Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Conigliaro (Conigliaro), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Conigliaro recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $140,301.00 on February 07, 2025.
Time Frame: October 2nd, 2023 to June 28th, 2024\, What were the allegations against the individual? The attorney for Trustee alleges that transactions were made in the client’s account that were not in the best interest of the client and outside the normal withdrawal patterns. Attorney further alleges that no review was conducted to prevent the suspicious and unusual withdrawals resulting in depletion of the client’s account resulting in elder abuse.
