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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 […]
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 […]
Introduction In the intricate and often opaque world of financial markets, brokerage firms wield significant power and influence over retail investors. These firms are expected to act in the best interests of their clients, adhering to regulatory standards and ethical practices. However, as recent investigations have shown, some firms may exploit their positions, causing substantial […]
In the dynamic world of financial regulation, compliance with evolving rules is paramount for any securities firm. Murray Securities, Inc.’s recent sanctions by the Financial Industry Regulatory Authority (FINRA) underscore the importance of adhering to regulatory standards, particularly concerning Regulation Best Interest (Reg BI) and Form CRS. At Bakhtiari & Harrison, our experienced securities attorneys […]
Investors are increasingly finding themselves in complex situations where unsuitable investment products result in significant financial losses. Recent arbitration involving GWG bonds has highlighted critical issues surrounding investment suitability and fiduciary duty. At Bakhtiari & Harrison, our securities attorneys are dedicated to providing legal guidance to investors who have suffered losses due to unsuitable investments […]