According to FINRA, Jonothon Michael Lieberman (CRD #2237428, Woodbury, New York) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Lieberman consented to the sanction and to the entry of findings that he refused to provide documents and information, appear for on-the-record testimony, and cooperate with a FINRA investigation concerning various potential sales practice violations.
For FINRA’s full findings, see FINRA Case #2016049081401.
According to his FINRA BrokerCheck, Lieberman was registered with Rockwell Global 12/2010 – 01/2015. His BrokerCheck also indicates that he has been the broker of record on more than 10 customer complaints during his time in the securities industry.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information on the firm and it’s representation of investors, visit https://whitesecuritieslaw.com.
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Tags: Jonothon Lieberman financial advisor, Jonothon Lieberman FINRA investigation, Jonothon Lieberman FINRA lawsuit, Jonothon Lieberman FINRA litigation, Jonothon Lieberman investment advisor, Jonothon Lieberman Rockwell Global, Jonothon Lieberman Woodbury New York Last modified: July 19, 2016