KEITH M. ROGERS (CRD# 4987615), 41, of Huntsville, Alabama, was arrested and charged with 10 counts by the Alabama Securities Commission with stock fraud. Allegedly, according to the Alabama Securities Commission, Rogers used approximately $2.5 million dollars of investors' funds to pay his own personal expenses, and used as 'Ponzi-scheme' payments to his earlier investors. Also allegedly, Rogers forged documents to facilitate a series of fraudulent acts on his victims.
Rogers was held on $2 million bond and if convicted on the charges, Rogers faces a maximum of 20 years imprisonment and a $30,000 fine for each count.
Rogers was sued last year by a client and her family members, and also by Kenneth Darby, a former Alabama star running back. The lawsuit seeks damages and multiple claims which included conversion of $2.4 million in the plaintiffs' assets.
According to FINRA's BrokerCheck, KEITH M. ROGERS was previously registered with the following firms:
01/2006 - 01/2013 G.L.S. & ASSOCIATES, INC. (CRD# 47502) - HUNTSVILLE, AL
01/2006 - 01/2006 G.L.S. & ASSOCIATES, INC. (CRD# 47502) - HUNTSVILLE, AL
If you have experienced financial losses due to Keith M. Rogers, contact the Soreide Law Group for a free consultation on how to potentially recover your losses at 888-760-6552. We represent our clients nationwide.
Summit Brokerage and Independent Financial Group each appear on a pending customer claim naming Gilbert Conrad (CRD 2746778). Both claims are unproven allegations. His BrokerCheck report also lists settled disputes at Arkadios Capital and Independent Financial Group.
On August 6, 2026, a customer filed a $400,000 FINRA arbitration naming Chad McQuade (CRD 5436281) and Northwestern Mutual. The claim involves outside, third-party real estate investments. It is pending, and McQuade disputes it in a written response.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
Phone:
Fax: 1-954-760-6553
Email: [email protected]