Joshua Brian Gladtke—Alleged Sales of Multiple Private Placements, Failure to Appear for On-the-record Testimony Regarding Such Sales

investment fraud attorney ClevelandJoshua Brian Gladtke Allegedly Failed to Appear for On-the-record Testimony in Connection with an Investigation into the Offer and Sale of Multiple Private Placement Securities

Joshua Brian Gladtke allegedly failed to appear for on-the-record testimony in connection with an investigation into, among other things, the offer and sale of multiple private placement securities, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC).

Joshua Brian Gladtke allegedly received a letter from FINRA staff on August 6, 2015 requesting that Gladtke appeared for on-the record testimony on August 26, 2015, the AWC notes.

What is more, on August 25, 2015, the AWC reports, Gladtke’s counsel requested a postponement of the scheduled testimony, and, on Augost 27, 2015, FINRA staff sent a letter pursuant to FINRA Rules requesting that Gladtke appear for on-the-record testimony on September 29, 2015.

Joshhua Brian Gladtke Barred by FINRA from Associating with any FINRA Member in any Capacity

Gladtke, on September 24, 2015, had his counsel inform FINRA staff that Joshua Brian Gladtke would reportedly not attend the testimony scheduled for September 29, and Gladtke did not appear for the September 29 testimony, according to the AWC.

By this agreement, Gladtke acknowledges that he will not appear for on-the-record testimony at anytime, the AWC reports. By failing to appear for testimony as requested pursuant to FINRA Rules, Gladtke violated FINRA Rules, and thus, has been suspended by FINRA from associating with any FINRA member firm, the AWC notes.

One should also note that, according to the AWC, Joshua Brian Gladtke neither admitted nor denied the FINRA findings.

The Peiffer Rosca Wolf Securities Lawyers Often Assist Investors

The Peiffer Rosca Wolf securities lawyers assist investors who lose money as a result of the offer and sale of multiple private placement securities. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of the offer and sale of multiple private placement securities are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1225 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.