10.0David P Neuman
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WARNING! Impending Investigation–KEITH M. ROGERS and G.L.S. & ASSOCIATES, INC.

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Oct

WARNING! Impending Investigation–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.  Rogers was recently 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.  Our attorneys have represented numerous investors in Alabama against securities brokerage firms like G.L.S. & Associates.  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/ or call us at 720-599-3505.

Click here to read the Cease & Desist Order:  Rogers – Ala. Sec. C&D

Click here to view FINRA AWC regarding Keith M. Rogers:  Rogers FINRA AWC

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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