Former SEC Enforcement attorney Dennis A. Stubblefield enjoys over 33 years’ experience in litigation and dispute resolution. In his mediation practice, Mr. Stubblefield has resolved a wide variety of claims including those involving securities customer-broker and industry disputes, employment, business/partnership, and commercial and residential real estate issues, with an over 85% settlement rate.

Mr. Stubblefield has substantial experience as counsel in securities, business and employment matters. He has represented both claimants and respondents in securities litigation and arbitration. His SEC experience includes investigation and litigation of broker-dealer and investment adviser fraud as well as the successful federal district court trial of a “pump and dump” stock manipulation case. He has represented brokerdealers, individuals and companies in various securities regulatory/enforcement matters. He has litigated and investigated wrongful termination and sexual harassment matters. Mr. Stubblefield has also handled title insurance, products liability, real estate, and unfair competition litigation. Throughout his legal career, he has handled a wide variety of civil injunctive matters. Before transitioning to his mediation practice, Mr. Stubblefield served as General Counsel for three SunAmerica broker-dealers. In addition, Mr. Stubblefield has served as an expert witness on numerous occasions, on matters involving broker-dealer compliance and supervision, private placements, and ponzi schemes/major investment frauds, including trial/hearing and deposition testimony on the registration/qualification and the anti-fraud provisions of the federal and California securities laws.

Although as counsel he has achieved significant success on fully litigated matters over the years, Mr. Stubblefield has focused on obtaining good settlements whenever possible, utilizing mediation aggressively on behalf of his clients. For example, he has represented broker-dealers in successfully mediating numerous claims, including negotiating a global settlement of a matter involving 110 separate claimants alleging over $8MM in investment losses. He has also represented a major franchisor in numerous mediations. He believes that in virtually all disputes, such settlements are better than litigated outcomes because of the substantial fees, costs and human resources which are consumed in proceeding all the way through hearing, and because of the uncertainties of the litigation and particularly the arbitration process.

His background, experience and approach enables Mr. Stubblefield to evaluate the major risk factors in litigated matters, and steer the parties to achieve resolution in which they recognize the inherent benefit of an outcome-certain confidential agreement of their own making, and the present realistic value of risk avoided, and opportunity realized.

A graduate of the University of Southern California Law Center (where he was a Note and Article Editor for the Law Review), Mr. Stubblefield is a member of the California Bar. He is a mediator and arbitrator with FINRA. He received his mediation training at the San Diego Mediation Center. Mr. Stubblefield may be contacted at 714-544-4454, 760-533-0233 or dennis@stubblefieldmediation.com.