Securities

The firm's financial services practice is exceptionally varied. Jones Bell represents retail brokers, securities dealers, banks and investment banks in civil litigation, arbitrations and mediations. We also represent clients in regulatory and enforcement matters before the SEC, the CFTC, and self-regulatory organizations in the securities and commodities markets such as the Financial Industry Regulatory Authority, Inc. (FINRA) and National Futures Association (NFA). The firm has also represented receivers and trustees appointed in federal and state securities and commodities enforcement matters, and has acted as counsel to liquidation trustees under the Securities Investor Protection Act (SIPA).

In addition to the litigation of securities matters, Jones Bell offers guidance through many types of complex securities transactions. Those services range from the drafting of private placement memoranda, financing agreements, and the structuring of new ventures to mergers and acquisitions.

Representative clients of the firm's financial services practice include Morgan Stanley DW Inc., Wells Fargo Investments, LLC, Wells Fargo Advisors, LLC (formerly known as Wachovia Securities, LLC), Royal Alliance Associates, LPL Financial Services, as well as most of the securities industry's most prominent independent and regional firms in the Western United States.