Ryan Spencer Barred by FINRA for Alleged Refusal to Provide Testimony

Ryan Spencer (CRD #: 6595452), a broker formerly registered with Deloitte Corporate Finance, has been barred by FINRA, according to his BrokerCheck record, accessed on June 14, 2025. Read on to learn more about his alleged conduct as a broker.

Bar by FINRA

On May 14, 2025, Ryan Spencer consented to the entry of findings that he allegedly refused to appear for on-the-record testimony requested by FINRA.

According to a Letter of Acceptance, Waiver & Consent (AWC), FINRA allegedly requested his testimony in connection with an investigation into a Form U5 (Uniform Termination Notice for Securities Industry Registration) filed by Deloitte Corporate Finance.

The firm allegedly disclosed that Ryan Spencer was permitted to resign following a failure to comply with the firm’s expense policy.

The AWC concluded that the alleged refusal to provide testimony constituted a violation of FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Ryan Spencer was permanently barred by FINRA on May 14, 2025. You can read a copy of the AWC here.

Background Information

Ryan Spencer has passed the following exams:

• Investment Banking Registered Representative Examination – Series 79TO
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Securities Agent State Law Examination – Series 63

He has also worked for Deloitte Corporate Finance (CRD#:111747) and Investment Professionals (CRD#:30184).

Kurta Law Can Help

If you worked with Ryan Spencer and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.