Former SEC Enforcement attorney Dennis A. Stubblefield serves as a mediator of investor-advisor and securities industry disputes, particularly those pending in FINRA arbitration. He has mediated over 130 cases, primarily investor-adviser disputes. He has substantial experience in cases involving private placements and independent contractor broker-dealers. He is active on FINRA’s mediator roster.
Mr. Stubblefield brings over 42 years’ experience in representing legal clients in securities regulatory, enforcement, and litigation matters. After nearly 7 years with the Commission’s Enforcement Division, Mr. Stubblefield served in both private law firms and within the legal departments of major corporations, including broker-dealers and a major franchise system. His most recent corporate position was General Counsel of three AIG/SunAmerica broker-dealers (also serving in the capacity of Chief Compliance Officer of two of those firms). He draws upon his experience with the regulators, broker-dealers, and law firms to bring accurate and effective evaluation in his mediation of customer and industry disputes.
He is an adjunct professor of law at Lewis & Clark Law School, where he teaches Securities Regulation, and Business Law: Lawyering and Ethics. He regularly presents and writes on topics concerning securities regulation, broker-dealer compliance and supervision, and investment-related arbitration and mediation. His contributions include articles and programs through organizations such as Public Investors Arbitration Bar Association, National Regulatory Services, National Association of Independent Broker-Dealers, and the bar associations of Orange County, and northern San Diego County, California.
Mr. Stubblefield obtained his undergraduate degree in 1972 from University of California, Berkeley (A.B./Social Science Field Major), where he earned the Phi Beta Kappa designation. He was awarded his law degree (J.D.) in 1976 from University of Southern California Law Center, where he served as a Note and Article Editor of its Law Review. He is a member of the California State Bar, and admitted to practice before the United States Court of Appeals, Ninth Circuit, and all California federal district courts.
Mr. Stubblefield is the principal of The Law Offices of Dennis A. Stubblefield, where he focuses on securities enforcement defense and securities litigation and arbitration. He also serves as an expert witness in cases involving Ponzi Schemes/major frauds, and broker-dealer compliance and supervision.