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Sonia Atkiss: Options Complaints Against UBS Broker

According to Financial Industry Regulatory Authority (FINRA) records, UBS Financial Services broker and investment adviser Sonia Atkiss (CRD# 2936806) has received several pending customer complaints. The complaints against Atkiss, who is registered with UBS’s offices in New York City, cumulatively allege more than $9 million in damages.

An April 2020 complaint alleges that Sonia Atkiss, while registered with UBS Financial Services, made misrepresentations regarding an unsuitable recommendation to invest in an options overlay strategy. The complaint, which remains pending, alleges $1.4 million in damages.

A March 2020 complaint makes the same allegations about the same strategy, detailing a time frame spanning from 2016 to the present, and alleges $1.2 million in damages.

A third complaint about the options strategy also alleges unsuitability and misrepresentation, from 2017 until 2019. This complaint alleges $750,000 in damages.

Sonia Atkiss’s FINRA records list a fourth complaint about the options overlay strategy, alleging that it was misrepresented and unsuitable, with the listed time frame stretching from “Mid 2017” until the present. This complaint alleges unspecified damages, and was filed in October 2019.

Her records list as well a June 2019 complaint alleging that the strategy was misrepresented by UBS Financial Services and unsuitable for the customer. This complaint alleges damages of $6 million.

A May 2019 complaint alleges that Atkiss, as a representative of UBS, made misrepresentations regarding the allegedly unsuitable options strategy, from 2017 until the present. This complaint alleges unspecified damages.

All of the above complaints about Sonia Atkiss remain pending before FINRA.

Sonia Atkiss has been registered as a broker with UBS Financial Services in New York, New York since 2015. Her previous registrations include Credit Suisse Securities in New York, New York, where she was registered from 2003 until 2015, and Donaldson Lufkin & Jenrette in New York, New York and Jersey City, New Jersey, where she was registered from 1997 until 2003. She has passed three securities industry examinations and her BrokerCheck report lists 55 states securities licenses. (Information current as of July 12, 2020.)

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