Elaine LaCerte — Alleged Unsuitable Pattern of Short-term Trading

by Alan Rosca
Elaine D. LaCerte Allegedly Engaged in an Unsuitable Short-term Trading of Unit Investment Trusts (UIT’s) in 107 Customer Accounts Elaine LaCerte, between July 1, 2012 and December 31, 2014, allegedly engaged in an unsuitable short-term trading pattern of unit investment trusts (UIT’s) in customer accounts, according to a recent Letter of Acceptance, Waiver and Consent (AWC) cur ...Read the full article