According to a recent FINRA Disciplinary Action, Keith Michael Rogers (CRD #4987615, Huntsville, Alabama) submitted an AWC in he was barred from association with any FINRA member in any capacity.
Without admitting or denying the findings, Rogers consented to the sanction and to the entry of findings that he failed to cooperate with a FINRA investigation by not appearing for testimony. The findings stated that FINRA was investigating whether Rogers had misappropriated funds by, inter alia, improperly diverting funds from the bank accounts of certain brokerage customers of his member firm to an account he controlled.
For the full case information, see FINRA Case #2014041532601.
According to his FINRA Broker Check Report, Rogers was registered with G.L.S. & Associates from January 2006 through January 2013.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9650. For more information on The White Law Group, visit https://whitesecuritieslaw.com.
Tags: Alabama FINRA arbitration lawyer, Huntsville FINRA arbitration attorney, Huntsville investment fraud lawyer Last modified: July 17, 2015