Capital City Securities, LLC, a brokerage firm headquartered in Columbus, Ohio, has been censured and fined $15,000.00 from by Financial Industry Regulatory Authority (FINRA) by way of the firm’s consent to findings that the firm failed to supervise sales of exchange traded funds. Letter of Acceptance, Waiver and Consent, No. 2014039216101 (Dec. 5, 2017). According…
Lawrence Randolph Roberson, of Detroit, Michigan, a stockbroker with Capital City Securities, LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he made fraudulent misrepresentations and omissions concerning the sale of a bond investment to a customer. Letter of Acceptance, Waiver…