Expert Legal Services

Expert Witness

Matters Involving:

Ponzi Schemes / Major Frauds

Broker-Dealer Compliance and Supervision

Background

Former SEC Enforcement Attorney Dennis A. Stubblefield’s major assignments include:

  • Expert witness on behalf of investor in RDI Ponzi scheme (nationwide “black box” type scheme); qualified at trial in California Superior Court, County of San Diego, and testified regarding the nature of the scheme and why it violated state and federal securities registration and anti-fraud provisions; testimony assisted plaintiff’s counsel in obtaining judgment against promoter, including exemplary damages, fully collected by investor.

  • Expert witness consultation and/or testimony on various cases involving sales of fraudulent private placements directly by issuers.

  • Expert witness consultation and/or testimony on various customer-broker claims involving issues of suitability, over-concentration, due diligence, selling away, and compliance and supervision, including on matters involving Tenant in Common interests (TICs), Delaware Statutory Trusts (DSTs), other private placements.