JAMES C. MCCAULEY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/23/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001759801 TO: Department of Enforcement NASD RE: James C. McCauley, Respondent General Securities Principal and General Securities Representative [CRD No. 1830591] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below.
Reference 2005001759801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1830591

Other names1

Also known as1

JAMES CURTIS MCCAULEY

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