PRACTICE AREAS

For the past 25 years, Jake Loftus has closely intertwined his professional career with the financial services community. He spent 16 years as a litigator with a prominent west coast law firm where he represented a wide range of financial services clients, including investment banks, broker-dealers, directors, officers and senior employees in litigation, arbitration and regulatory matters. Mr. Loftus has been involved as lead counsel in scores of state and federal court filings, class actions, arbitrations and regulatory matters where he handled disputes involving equities, bonds, unit trusts, mutual funds, bond funds, repos and reverse repos, CMOs (POs, IOs, floaters, inverse floaters, etc.), options, and countless other investment products. He regularly counsels clients in the financial services community on employment issues and has litigated/arbitrated disputes on sexual harassment, discrimination and compensation related to awards of warrants to investment bankers. Mr. Loftus has significant experience representing clients in investigations and proceedings before the SEC, NYSE, NASD (now FINRA) and other agencies and regulatory bodies.

In 2002, Bear Stearns (now JP Morgan) recruited Mr. Loftus as a Senior Managing Director and Branch Manager for the Los Angeles office, the largest branch outside of the firm’s flagship New York office. At Bear Stearns, Mr. Loftus held the Series 7, 63, 65, 9, 10, 24, and 3 securities registrations and managed an office with over 200 people where he was responsible for the supervision of approximately 125 to 150 people. In addition to his supervisory responsibilities, Mr. Loftus coordinated all legal and regulatory matters for the Los Angeles office and served as the primary liaison with outside counsel, often testifying on behalf of the firm in civil and regulatory matters.

Mr. Loftus resigned from Bear Stearns in early 2009 following the merger with JP Morgan to join CITIC Securities International Partners, Ltd. (“CSIP”) as General Counsel and Chief Administrative Officer. With offices in Los Angeles and New York and a presence in Hong Kong and Beijing, CSIP was a China focused, cross-border financial services firm that included large and sophisticated corporate entities as its shareholders and alliance partners. In his role as General Counsel and advisor to the CEO, Mr. Loftus managed all firm operations and offered advice on mergers and acquisitions and related corporate finance matters, and also provided legal advice to the firm’s offshore China-focused private equity fund. Mr. Loftus coordinated the formation of an SEC registered and FINRA member broker-dealer where he served as Chief Compliance Officer and held the Series 7, 79, 63 and 24 registrations.

Mr. Loftus has appeared as a panelist at the Securities Industry Association’s (now SIFMA) annual Legal & Compliance Seminar and has made presentations to securities brokerage firms on supervision, risk management and best practices.

ADMITTED TO PRACTICE

California

U.S. District Court, Central District of California, 1987; U.S. District Court, Southern District of California, 1987


EDUCATION

J.D., Whittier Law School, 1986

B.A., Saint Michael’s College, 1980