Huntsville Broker Barred by FINRA

business man holding his head with text asking questions about stock broker misconduct

Keith Michael Rogers (CRD #4987615, Huntsville, Alabama)

was barred by FINRA for his failure to cooperate with FINRA in an investigation. Rogers did not appear for testimony with FINRA.

FINRA's findings stated that the FINRA investigation was into whether Rogers had misappropriated funds by, among other things, improperly diverting funds from the bank accounts of brokerage clients of G.L.S. & ASSOCIATES, INC., to an account he controlled.
(FINRA Case #2014041532601)

Keith Michael Rogers was previously registered with the following securities firm:

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

This ends the summation of information obtained from FINRA’s website under "Disciplinary and Other FINRA Actions, November 2014."

Soreide Law Group represents our clients nationwide before FINRA. If you have sustained losses due to the recommendations of your broker/financial advisor, call us for a free consultation with an attorney at: 888-760-6552.

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