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Brian Engstrom, Formerly of Stifel, Nicolaus & Co., Suspended by FINRA for Unsuitable Short-Term Trading of UITs

Jeffrey Sonn
Apr 24, 2020
Posted in Broker / Advisor Investigations

Engstrom was suspended for three months and ordered to pay a $5,000 fine. The Sonn Law Group is investigating allegations that Brian Engstrom made unsuitable[...]