Tag Archives: Elaine D. LaCerte

Morgan Stanley Stockbroker Suspended

September 15, 2017  |   Posted by :   |   Unit Investment Trusts (UITs)   |   0 Comments

Elaine D. LaCerte, of Colorado Springs, Colorado, a stockbroker formerly registered with Morgan Stanley, has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she pursued a unit investment trust trading strategy that was unsuitable for customers. […]

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