UPDATE! Keith Rogers and G.L.S. & Associates, Inc.
Ponzi Scheme: Keith Rogers and G.L.S. & Associates, Inc.
Have you lost money with financial advisor Keith Rogers of Huntsville, Alabama? We are investigating accusations made against Keith Rogers that he stole money from his clients. According to ABC Waay 31’s website, Keith Rogers recently pled guilty to running a $2.5 million Ponzi scheme.
In October 2014, Rogers was barred from the securities industry by FINRA (the Financial Industry Regulatory Authority) for failing to appear for an investigative interview, in connection with FINRA’s investigation into allegations that Rogers stole money from his clients and sold unauthorized investments in R&P Development LLC. FINRA alleges that Rogers ran this scheme from October 2009 to July 2013. Furthermore, the Alabama Securities Commission issued a cease and desist order against Rogers and ordered him to refrain from selling unregistered securities of R&P Development.
Keith M. Rogers was a registered representative and financial advisor with G.L.S. & Associates, Inc. from January 2006 to January 2013. He was also affiliated with Warren Averett Asset Management.
Broker-dealers like G.L.S. & Associates Inc. have a duty to supervise the conduct of their financial advisors. If a broker-dealer like G.L.S. & Associates fails to adequately supervise their advisors and representatives, the broker-dealer may have liability for customer losses.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Alabama. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond Anthony, ProEquities, Securities America, National Securities Corp., and many others.
HAVE YOU LOST MONEY WITH KEITH ROGERS OR G.L.S. & ASSOCIATES?
Denver Office: (720) 599-3505
Seattle Office: (206) 795-5798
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DENVER: (720) 599-3505
SEATTLE: (206) 795-5798