Overview
Stacie R. Hartman, chair of the firm's Financial Services Group, is a trial lawyer and litigator who represents clients in complex litigation focusing on financial markets and the financial services industry. Fiercely protective of her clients' interests, Stacie is a persuasive advocate whose targeted legal strategies are based on a thorough understanding of her clients' business and big picture objectives. Clients rely on Stacie to leverage her exceptional strategic judgment with her substantial experience to achieve winning results.
Stacie leads major cases in courts around the country and in enforcement proceedings before the Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), National Futures Association (NFA) and financial exchanges, as well as in parallel investigations by the US Department of Justice (DOJ). She has a strong track record of helping her clients avoid prosecution completely or obtain settlements at record-low penalties.
Stacie's recent cases have involved allegations of market manipulation, spoofing, self-trading, disruptive trading practices, false statements, fraud and misrepresentations, and failures to supervise in commodity, derivative and financial markets, among others. When dealing with agencies and exchanges, she ensures that her fierce advocacy takes into account her clients' ongoing and future dealings with their regulators. She also conducts comprehensive, efficient internal investigations in connection with her enforcement work and handles the follow-on private litigation that accompanies an enforcement action. She represents financial institutions, financial exchanges, futures commission merchants, swap dealers, proprietary trading firms, individual traders, executives, and others.
Stacie is ranked among the top US lawyers in Derivatives by Chambers Global and Chambers USA – Band 1 (Nationwide), which noted she is "very sharp, very pragmatic," "a very clear communicator," "very responsive," "very attuned to the detail," and that “she has a strong regulatory and procedural knowledge of litigation.” She is also recognized as one of the "Trailblazers in Cryptocurrency, Blockchain & FinTech" by National Law Journal (2022), "Trailblazers in Finance, Banking & Capital Markets" by National Law Journal (2019), one of the "Notable Women in Law" by Crain's Chicago Business (2020), and one of the top 50 “Women in Law” by Chicago Lawyer (2021).
Stacie combines her extensive knowledge of the financial markets and trading strategies with many years' experience litigating patent cases to handle IP litigation in the derivatives industry. Her IP litigation experience covers not only financial indexes and products and electronic trading systems, but also patents on LEDs, electronic communication systems, healthcare compliance systems, automotive suspension systems and condensers, and well-known brands of consumer and luxury goods. Her IP cases have been in federal courts around the country and in the International Trade Commission.
- Illinois
- New York
- US Court of Appeals, Second Circuit
- US Court of Appeals, Seventh Circuit
- US Court of Appeals, District of Columbia
- US Court of Appeals, Federal Circuit
- US District Court, Northern District of Illinois
- US District Court, Southern District of Indiana
- US District Court, Eastern District of New York
- US District Court, Southern District of New York
- US District Court, Eastern District of Wisconsin
- J.D., Northwestern University Pritzker School of Law, 1996
- B.A., Northwestern University, 1993
- Oxford University, St. Catherine's College, 1991-1992
Areas of Work
Speaking Engagements
- "How Many Fires are Too Many Fires? Future Proofing Your Organization to Avoid Crisis after Crisis," Women, Influence & Power In Law (WIPL)'s Conference, October 17, 2023
- Fireside Chat with CFTC Enforcement Director Ian McGinley, ABA Derivatives & Futures Law Committee Mid-Year Meeting, July 2023
- Enforcement Trends: Where Are We Headed? Futures Industry Association's Annual Law & Compliance Division Conference, Washington, DC, April 2023
- Moderator, “Enforcement Developments,” American Bar Association’s Derivatives and Futures Law Committee Winter Meeting, February 2023
- Fireside Chats with CFTC Commissioners Christy Goldsmith Romero and Caroline Pham, ABA Derivatives & Futures Law Committee Mid-Year Meeting, October 6, 2022
- Chair, "Enforcement Developments," annual CLE seminar, Chicago Bar Association Futures and Derivatives Law Committee, June 21, 2022
- Moderator, "DoJ and CFTC Enforcement," FIA Commodities Forum, June 21, 2022
- "Electronic and SEF Trading," Futures Industry Association's Annual Law & Compliance Division Conference, Washington, DC, April 2022
- "Energy Markets: Overlap and Distinctions Between CFTC and FERC Regulation and Enforcement," FIA Webinar, February 10, 2022
-
