Last Updated: November 2025 — New York, NY
Here’s what you need to know about New York, NY stockbroker Sonia Attkiss:
- Name: Sonia Maria Attkiss
- Alias: Sonia Tron
- Current Employer: UBS Financial Services Inc. (CRD #8174). Registered with UBS since November 20, 2015. Main branch shown at 299 Park Ave, 26th Floor, New York, NY 10171; additional branch listing in Westport, CT.
- Prior Firms: Credit Suisse Securities (USA) LLC (01/2003–12/2015); Donaldson, Lufkin & Jenrette Securities Corporation (09/1997–01/2003).
- Other Business Affiliations: New River Management V, LP (partnership, Radford, VA); The Aldrich Contemporary Art Museum (Ridgefield, CT).
- CRD number: 2936806.
- Stockbroker / Financial Advisor. Currently registered with 10 SROs and licensed in 53 U.S. states/territories.
- Can Broker be Sued in FINRA: Yes
- Highest Award or Settlement: $400,000
If you’ve sustained damages from Mr. Attkiss, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Sonia Attkiss As Your Stockbroker?
- FINRA Arbitration Award (Case No. 20-00941): customers alleged fraud, misrepresentation, unsuitability, unsuitable product, breach of fiduciary duty, negligence, and breach of contract tied to an options overlay strategy at UBS. On December 9, 2021, the panel awarded $40,000 in compensatory damages plus $300 in filing-fee reimbursement.
- Settled Customer Disputes (Options Overlay / In-House Wrap):
- FINRA Case No. 24-00504 alleged unsuitability and misrepresentation regarding recommendations to invest in and hold an options overlay strategy (in-house wrap). Settled $400,000 on May 16, 2025.
- FINRA Case No. 23-02137 alleged unsuitability and misrepresentation related to an options overlay strategy (in-house wrap). Settled $180,000 on May 3, 2024.
- FINRA Case No. 23-01788 (filed June 21, 2023) alleged unsuitability and misrepresentation regarding an options overlay strategy (in-house wrap). Settled $225,000 on December 12, 2024.
- Other Complaint (Trade Execution): An oral customer complaint received June 18, 2025 alleged failure to execute trades as instructed in listed equities; the matter settled $46,733 on August 18, 2025.
Allegations of Broker Misconduct Against Sonia Maria Attkiss
- Unsuitability / Options Overlay Strategy — recommending and holding an options overlay strategy inconsistent with the customer’s objectives may violate FINRA Rule 2111 (Suitability) and, for retail customers, SEC Regulation Best Interest (Exchange Act Rule 15l-1).
- Breach of Fiduciary Duty & Negligence — FINRA Rule 2010 (Standards of Commercial Honor) is often cited alongside such claims.
- Fraud / Misrepresentation or Omission of Material Facts —conduct of this type may implicate FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices).
- Breach of Contract / Failure to Follow Instructions
UBS Financial Services Yield Enhancement Strategy – An options overlay strategy targeting high net worth investors which promised an incremental yield on the investor’s portfolio. Investors were led to believe the YES Program was an Iron Corridor, a low risk options “overlay” strategy, however that was incorrect. Unlike an Iron Corridor, the UBS YES Program’s purchase (calls) and sale (puts) of options was not symmetrical. In addition, UBS bought put options which were further out of the money than the call options. If UBS customers had been apprised of the true risks of the YES Program, they would probably not have invested.
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other UBS Financial brokers
If you have suffered investment losses in an account handled by Sonia Maria Attkiss, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
Firms We Have Pursued On Behalf of Our Clients
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.