LEGal Experience

2000-2010 Law Office Of Sheldon M. Jaffe

1996-2000 Partner, Gartenberg Jaffe Gelfand & Stein, L.L.P. specializing in securities Law and related matters.

1977-1996 In private practice specializing in securities law; the representation of broker-dealers before the National Association of Securities Dealers, the United States Securities and Exchange Commission, and civil matters; arbitrations before the the National Association of Securities Dealers, the National Futures Association and other regulatory bodies; acting as Receiver for financially oriented entities.

1975-1977 Partner, Nelson, Kirshman, Goldstein & Rexon.

1970-1974 Partner, Jaffe & Orliss; Of Counsel Termaine, Shenk, Stroud, Wright & Roberts.

1966-1970 In private practice specializing in securities law.

Prior Experience United States Securities and Exchange Commission; State of California, Department of Corporations.

Writings

“Pitfalls in the Public Sale of Shares Acquired in Mergers”, published in the Los Angeles Bar Journal, 1969.

“Broker-Dealers and Securities Markets - A Guide to the regulatory Process,” published by Shepards, Inc., a Division of McGraw Hill, 1977.

“SIPC Insurance,” published in the Review of Securities Regulations, December, 1977.

APPELLATE DECISIONS IN WHICH MR. JAFFE WAS COUNSEL

Mathers Fund v. Colwell Company, 564 F.2d 780 (7th Cir. 1977)

SEC v. Seaboard Corporation, Seaboard Leverage Fund, Cross Claimant v. Terry Charles Spellman, Cross Defendant, 666 F.2d 414 (9th Cir. 1982)

In Re Application of Independent Securities Corporation and Lawrence Williams, SEC Ex. Act Rel. 34-18735 (1982)

Parada v. Superior Court, 176 Cal.App.4th 1554 (2009)