"Getting the Buy-in: How to Build a Culture of Change," Women, Influence & Power In Law (WIPL)'s Conference, October 7, 2021
- Moderator, "Market Abuse and Disruptive Trading," Futures Industry Association's Annual Law & Compliance Division Conference, Washington, DC, April 2021
- Fireside Chat with Preet Bharara, Former US Attorney for the Southern District of New York, Women's White Collar Defense Association' Annual Attorney Meeting, April 2021
- "Navigating the Cryptocurrency Enforcement Framework from US Department of Justice and Regulators – Domestically and Abroad," GIR Webinar, April 2021
- “Securities Litigation: Spotting Trends, Reducing Risk and Building a Defense,” Association of Corporate Counsel Chicago Webinar, February 2021
- Chair, "Enforcement Developments: Recent Case Developments," ABA Derivatives & Futures Law Committee Virtual Winter Meeting, January 2021
- Moderator, "Enforcement: Recent Actions, Developments, Trends, and What It Means to You," Futures Industry Association's Annual Law & Compliance Division Conference, Washington, DC, October 2020
- "Recent CFTC Enforcement Developments," Derivatives and Futures Law Committee of the DC Bar Corporation, Finance and Securities Law Community Webinar, October 2020
- Chair, "Enforcement Developments," ABA Derivatives & Futures Law Committee Winter Meeting, Naples, FL, January 2020
- "The CFTC's Enforcement Manual: Key Content and Use for Practitioners in CFTC Investigations," FIA Law & Compliance Division Webinar, July 2019
- "Careers in Investigation and Enforcement," Global Investigations Review Second Annual Meeting on Women in Investigations, London, UK, June 2019
- "Enforcement Spotlight: Manipulation and Misappropriated Information," Futures Industry Association's Annual Law & Compliance Division Conference, Washington, DC, May 2019
- "Enforcement and Litigation Developments," ABA Derivatives & Futures Law Committee Winter Meeting, Naples, FL, January 2019
- "Enforcement, CFTC, NFA, SRO Enforcement and Exams," Annual Conference, Futures Industry Association, Washington, DC, May 2018
- Chair, Enforcement and Litigation Developments, ABA Derivatives & Futures Law Committee Meeting, Naples, FL, January 2018
- Moderator, "Mifid II: Impact on the US Market," Trading Chicago, Chicago, IL, June 2017
- Moderator, "Enforcement Overview," Annual Law & Compliance Conference on the Regulation of Futures, Derivatives and OTC Products, Washington, DC, May 2017
- "Spoofing, Banging the Close & Other Trading Practices to Avoid," Annual FIA Futures and Options Expo, NextGen Program, Chicago, IL, October 2016
- "Litigation and Enforcement Update," Annual Conference, Futures Industry Association, Law & Compliance Division, Baltimore, MD, May 2016
- "CyberSecurity," ABA Derivatives & Futures Law Committee Winter Meeting, Naples, FL, January 2016
- "Surveillance Workshop Case Studies: Disruptive Trading—The Fundamental Elements," Annual FIA Futures and Options Expo, Chicago, IL, November 2015
- "Litigation and Enforcement Update," Annual Conference, Futures Industry Association, Law & Compliance Division, Washington, DC, June 2015
- "The Evolving Concept of 'Property' in the Courts," Annual Judicial Conference, US Court of Federal Claims, Washington, DC, November 2014
- "Ethics," Annual Conference, Futures Industry Association, Law & Compliance Division, Baltimore, MD, May 2014
- "Trends in Enforcement and Related Litigation," ABA Derivatives & Futures Law Committee Meeting, Naples, FL, February 2014
- "Enforcement Issues: Key Trends, Mitigating Costs Associated with Investigations, and New Standards and Rules," Reform, Regulation, and Enforcement of Derivatives Transactions Conference (ACI), Washington, DC, January 2014
- "Chief Compliance Officers Under Siege," The Network of Trial Law Firms FINRA CLE, New York, NY, September 2013
- "Litigation and Enforcement Update," Annual Conference, Futures Industry Association, Law & Compliance Division, Baltimore, MD, May 2013
News & Publications
StepTechToe
March 27, 2024
By: Tod Cohen, Stacie R. Hartman, Andrew Golodny, Ryan Hayden, Elizabeth Goodwin, Vito Arethusa
Press Releases
February 21, 2024
Client Alerts
November 30, 2023
By: Ryan Hayden, Stacie R. Hartman, Micah S. Green, Coy Garrison, Richard Shilts
Press Releases
Steptoe Receives 25 Practice, 72 Individual Mentions in Chambers USA 2023
June 1, 2023
Resources
Financial Services Group Advisory
Swap Dealers Face May 31 NFA Marketing Material Compliance Deadline
April 23, 2021
Financial Services Group Advisory
Climate Change Focus of Tomorrow's FSOC Meeting; Top Biden Administration Policy
March 30, 2021
By: Stacie R. Hartman, Micah S. Green, John T. Collins, Scott D. Fisher
Financial Services Group Advisory
Key Takeaways: CFTC Issues No-Action Relief for FCM Treatment of Separate Accounts Under Rule 1.56
September 16, 2020
By: Stacie R. Hartman, Micah S. Green, Richard Shilts, Michael V. Dunn
