Spencer John Von Rueden at UBS FINANCIAL SERVICES INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 6597474
Spencer John Von Rueden is an Investment Adviser, associated with UBS FINANCIAL SERVICES INC. located at BROOKFIELD, WI. Spencer Von Rueden’s Central Registration Depository (CRD) number is 6597474 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for Spencer Von Rueden

    • Event Date: 3/22/2019
    • Disclosure Type: Employment Separation After Allegations
    • Resolution:
    • Firm Name: Empowered Financial Management
    • Termination Type: Discharged
    • Allegations: Failing to scan client mail in a timely manner
    • Broker Comment: I had accidentally left some client mail in my desk drawer for 3 days rather than scanning it into the firm server right away so this was a compliance-related error. The mail was just general information and the mistake had no negative financial effect on any of the firm’s clients. The firm had also come to realize that they were no longer in need of my services due to going in a different direction as a company and the split was amicable. I am not sure if this falls under the umbrella of \investment-related\ reason for being discharged but I am including it in this form just in case in order to be as transparent as possible.
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Should I file a FINRA complaint against brokers like Spencer John Von Rueden?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by Spencer John Von Rueden’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About Spencer John Von Rueden

What is Spencer Von Rueden's Central Registration Depository (CRD) Number?


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Where can I find more details about Spencer Von Rueden's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/8174 to read a detailed report for UBS FINANCIAL SERVICES INC.

Are there any disclosures, allegations or complaints filed against Spencer John Von Rueden?

Yes. There are disclosures, allegations, or complaints filed against Spencer John Von Rueden. Click here to view all details

Where can I download a detailed FINRA report for Spencer Von Rueden?

Click here to download a detailed FINRA report for Spencer Von Rueden

Is it safe to do business with Spencer John Von Rueden?

We’re not sure. Please research Spencer Von Rueden’s disclosures, allegations and complaints before taking a decision

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Originally posted on November 17, 2022 @ 8:58 pm

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