PATRICK CORCORAN MCCAULEY

PATRICK CORCORAN MCCAULEY is currently employed as a Broker and/or Investment Adviser at CAPITAL DYNAMICS BROKER DEALER LLC located at 10 EAST 53RD STREET, 17TH FLOOR, NEW YORK, NY, 10022.

PATRICK CORCORAN MCCAULEY has worked at CAPITAL DYNAMICS BROKER DEALER LLC since September 18, 2014

Disclosure History

PATRICK CORCORAN MCCAULEY has 1 Disclosure Event(s).

Date: September 11, 2008
Category: Employment Separation After Allegations
Firm Name: LINCOLN FINANCIAL DISTRIBUTORS, INC
Termination Type: Discharged
Allegations: FIRM TERMINATED WHOLESALER AFTER INTERNAL INVESTIGATION AND INTERVIEW ON 9/10/2008 WITH WHOLESALER CONCERNING QUESTIONABLE SUBMISSIONS OF SALES ACTIVITIES NUMBERS (TELEPHONE ACTIVITY). WHOLESALER'S SELF-RECORDED DOCUMENTATION OF ACTIVITIES - LOGGED 24 TELEPHONE CALLS IN A 12 MINUTE SPAN ON 9/9/2008 AND 28 CALLS AFTER 6PM ON 9/8/2008. ALL CALLS WERE REQUIRED TO BE MADE AND ALLEGED TO HAVE BEEN MADE FROM A RECORDED LINE. THERE WERE ONLY 3 CORRESPONDING ENTRIES ON THE TELEPHONE RECORDING SYSTEM FOR THESE 52 CALL LOG ENTRIES. DURING INTERVIEW WITH HR AND MANAGEMENT WHOLESALER RESPONDED IN THE AFFIRMATIVE TO MAKING CALLS IN QUESTION. WHOLESALER ATTEMPTED TO TENDER HIS LETTER OF RESIGNATION ON 9/11/2008 AT A MEETING PREARRANGED BY HR TO DELIVER A TERMINATION LETTER TO WHOLESALER. WHOLESALER WAS GIVEN HIS TERMINATION LETTER AT THAT TIME. THE FIRM ATTEMPTED TO CONTACT A SAMPLE OF THE LISTED RECIPIENTS OF CALLS AND FOUND EVIDENCE THAT WAS INCONSISTENT WITH WHOLESALER'S POSITION THAT HE MADE THE CALLS IN QUESTION.

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