Category Archives: GLS & Associates

G.L.S. & Associates Broker Keith Rogers Sanctioned by Securities Regulator

October 1, 2014- Huntsville, Alabama- Keith Michael Rogers was barred from the securities industry by FINRA to resolve allegations that he failed to cooperate with a FINRA investigation involving potential conversion and misuse of customer’s funds.

In June 2014 FINRA investigated whether Rogers, while employed by G.L.S. & Associates has misappropriated funds by improperly diverting funds from the bank accounts of certain GLS brokerage customers to an account he controlled. Rogers, though his counsel, advised that he would not appear for testimony on September 14, 2014 in violation of FINRA Rules.

Rex Securities Law , located in Boca Raton, FL, provides nationwide representation to investors seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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