Background & Experience


Professional activities have included the representation of broker-dealers and investment advisers before the National Association of Securities Dealers (now FINRA), the New York Stock Exchange and the United States Securities & Exchange Commission (“SEC”), including SEC investigative and administrative proceedings; the representation of Claimants and Respondents in securities arbitrations before FINRA, commodities arbitrations before the National Futures Association, and arbitrations before the American Arbitration Association, JAMS and other regulatory bodies; acting as an arbitrator for FINRA. Recently Mr. Jaffe has engaged in the representation of private parties in actions pertaining to the purchase and sale of Off-Exchange precious metals contracts and related matters.

Retention As An Expert

Mr. Jaffe has testified as an expert in a number of matters, including the following: Superior Court of California, Los Angeles concerning responsibilities of attorneys representing respondents in FINRA arbitrations; State of Michigan Trial Court concerning responsibilities of professionals relating to privately offered securities sold by investment pools; Superior Court of California, San Diego County relating to obligations of investment advisors.

Receivership Experience

In the past, Mr. Jaffe has been selected in Federal and State Courts as a Receiver in matters pertaining to securities or commodities brokers. More recently he has represented private clients in such proceedings.