Mr. Stubblefield is a partner of the firm. He is in charge of its Orange County office. He brings over 41 years’ experience in representing clients in securities enforcement, compliance and litigation matters. He is one of just a handful of attorneys nationwide with substantial experience in all three sectors important to this practice area: the regulators (SEC Enforcement), in house (most recently as General Counsel of three AIG broker-dealers), and in private practice (with small, medium and large law firms). His practice focuses on securities enforcement defense/internal investigations, and securities litigation and arbitration.
Mr. Stubblefield has substantial experience, and success, in the defense of SEC and Finra investigations and enforcement matters. Many of these matters have arisen in crisis management situations, for example with parallel civil and/or criminal proceedings and related regulatory issues, such as the pendency of broker-dealer membership applications or key registered representative compliance issues.
Mr. Stubblefield’s investigative experience includes handling numerous matters at the SEC, and various corporate internal investigations focused on securities and broker-dealer compliance, including short-selling, over-concentration in customer accounts and selling away/outside business activities of registered representatives. He also has experience in employment-related investigations, particularly sexual harassment.
He has extensive experience in litigation and arbitration. In addition to the litigation he handled at the SEC, Mr. Stubblefield has deep and broad experience in various types of securities litigation and arbitration, particularly the defense of broker-dealers and registered representatives in NASD (now Finra) arbitration. He has represented promoters, investment advisers, investors, and officers and directors in various securities litigation matters. He also has a broad background in other civil and business litigation.
During his career, Mr. Stubblefield has handled a wide variety of legal matters on behalf of broker-dealers, emphasizing the defense of customer-broker arbitrations, and regulatory/enforcement defense of firms and registered representatives. As General Counsel of three AIG firms, Mr. Stubblefield was in charge of all legal functions of the respective firms, including management of outside counsel. He has particularly extensive experience representing independent contractor firms.