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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061356301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Dewey Church, Respondent Former Registered Representative CRD No. 5186495 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Church submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2015048347902 Capital City Securities, LLC CRD 146001 AWC sl (2020-1603585168711).pdf
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.
2018058547502 Tony Kassaei CRD 4375259 AWC sl (2020-1603585169145).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2018058547502
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Tony Kassaei, Respondent
Former General Securities Principal and Former General Securities Representative
CRD No. 4375259
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Tony Kassaei submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.