Expert Legal Services

Mediation

Investor-Advisor and Securities Industry Disputes

Background

Mr. Stubblefield has mediated over 130 cases, primarily involving retail customer-broker and industry claims (majority of cases resolved while pending in NASD/Finra arbitration); cases involved a wide range of issues including churning, suitability, over-concentration, due diligence, compliance and supervision; experience in mediation of cases with alternative investments including TICs, other private placements, and forward contracts.