Toria Noelle Briggs (also known as Toria Scotto), of Washington, D.C., a stockbroker registered with UBS Financial Services Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that settled for $160,000.00 in damages. The claim alleged that Briggs failed to disclose liquidity limitations and certain selling-related restrictions imposed by a third-party money manager during the time that Briggs was associated with UBS Financial Services Inc. FINRA Arbitration No. 22-02658 (September 3, 2023).
FINRA Public Disclosure reprts that a previous customer initiated investment related complaint was filed on August 23, 2022, where the customer alleged damages of $110,776.81 based on assertions that Briggs misrepresented the liquidity and selling conditions of bonds managed by Alliance Bernstein during her association with UBS Financial Services Inc. This complaint was denied by her employer.
Briggs has been associated with UBS Financial Services Inc. in Washington, D.C. since April 23, 2007.
