Stoltmann Law Offices is investigating Sheldon J. Harber, who recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). He is accused of participating in private securities transactions by investing, and facilitating investments for six other investors, in a private company between January 2013 and August 2014. He invested a total of $435,000 in the private company through his company, Aisle411 Inc. which he started. This is commonly referred to as “selling away” and is used to garner large commissions for the broker. It is against securities rules and regulations.
Harber was registered with Manequity Inc. from June 1979 until July 1980, Chubb Securities from April 1980 until March 1988, Transamerica Securities in Los Angeles, California from March 1988 until May 1993, Transamerica Financial Resources in Los Angeles from March 1988 until May 1993, FSC Securities in Atlanta, Georgia from May 1993 until November 2002, Cambridge Investment Research in St. Louis, Missouri from November 2002 until September 2014 and Geneos Wealth Management in St. Louis from August 2014 until January 2016. He has one customer dispute against him and he is not licensed within the industry. You may be able to sue Geneos Wealth Management for financial losses. Please call our securities law offices to find out how.
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