Jake has more than 30 years of legal and business experience with broker-dealers, investment banks, private equity funds and hedge funds. His practice focuses on securities litigation and regulation, including the defense of class actions, FINRA arbitrations, and SEC and FINRA investigations. He counsels clients on best practices and provides consultation services and advice on securities-based lending.
Jake spent seven years as a Senior Managing Director and Branch Office Manager of a global investment bank, securities trading and brokerage firm. Following that, he assisted with the formation of a China-focused, cross-border M&A firm, where he served as Chief Compliance Officer and General Counsel. This firm also formed a dollar-denominated China-focused private equity fund, and Jake held the series 7, 63, 65, 3, 9, 10, 24 and 79 securities licenses. After almost ten years on the business side, Jake returned to private practice, resuming his representation of financial services firms with a focus on broker-dealers, investment banks and private equity funds.
Jake also handles hotly contested general business litigation often involving disputes between and among members/shareholders of limited liability companies and S corporations. Jake practices nationally and regularly appears in state and federal courts in California, New York, Utah and Florida.
CourtsUnited States District Court for the Central District of CaliforniaUnited States District Court for the Eastern District of CaliforniaUnited States District Court for the Northern District of CaliforniaUnited States District Court for the Southern District of CaliforniaUnited States Court of Appeals for the Ninth Circuit
J.D., Whittier Law School magna cum laude Editor-in-Chief, Whittier Law Review
B.A., St. Michael’s College
Memberships and Affiliations
Member, Executive Committee/Board of Governors, Chair of Finance Committee, Los Angeles Economic Development Corporation (LAEDC), 2016-present
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