Person
Screen this subjectJason Brooks Head
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/15/2025: Between at least July 2020 through November 2023, while associated with Morgan Stanley, Head converted over $498,000 from two firm customers for his personal use, violating FINRA Rules 2150(a) and 2010.
Reference 2024081567201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4920135 |
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