Peter Rukeyser: $3 Million Complaint Against UBS Advisor

A new investor complaint against New York City and Greenwich financial advisor Peter Rukeyser (CRD# 2500523) alleges that an options overlay investment resulted in seven-figure damages. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with UBS Financial Services.

Mr. Rukeyser’s BrokerCheck report discloses two investor complaints. The most recent, filed in October 2022, alleges that as a representative of UBS Financial Services, he misrepresented and recommended an unsuitable investment in an options overlay strategy in or around August 2017. The pending complaint alleges damages of $3 million.

An earlier investor complaint, filed in 2019, similarly alleged misrepresentation and unsuitability connected to a recommendation to invest in and hold an options overlay strategy starting in January 2017. The pending complaint alleges damages of $725,000.

According to the Financial Industry Regulatory Authority, Peter Rukeyser holds 27 years of securities industry experience. Based in New York City, he has been a broker and an investment advisor with UBS Financial Services since 2009. He is also registered with the firm’s branch office in Greenwich, Connecticut. His past registrations include Morgan Stanley & Company in New York City, where he was registered from 1995 until 2009. His credentials include the passage of five securities industry qualifying exams: the National Commodity Futures Examination, or Series 3; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. (Information current as of February 5, 2023.)

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