tax

Date: May 12, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $6,135.16
Judgment/Lien Type: Tax

Date: February 16, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $1,216.73
Judgment/Lien Type: Tax

Date: December 16, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $9,185.95
Judgment/Lien Type: Tax

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: June 18, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $26,200.02
Judgment/Lien Type: Tax

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.

Date: November 13, 2008
Category: Judgment / Lien
Judgment/Lien Amount: $6,675.09
Judgment/Lien Type: Tax

Date: November 13, 2008
Category: Judgment / Lien
Judgment/Lien Amount: $102,366.25
Judgment/Lien Type: Tax

Date: November 02, 2006
Category: Regulatory

Date: December 14, 2005
Category: Judgment / Lien
Judgment/Lien Amount: $137,198.98
Judgment/Lien Type: Tax

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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