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.
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