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Investor Seeks $2.3 Million in Dispute with Charles Funk

Charles Funk (CRD #: 5607011), a broker registered with Goldman Sachs & Company, allegedly failed to inform a client, according to his BrokerCheck record, accessed on November 16, 2022. Keep reading to learn more about his conduct as a broker.

Investor Dispute

On August 22, 2022, an investor filed a dispute against Goldman Sachs & Company alleging that Charles Funk failed to disclose the risk associated with certain investment strategies. The investor seeks $2.3 million in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of manipulation, deception, and other fraudulent means of influencing the purchase or sale of securities. This includes the misrepresentation or omission of information related to an investment.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 are also violations of FINRA Rule 2010. 

Background Information

Charles Funk has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 3 – National Commodity Futures Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Charles Funk is a registered broker in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

He has also worked for Brinker Capital Securities (CRD#:38123) and Delaware Distributors (CRD#:14232).

Kurta Law Can Help

If you worked with Charles Funk 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 and 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. 

 

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