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.

Between September 2018 and December 2020, Turner recommended trading in accounts held by three customers that was excessive, unsuitable, and not in their best interest. By this conduct, Turner willfully violated Rule 15-l(a)(1) under the Securities Exchange Act of 1934 (Reg BI) (for conduct on and after June 30, 2020), violated FINRA Rule 2111 (for conduct prior to June 30, 2020), and violated FINRA Rule 2010.