Mr. McCauley has been appointed as an arbitrator in more than 150 cases in the past decade. The following is a short sample of notable Securities cases.
- Arbitration of claims for alleged fraud, securities fraud and improper dilution of shares brought by a large investor in a $50 million dollar cemetery development company located in Mexico City and Cuernavaca, Mexico
- Arbitration of a claim by an investment broker against a major brokerage company for alleged breach of contractual obligation to not to interfere with the broker’s application to FINRA to expunge an “U-5 regulatory filing” impairing the Claimant’s broker’s license
- Substantial prior experience as a litigator defending officers and directors in multiple securities fraud class actions (alleged violations of the Securities Act of 1933 or of Rule 10b-5 of the Securities and Exchange Act of 1934