Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Marex Capital Markets Inc., to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
Marex Capital Markets Inc. is a broker-dealer and futures commission merchant owned by Marex that provides execution and clearing in securities and in commodity futures and options. Formerly ED&F Man Capital Markets, the firm took its current name after Marex acquired it at the end of 2022 and is a member of major exchanges including the Chicago Board of Trade, Chicago Mercantile Exchange, and New York Mercantile Exchange.
Marex Capital Markets Inc. – By the Numbers:
- CRD #: 161014
- Regulatory Events: 42
- Broker Employees: 214
Marex Capital Markets Inc. – In the News:
FINRA v. Marex Capital Markets Inc. (Case #2023077835901) – Between September 2020 and October 2025, Marex inaccurately reported to the Trade Reporting and Compliance Engine (TRACE) the No Remuneration (NR) indicator, the When-Issued Transaction indicator, and certain trade modifiers on more than 46,500 transactions in TRACE-eligible U.S. Treasury securities, in violation of FINRA Rules 6730(d) and 2010. Between September 2020 and December 2025, Marex failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 6730(d), in violation of FINRA Rules 3110 and 2010. For these violations, Marex is censured and fined $100,000.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.