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 […]

On the SEC's website we learn that the Securities and Exchange Commission announced the U.S. Attorney for the District of Massachusetts has charged Andrey C. Hicks of Boston, Mass., in a criminal complaint unsealed on Friday, October 28, 2011. Hicks was charged with committing wire fraud, attempting to commit wire fraud, and aiding and abetting wire fraud, […]