May 8, 2017 Comments (0) Securities Fraud

Joshua Gottlieb Barred From Securities Industry

Joshua Gottlieb
(Last Updated On: May 8, 2017)

FINRA Bars Former California Broker Joshua Gottlieb from Securities Industry

According to the Financial Industry Regulatory Authority, Joshua Gottlieb (CRD # 3160206) has been permanently barred from the securities industry.

In March 2015, FINRA reportedly began an examination of outside business activities that Gottlieb had disclosed to Benefit Funding Services, LLC to determine, among other things, whether Gottlieb allegedly may have participated in private securities transactions or otherwise acted in violation of FINRA rules.

By not providing all of the information and documents and by stating that he will not appear for on-the-record testimony requested by FINRA pursuant to FINRA Rule 8210, Gottlieb allegedly violated FINRA Rules 8210 and 2010. He has reportedly been barred from association with any FINRA member in any capacity.

According to Joshua Gottlieb’s FINRA Broker Report, he was registered with Benefit Funding Services, LLC in Woodland Hills, CA from June 2011 through March 2017. Gottlieb has 14 disclosure events listed on his Broker Report. For FINRA’s full findings see FINRA Case # 2015044604802.

The foregoing information, which is all publicly available, is being provided by The White Law Group.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. The firm represents investors throughout the country in claims against their brokerage firm.

For a free consultation with one of the firm’s securities attorneys, please call (888) 637-5510.

For more information on The White Law Group, visit www.WhiteSecuritiesLaw.com.