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FINRA’s Tweaks to Arbitrator Selection

The Financial Industry Regulatory Authority (FINRA) is set to implement significant reforms to its arbitrator selection process starting in 2024. These changes aim to enhance the fairness and transparency of the arbitration program, where most industry and customer disputes are resolved. Background of the Reforms In December 2022, FINRA proposed changes to the arbitrator selection […]

Investor Losses and Recovery: The Real Estate Fund Crisis

The real estate fund industry is currently facing unprecedented challenges, with investor withdrawals reaching alarming levels. Starwood Capital Group’s recent decision to impose stringent restrictions on investor withdrawals from its $10 billion real-estate fund has sent shockwaves through the $90 billion private real estate fund sector. This move has highlighted the fragility of investor sentiment […]

J.P. Morgan vs. Former First Republic Advisors: A Legal Battle Over FINRA Arbitration

The ongoing legal battle between J.P. Morgan Securities and former First Republic advisors has garnered significant attention in the financial industry. At the heart of the dispute is J.P. Morgan’s attempt to block these advisors from pursuing counterclaims in arbitration proceedings before FINRA. This case highlights the complexities of employment disputes within the securities industry […]

Robust Compliance: The Role of Securities Lawyers at Bakhtiari & Harrison

In the intricate realm of financial regulation, maintaining a robust supervisory system is paramount to ensuring compliance and protecting investors’ interests. The recent sanctions against Barclays Capital Inc. highlight the critical need for comprehensive oversight, particularly in managing conflicts of interest and trading restrictions. At Bakhtiari & Harrison, our experienced securities lawyers are dedicated to […]

Starwood Capital Group’s Drastic Policy Change: Impact on SREIT Investors

Last month, Starwood Capital Group announced a significant change to the buyback policy for its $10 billion fund, Starwood Real Estate Income Trust (SREIT). On Thursday, May 23rd, Starwood’s owner Barry Sternlicht and CEO Sean Harris stated that the company would now only buy back 1% of the fund’s assets annually, a steep drop from […]