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.

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.