Robert John Head (CRD #240935, Omaha, Nebraska) was barred by FINRA for allegedly exercising discretion in the account of an elderly client diagnosed with dementia without obtaining the customer’s prior written consent to do so. Robert Head was in the securities industry for 45 years. FINRA's findings stated that Head recommended transactions that were qualitatively […]

ROBERT J. HEAD (CRD# 240935) has been permanently barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with firms that sell securities to the public. FINRA reports that allegedly from August 2008 until October 2013, Head who was managing a Stifel Nicolaus trust account for a client, exercised […]