The Financial Industry Regulatory Authority has barred a former Marex Capital Markets Inc. rep for failing to produce information and documents related to off-channel communications and systems access.
According to FINRA's order, in December 2023, William K. Weinstein became registered as a general securities representative and a general securities principal with Marex Capital Markets Inc. in San Francisco.
On Feb. 28, 2025, Marex filed a Form U5 stating that Weinstein was terminated for “[v]iolations of Firm policies related to off-channel communications and systems access.”
Weinstein'sBrokerCheck record states that he was discharged from Marex for using an "unapproved email address to conduct firm business and impermissibly provided colleagues his login credentials to access firm systems on his behalf."
In September 2025, Weinstein failed to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and was barred by FINRA.
As stated in counsel’s email to FINRA on Sept. 15, 2025, "Weinstein acknowledges that he received FINRA’s request and will not provide the information or documents requested."
Weinstein consented to FINRA's findings without admitting or denying them.
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