Sonia Maria Attkiss (also known as Sonia Tron), of New York, New York, a stockbroker registered with UBS Financial Services Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $525,000.00 in damages based upon allegations that Attkiss made misrepresentations of material fact and made unsuitable recommendations of options overlay strategies during the time that Attkiss was associated with UBS Financial Services Inc. FINRA Arbitration No. 23-01788 (June 21, 2023).
FINRA Public Disclosure shows that Attkiss is referenced in fourteen (14) other customer initiated investment related disputes concerning Attkiss’ conduct while associated with securities broker dealers, including UBS Financial Services Inc. On March 25, 2020, a customer filed an investment related FINRA securities arbitration claim involving Attkiss’ conduct in which the customer requested $1,200,000.00 in damages based upon allegations that Attkiss made misrepresentations and provided unsuitable advice about options when Attkiss was associated with UBS Financial Services Inc. FINRA Arbitration No. 20-00965.
On December 9, 2021, a customer initiated investment related FINRA securities arbitration claim involving Attkiss’ conduct resulted in the customer being awarded $40,000.00 in compensatory damages because the securities broker dealer was held liable for sales practice violations. FINRA Arbitration No. 20-00941. The Statement of Claim alleged that UBS breached a contract, was negligent, breached fiduciary duties, made unsuitable recommendations, made misrepresentations, and committed fraud in connection with the sale of options.
Attkiss is also referenced in a customer initiated investment related civil action in which the customer requested compensation based upon allegations that Attkiss made omissions about risks of Yield Enhancement Strategy (YES). Civil Action No. 1:21-cv-10361 (December 10, 2021).
On January 12, 2022, a customer initiated investment related FINRA securities arbitration claim involving Attkiss’ conduct was settled for $330,000.00 in damages based upon allegations that Attkiss made unsuitable recommendations and made misrepresentations in connection with the sale of options. FINRA Arbitration No. 20-00933.
A different customer filed an investment related FINRA securities arbitration claim concerning Attkiss’ conduct in which the customer requested $650,000.00 in damages based upon allegations that Attkiss provided unsuitable advice and made misrepresentations about options during the time that Attkiss was associated with UBS Financial Services Inc. FINRA Arbitration No. 22-02154 (September 21, 2022). On October 17, 2022, a customer initiated investment related FINRA securities arbitration claim involving Attkiss’ conduct was settled for $240,000.00 in damages based upon allegations that Attkiss made misrepresentations and unsuitable recommendations of options overlay strategies. FINRA Arbitration No. 19-03085.
Attkiss was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $699,943.11 in damages based upon allegations that Attkiss made unsuitable recommendations and misrepresented options overlay strategies. FINRA Arbitration No. 22-01622 (February 2, 2023). On February 17, 2023, a customer initiated investment related FINRA securities arbitration claim involving Attkiss’ conduct was settled for $660,000.00 in damages based upon alleged misrepresentations and unsuitable advice. FINRA Arbitration No. 20-01074.
Attkiss has been associated with UBS Financial Services Inc. as a stockbroker and as an investment advisor representative since November 20, 2015.
