Capital City Securities LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039216101 TO: Department of Enforcement Fiancial Industry Regulatory Authority ("FINRA") RE: Capital City Securities, LLC Firm CRD Number: 146001 Pursuant to FINRA Rule of FINRA's Code of Procedure, Capital City Securities, LLC ("Capital City" or the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2014039216101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048347902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Capital City Securities, LLC, Respondent Member Firm CRD No. 146001 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Capital City Securities, LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2015048347902data-portal.finra.org finra.org

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