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Oppenheimer Broker Sanctioned For Churning Unit Investment Trusts

April 23, 2020 | Posted by : Guiliano Law Group | Excessive Trading, Unit Investment Trusts (UITs) | Comments Off

Brian Douglas Engstrom (also known as Brian Douglas Cordes) of Pensacola Florida a stockbroker formerly registered with Oppenheimer Co. Inc. has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he provided bad investment recommendations to his […]

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Oppenheimer Broker Sanctioned For Churning Unit Investment Trusts

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