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UPDATE! Keith M. Rogers and G.L.S. & Associates, Inc.

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22
Jun

UPDATE! Keith M. Rogers and G.L.S. & Associates, Inc.

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Keith M. Rogers and G.L.S. & Associates, Inc.

Have you lost money with financial advisor Keith M. Rogers of Huntsville, Alabama?  We are investigating accusations made against Keith Rogers that he stole money from his clients.  According to AL.com, Keith Rogers was recently arrested and accused of committing stock fraud and other related charges.

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.

 

If you have lost money through Keith M. Rogers or G.L.S. & Associates and want to hear about ALL legal options, please visit https://www.israelsneuman.com/ and go to our CONTACT page or call us at 720-599-3505.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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