Glauco Silva Marques (CRD #6459613) Has an Employment Separation Disclosure on FINRA BrokerCheck

Glauco Silva Marques (CRD #6459613) was previously registered as a broker. We reviewed his FINRA BrokerCheck report on April 15, 2026. It reflects one employment separation disclosure. If you invested with Glauco Marques and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Employment Separation

Glauco Marques’s FINRA BrokerCheck report reflects one employment separation disclosure. A summary of the disclosure is below:

On February 6, 2026, Barclays Capital Inc. discharged Glauco Marques. Glauco Marques’s FINRA BrokerCheck report states the allegations related to the creation of inaccurate expense reports for meals with coworkers. BrokerCheck lists the product type as no product. The report identifies the reporting source as the firm.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires firms to observe high standards of commercial honor and just and equitable principles of trade. When a disclosure involves inaccurate expense reporting, investors may question a broker’s honesty and professional judgment.

Rule Summary #2: FINRA Rule 4511 (General Requirements)

FINRA Rule 4511 requires firms to make and preserve required books and records. Expense reporting issues can raise concerns about the accuracy of records created or kept in the ordinary course of business.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Glauco Marques:

Was previously registered with Barclays Capital Inc.

Has passed the Securities Industry Essentials (SIE) exam. Glauco Marques has also passed Series 7, Series 63, Series 24, and Series 3.

Worked in New York, New York during the registration history listed in BrokerCheck.

Kurta Law Can Help

If you worked with Glauco Marques and have concerns about your account, Kurta Law may be able to help you review your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Security Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.