Jo Ann Marie Head
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/23/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JO ANN MARIE HEAD (CRD No. 3009195), Respondent. DISCIPLINARY PROCEEDING No. 2009017530101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent and former Morgan Stanley Smith Barney (the Firm) representative, Jo Ann Marie Head engaged in an extensive course of misconduct from at least early 2005
07/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JO ANN MARIE HEAD (CRD No. 3009195), Respondent. Disciplinary Proceeding No.2009017530101 Hearing Officer- SNB DEFAULT DECISION July 7,2011 Respondent is barred from associating with any FINRA registered firm for: (1) conveying false and exaggerated account values to two customers, in violation of NASD Rule 2110
Reference 2009017530101data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3009195 |
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