Haselkorn & Thibaut—a national investment fraud law firm with over 50 years of experience, a 98% success rate, and millions recovered for clients—has opened an independent investigation into Sonia Maria Attkiss (CRD 2936806), Financial Advisor at UBS Financial Services Inc., based in New York, NY. Investors who have worked with Ms. Attkiss and have concerns about their accounts are encouraged to seek a free, confidential consultation with our team. If you have questions about your investments or suspect potential losses, call Haselkorn & Thibaut at 1-888-994-8066 today. There are no legal fees unless we recover funds for you.
Who Is Sonia Maria Attkiss?
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Sonia Maria Attkiss, also known as Sonia Tron, is a stockbroker and financial advisor registered with UBS Financial Services Inc. (CRD #8174) since November 2015 and operating primarily from New York, NY (299 Park Ave, 26th Floor) with an additional office in Westport, CT. Prior to UBS, Ms. Attkiss was affiliated with Credit Suisse Securities (USA) LLC and Donaldson, Lufkin & Jenrette Securities Corporation, gaining extensive experience since 1997.
Her broad industry experience is paired with numerous registrations, including licensure across 53 U.S. states and territories, and active membership with 10 self-regulatory organizations.
Recent Disclosures and Complaints: A Complete Overview
It is crucial for investors to be aware of the following specific customer complaints and regulatory disclosures associated with Ms. Attkiss:
| Year / Case No. | Nature of Allegation | Status/Outcome |
|---|---|---|
| 2025 / FINRA Case No. 24-00504 | Unsuitability, misrepresentation (options overlay, in-house wrap strategy) | Settled – $400,000 (May 16, 2025) |
| 2024 / FINRA Case No. 23-02137 | Unsuitability, misrepresentation (options overlay strategy) | Settled – $180,000 (May 3, 2024) |
| 2024 / FINRA Case No. 23-01788 | Unsuitability, misrepresentation (options overlay, in-house wrap) | Settled – $225,000 (Dec 12, 2024) |
| 2021 / FINRA Arbitration No. 20-00941 | Fraud, misrepresentation, unsuitability, breach of fiduciary duty & contract (options overlay) | Awarded $40,000 + $300 costs (Dec 9, 2021) |
| 2025 (Oral Complaint) | Failure to execute trades as instructed (listed equities) | Settled – $46,733 (Aug 18, 2025) |
Key Allegations Raised by Investors
- Unsuitable investment recommendations—specifically related to the use and retention of an “options overlay” strategy which may not have matched investor objectives.
- Misrepresentation or omission—customers alleged they were not provided complete and accurate information regarding the risks associated with the in-house wrap options overlay strategy.
- Breach of fiduciary duty & negligence—failure to act with required standards of commercial honor and care.
- Trade execution failures—customer claims regarding failure to complete trades as requested, leading to losses.
UBS Financial Services Yield Enhancement Strategy (YES Program)
One recurrent theme among the complaints is the UBS Yield Enhancement Strategy (YES Program). This options “overlay” approach was marketed as a way to generate incremental yield for high-net-worth investors by employing a so-called “Iron Corridor” strategy.
However, investors allege the risks were either understated or not fully explained, with the options’ complex structure and asymmetry (i.e., purchasing puts further out of the money than calls) differing from a traditional “Iron Corridor.” Many believe that, had they been made aware of the true risk level, they would have chosen not to participate.
Regulatory and Judicial Filings—What Public Records Show
- FINRA BrokerCheck: As of the most recent review, public records show no regulatory actions, criminal or civil proceedings, or pending customer arbitration claims currently filed against Ms. Attkiss. See her current BrokerCheck profile for the latest updates.
- SEC and Federal Court Filings: No enforcement actions, administrative orders, or federal litigation naming Sonia Maria Attkiss as a defendant.
- State Regulator and Media Review: Searches across state security regulator databases and news archives reveal no active disciplinary actions, lawsuits, or additional disclosures outside of those summarized above.
What Should You Do as an Investor?
If you had accounts handled by Sonia Maria Attkiss at UBS Financial Services in New York, NY, and have experienced unexpected losses or questionable investment strategies—particularly related to options overlay or structured products—you may have avenues for recovery through FINRA arbitration. Even if your experience is not listed above, your concerns deserve a careful, independent review by an experienced securities law firm.
- Monitor your portfolios and carefully review statements for unfamiliar or high-risk strategies.
- Document any conversations or written communications with your advisor about investments, especially around risk tolerance and objectives.
- Contact Haselkorn & Thibaut for a free, no-obligation consultation at 1-888-994-8066 to discuss your rights and options.
Why Choose Haselkorn & Thibaut?
- National reputation—over 50 years of combined experience
- Proven record—a 98% success rate and millions recovered for investors
- No recovery, no fee—you pay nothing unless we recover compensation for you
- Personal, confidential guidance—making investor protection our top priority
Call 1-888-994-8066 today for your free, confidential, and risk-free consultation. Don’t wait—protect your financial future and get the answers you deserve with Haselkorn & Thibaut. We’re here to help investors nationwide regain their trust and recover their losses.
