David Funes Fired from Realized Financial

David Funes (CRD #: 5467419), a broker formerly registered with Realized Financial, was fired from that firm, according to his BrokerCheck record, accessed on March 13, 2023. Read on to learn more about his alleged conduct as a broker.

Termination from Realized Financial

On January 24, 2023, David Funes was fired from Realized Financial after allegedly failing to disclose a “criminal event.”

FINRA Rule 2010

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

Criminal Charges

On November 26, 2019, three criminal charges were entered against David Funes: receipt of a kickback in connection with a federal health care benefit program, conspiracy to commit health care fraud, and execution of an illegal monetary transaction.

He allegedly pled guilty to all three charges and they currently remain pending.

Background Information

David Funes has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• Series 66 – Uniform Combined State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 22 – Direct Participation Programs Representative Examination
• Series 7 – General Securities Representative Examination

He previously worked for the following firms:

• Realized Financial (CRD#:22333)
• WealthForge Securities (CRD#:152550)
• Fidelity Brokerage Services (CRD#:7784)

Kurta Law Can Help

If you worked with David Funes 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.