Financial Services Group Advisory
Forecasting the CFTC's 2020 Agenda
January 23, 2020
By: Stacie R. Hartman, Micah S. Green, Daniel A. Mullen, Michael V. Dunn, Richard Shilts
Financial Services Group Advisory
Requestor Beware: CFTC Changes No-Action Publication Policy
January 13, 2020
Financial Services Group Advisory
October 28, 2019
By: Micah S. Green, Stacie R. Hartman, Michael V. Dunn, Richard Shilts, Patrick Northrup (Legislative Assistant)
Events
Webinars
Quarterly Investigations & Enforcement Update Webinar
May 1, 2024
Speakers: Jason Abel, Iris E. Bennett, Christopher R. Conte, Amba M. Datta, Stacie R. Hartman, Patrick F. Linehan, Lucinda A. Low, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Quarterly Investigations & Enforcement Update Webinar
January 25, 2024
Speakers: Jason Abel, Iris E. Bennett, Lee Berger, Christopher R. Conte, Amba M. Datta, Stacie R. Hartman, Lucinda A. Low, John J. Kavanagh, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Investigations & Enforcement Webinar Series
October 19, 2023
Speakers: Andrew C. Adams, Jason Abel, Iris E. Bennett, Christopher R. Conte, Stacie R. Hartman, Patrick F. Linehan, Lucinda A. Low, John J. Kavanagh, Zoe Osborne, Wendy Wysong
Webinars
Investigations & Enforcement Webinar Series
July 27, 2023
Speakers: Jason Abel, Lee Berger, Christopher R. Conte, Amba M. Datta, Stacie R. Hartman, Patrick F. Linehan, Lucinda A. Low, Cáitrín McKiernan, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Seminars & Events
Global Trade and Enforcement Symposium in Hong Kong
June 1, 2023
Speakers: Renato Antonini, Yongqing Bao, Brigida Benitez, Brian G. Burke, Ali Burney, Henry Cao, John Caracappa, Boyd Cloern, Robyn C. Crowther, Brian J. Fleming, Coy Garrison, Stacie R. Hartman, Zoey Hong, Stanley C. Kuo, Amy J. Lentz, Michelle L. Levin, Patrick F. Linehan, Lucinda A. Low, Jamie Lucia, Alexandra Melia, Cáitrín McKiernan, Eva Monard, Darryl Nirenberg, Gwendolyn Prothro Renigar, Angus Rodger, Guy Soussan, David M. Stetson, Grace Wang, Philip R. West, Charles Whiddington, Wendy Wysong, Lin Yang, Bo Yue, Wilson Zhao
Webinars
Investigations & Enforcement Webinar Series
April 27, 2023
Speakers: Jason Abel, Christopher R. Conte, Amba M. Datta, Stacie R. Hartman, John J. Kavanagh, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Investigations & Enforcement Webinar Series
January 26, 2023
Speakers: Jason Abel, Iris E. Bennett, Lee Berger, Christopher R. Conte, Amba M. Datta, Coy Garrison, Patrick F. Linehan, Lucinda A. Low, Zoe Osborne, Wendy Wysong
Webinars
Investigations and Enforcement Webinar Series
October 27, 2022
Speakers: Jason Abel, Iris E. Bennett, Coy Garrison, Stacie R. Hartman, Patrick F. Linehan, Lucinda A. Low, Michael Campion Miller, Jason M. Weinstein, Charles Whiddington, Wendy Wysong
Webinars
Investigations & Enforcement Webinar Series
April 21, 2022
Speakers: Iris E. Bennett, Christopher R. Conte, Stacie R. Hartman, Paul R. Hurst, Lucinda A. Low, Alexandra Melia, Michael Campion Miller, Wendy Wysong, Rachel B. Peck
Webinars
Investigations & Enforcement Webinar Series
January 27, 2022
Speakers: Jason Abel, Iris E. Bennett, Christopher R. Conte, Stacie R. Hartman, Paul R. Hurst, Patrick F. Linehan, Lucinda A. Low, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Noteworthy
- Chambers Global, Derivatives, US (2022-2023)
- Chambers Global, Derivatives: Enforcement, Spotlight Table, US (2022-2023)
- Chambers USA, Derivatives, Nationwide (2021-2023)
- Chambers USA, Derivatives: Enforcement, Nationwide, Spotlight Table (2021-2023)
- Chicago Lawyer, One of 50 "Women in Law" (2021)
- Crain's Chicago Business, "Notable Women in Law" (2020)
- The National Law Journal, Top 100 Verdicts (2022)
-
National Law Journal, "Trailblazers in Cryptocurrency, Blockchain & FinTech" (2022)
- National Law Journal, "Trailblazers in Finance, Banking & Capital Markets" (2019)
- Super Lawyers, Illinois, Business Litigation (2011-2021)
- Leading Lawyers, Commercial Litigation (2006, 2009, 2012-2021)
Professional Affiliations
- American Bar Association, Derivatives & Futures Law Committee
- Vice Chair (2020-present)
- Annual Meeting Planning Committee (2015-present) and Past Chair (2016 and 2017)
- Innovative Digital Products and Processes Subcommittee (2018-present, incoming Chair)
- Working Group on Project KISS submission to CFTC (2017)
- Women's White Collar Defense Association
- Global Deputy Vice Chair
- Futures Industry Association
- Executive Committee, Law & Compliance Division
- Chicago Bar Association, Past Chair, Futures and Derivatives Law Committee
- Chicago Finance Exchange, Member
- Anti-Defamation League
- Co-chair, National Commission
- Global Advisory Council
- DEI Task Force
- Executive Council, Chicago/Midwest Region
- Joffrey Ballet Women's Board
- Chicago Fashion Incubator, Board of Directors
- Steppenwolf Theatre Director's Circle