DOUGLAS JOHN MCCAULEY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/08/2025: McCauley refused to provide information and documents requested pursuant to FINRA Rule 8210. As a result, McCauley violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...
Reference 2025085574001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1257811

Other names1

Also known as1

Douglas J. McCauley

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