RedFlag, Allegation and/or Complaint against Spencer John Von Rueden
Disclosure #1 for Spencer Von Rueden
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- 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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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.
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Originally posted on November 17, 2022 @ 8:58 pm
