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 […]

Timothy Michael McGinn (CRD #813935, Registered Principal, Schenectady, New York) and David Lee Smith (CRD #427284, Registered Principal, Saratoga Springs, New York) were barred from association with any FINRA member in any capacity. The sanctions were based on findings that Smith misused investor funds when he sold approximately $89 million in income notes issued by […]