Tag Archives: Capital City Securities LLC

Capital City Securities Sanctioned For The Failure To Supervise Keener

October 08, 2020  |   Posted by :   |   Churning, Excessive Trading, Failure To Supervise, Securities Arbitration Claims, Unauthorized Trading, Unsuitable Investment Recommendations   |   Comments Off on Capital City Securities Sanctioned For The Failure To Supervise Keener

Capital City Securities LLC a securities broker dealer headquartered in Powell Ohio has been censured by Financial Industry Regulatory Authority (FINRA) based upon findings that Capital City failed to supervise the suitability of trades that its stockbrokers effected in customer accounts. Letter of Acceptance Waiver and Consent No. Letter of Acceptance Waiver and Consent No. […]

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Capital City Stockbroker Barred In Investigation

Clint Harley Keener of Powell Ohio a stockbroker formerly employed by Capital City Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Keener failed to comply with an investigation into accusations of customers receiving bad investment advice from Keener. Letter of Acceptance […]

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Capital City Securities Fined For Failure To Supervise

December 15, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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Capital City Securities Stockbroker Barred For Selling Fake Investments

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 […]

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