Last Updated: November 2023 (Austin, Texas)
David Funes Investigation Summary
Here’s what you need to know about Austin, TX, stockbroker David Funes:
- Name: Mr. David John Funes
- Current Employer: Currently suspended by FINRA
- DBA:
- Previous Firms: Realized Financial, Wealthforge Securities, Fidelity Brokerage Services
- Function: Stock Broker/ Financial Advisor
- Aliases: David Funes
- Primary Location: Austin, TX
- CRD 5467419
- Can David Funes be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Discharged by prior employer: Yes
- Discloses Pending Criminal Charge: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With David Funes As Your Stockbroker?
According to his CRD has David Funes pled guilty to three felonies, 18 U>S>C> 1349 Conspiracy to Commit Healthcare Fraud, 18 U.S.C. 1957, Illegal Monetary Transaction, and 42 U.S.C. 1320a-7b(b)(1)(A), Receipt of a Kickback in Connection with a Federal Health Care Benefit.
David Funes was discharged by Realized Financial in 1/2023 for failing to disclose a criminal event.
In 9/2023 FINRA suspended David Funes, indefinitely, for failure to cooperate with a regulatory investigation.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by David Funes, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
