Tag Archives: Brian Douglas Engstrom

Oppenheimer Broker Sanctioned For Churning Unit Investment Trusts

April 23, 2020  |   Posted by :   |   Excessive Trading, Unit Investment Trusts (UITs)   |   Comments Off on Oppenheimer Broker Sanctioned For Churning Unit Investment Trusts

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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