Published on:

Joshua Gottlieb Was Sanctioned by FINRA


Joshua Gottlieb

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 12, 2017 indicate that former California-based Benefit Funding Services broker Joshua Gottlieb has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gottlieb (CRD# 3160206).

Joshua Gottlieb has spent twelve years in the securities industry and was most recently registered with Benefit Funding Services in Woodland Hills, California (2011-2017). Previous registrations include World Equity Group in Chagrin Falls, Ohio; Benefit Funding Services in Chagrin Falls, Ohio; and Ogilvie Security Advisors Corporation in Chagrin Falls, Ohio. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Joshua Gottlieb has received one FINRA sanction and one customer complaint.

In May 2017 FINRA sanctioned him following allegations that “during the course of an ongoing FINRA examination, he did not respond fully to FINRA’s request for information and documents and stated that he will not appear for an on-the-record testimony requested by FINRA.” FINRA stated further that “FINRA began an examination of outside business activities that Gottlieb had disclosed to his member firm to determine, among other things, whether Gottlieb may have participated in private securities transactions or otherwise acted in violation of FINRA rules.” He was barred from acting as a broker or otherwise associating with firms that sell securities to the public.

In 2010 a claimant alleged Joshua Gottlieb, while employed at Benefit Funding Services and as its owner, breached a contract. The complaint settled for $15,000.

If you or someone you know has complaints regarding Joshua Gottlieb, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.