(CRD #1257811, Arlington, Vermont)

December 8, 2025 – An AWC was issued in which Douglas John McCauley was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, McCauley consented to the sanction and to the entry of findings that he failed to provide information and documents requested by FINRA in connection with an investigation into his other business activities (OBAs). The findings stated that FINRA sought, among other items, information about McCauley’s OBAs and bank and other financial records pertaining to those activities. After McCauley initially submitted a response that was incomplete did not provide all of the requested information and documents, he ultimately refused to provide the information or documents requested. (FINRA Case #2025085574001) If you have suffered losses as a result of Douglas John McCauley's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Douglas John McCauley. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.