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G.L.S. & ASSOCIATES v. ROGERS

2130322.

155 So.3d 263 (2014)

G.L.S. & ASSOCIATES, INC., and G.L. Smith & Associates, Inc. v. Keith ROGERS.

Court of Civil Appeals of Alabama.

May 16, 2014.

Attorney(s) appearing for the Case

William B. Tatum and Edward E. Wilson, Jr. , of Tatum Wilson PC, Huntsville, for appellants.

G. Bartley Loftin III and Harold D. Mooty III of Bradley Arant Boult Cummings LLP, Huntsville, for appellee.

Keith Rogers was employed as a registered representative of G.L.S. & Associates, Inc., and G.L. Smith & Associates, Inc. (hereinafter collectively referred to as "GLSA"), until he resigned from his employment in January 2013. Rogers solicited and effected the sale of securities for GLSA; thus, Rogers is a securities broker...

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