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Jake Loftus represents financial services companies in complex litigation and regulatory matters. Drawing upon 25 years’ experience as an attorney, licensed supervisor at a major investment bank and general counsel at a startup M&A firm, Jake has served as lead counsel in scores of state and federal court filings, class actions, arbitrations and regulatory matters involving equities, bonds, unit trusts, mutual funds, bond funds, repos and reverse repos, CMOs, options and countless other investment products. He regularly counsels clients in employment disputes and has litigated and arbitrated matters involving compensation related to awards of warrants to investment bankers and sexual harassment and discrimination claims.

Prior to joining Stroock in 2011, Jake spent 16 years as a litigator with a prominent west coast law firm. He was recruited in 2002 by Bear Stearns (now JPMorgan) as a Senior Managing Director and Branch Manager for its 200-employee Los Angeles branch (the largest outside of the firm’s flagship New York office), where he was responsible for the supervision of approximately 150 people. He coordinated all legal and regulatory matters for the office and was primary liaison with outside counsel, often testifying on behalf of the firm in civil and regulatory matters. At Bear Stearns, Jake held the Series 7, 63, 65, 9, 10, 24 and 3 securities registrations. In early 2009, Jake joined CITIC Securities International Partners, Ltd. (“CSIP”) as General Counsel and Chief Administrative Officer. This China-focused, cross-border financial services firm maintained offices in Los Angeles, New York and Beijing, and included large and sophisticated corporate entities as its shareholders and alliance partners. He managed all firm operations, and offered advice on mergers and acquisitions and related corporate finance matters. He also provided legal advice to the firm’s offshore China-focused private equity fund. Jake 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.

Jake 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


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


J.D., Whittier Law School, 1986

B.A., Saint Michael’s College, 1980