Sheldon J. Harber—Private Securities Transaction in a Private Company

Sheldon J. Harber Allegedly Participated in Private Securities Transactions by Investing, and Facilitating Investments for Six Other Investors in a Private Company

Sheldon J. Harber allegedly participating in private securities transactions by investing, and facilitating investments for six other investors, in a private company, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan Rosca and Joe Peiffer.

Sheldon J. Harber and one of Harber’s customers allegedly formed and organized an outside investment vehicle called Aisle411 Partners, LLC in order to pool the funds and purchase shares in Aisle411, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Shelodn J. Harber’s participation in private securities transactions by investing, and facilitating investments for six other investors, in a private company.

Sheldon J. Harber and Six Investors Invested a Total of $435k in Aisle411 Inc through Aisle411 Partners Suspended and Fined $10,000 by FINRA

Sheldon J. Harber and one of Harber’s customers allegedly formed and organized an outside investment vehicle called Aisle411 Partners, LLC with the idea to gather together the funds and purchase shares in Aisle411, according to the aforementioned AWC currently under review by attorneys Alan Rosca and Joe Peiffer.

Harber and the six investors invested a total of $435k in Aisle411 Inc through Aisle411 Partners, the AWC also notes. As a result of Harber’s alleged participation in private securities transactions, Harber purportedly violated FINRA Rules, and has been suspended and fined $10,000 by FINRA, the AWC notes.

One should also note that, according to the AWC, Sheldon J. Harber neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged private securities transactions. They are currently investigating Sheldon J. Harber and his alleged private securities transactions. 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 Sheldon J. Harber and his alleged private securities transactions may 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 (1168 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.