Former Alabama Advisor, Keith Rogers, Barred by FINRA After Allegations of Theft

According to FINRA’s Disciplinary and Other FINRA Actions publication and the State of Alabama, Keith Michael Rogers (CRD No. 4987615), a former Alabama Financial Advisor, was the subject of a Cease and Desist Order based on allegations that Rogers engaged in selling away, the sale of unregistered securities, unauthorized fund transfers and conversion. (See Administrative Order No. CD-2014-0016) FINRA further alleged that Rogers misappropriated funds by improperly diverting funds from the bank accounts of certain customers to an account he controlled. (See FINRA AWC No. 2014041532601)

According to FINRA’s Broker Check, Keith Michael Rogers has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Rogers was registered in the securities industry for seven (7) years, and was registered with the following firm(s):

G.L.S & ASSOCIATES, INC.
CRD #47502
HUNTSVILLE, AL
01/2006 – 01/2013

G.L.S. & ASSOCIATES, INC.
CRD #47502
HUNTSVILLE, AL
01/2006 – 01/2006

If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors nationwide. If you have lost money as a result of your broker’s recommendations, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a complimentary initial consultation.

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