Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sheldon Harber (Harber), previously associated with Geneos Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Harber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $18,000.00 on February 08, 2021.
Client alleges unsuitable recommendation of investment product purchased in 2015.