Stacie Hartman

Partner

Leveraging exceptional strategic judgment and a thorough understanding of her clients’ business, Stacie Hartman represents financial institutions and exchanges, futures commission merchants, swap dealers, proprietary trading firms, individual traders, and executives in complex litigation focused on financial markets and the financial services industry. She leads cases before US courts and in enforcement proceedings before the Commodity Futures Trading Commission (CFTC) and other federal financial agencies, as well as financial exchanges and the US Department of Justice. She also conducts efficient and comprehensive internal investigations in her enforcement work and handles the follow-on private litigation that often accompanies an enforcement action, and other litigation involving the financial markets.

Stacie will continue her group leadership, as in her previous law firms, by taking on a leadership position in the firm’s multidisciplinary derivatives and commodities practice.

Beyond her experience before the CFTC, Stacie leads complex matters and enforcement proceedings before the US 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).

Her recent cases have involved allegations of market manipulation, misappropriation and other insider trading, self-trading, spoofing, disruptive trading practices, false statements, fraud and misrepresentations, and failures to supervise in commodities, derivatives, and other financial markets, among others.

Obtained closure of parallel DOJ/CFTC market manipulation investigations involving trading of physical commodities and derivatives
Secured closure of CFTC investigation of swap executive facility relating to unauthorized swaps trading on its trading platform
Represented proprietary trading firm in parallel investigations and follow-on class actions regarding alleged manipulation of energy markets
Represented global financial institution with US operations based in Chicago, resulting in lowest penalties assessed for similar conduct
Served as CFTC expert to represent energy company in analysis to government based on analogies to CFTC regulations
Secured complete defense award for client sued by hedge fund seeking $100 million in trading losses
Obtained awards in clients’ favor in several FINRA arbitrations in Mississippi, including award of attorney fees
Secured dismissal of trade secret misappropriation litigation against global financial institution
Advised futures commission merchants in successfully navigating parallel proceedings by the CFTC, Chicago Mercantile Exchange, and NFA and bringing the matters to conclusion with reduced penalties
Represented client in connection with CFTC and Financial Conduct Authority parallel investigations into potential manipulation of gas benchmarks
Represented global financial institution in cross-border sanctions-related matters
Co-led team securing $64 million jury verdict in trade secret misappropriation case
Argued before Federal Circuit Court of Appeals for vacatur of decision by Patent Trial and Appeal Board

Northwestern University Pritzker School of Law, 1996, J.D.
Northwestern University, 1993, B.A.
St. Catherine’s College, Oxford University, matriculated 1991

Illinois
New York
US Court of Appeals for the Second Circuit
US Court of Appeals for the Seventh Circuit
US Court of Appeals for the District of Columbia Circuit
US Court of Appeals for the Federal Circuit
US District Court for the Northern District of Illinois
US District Court for the Southern District of Indiana
US District Court for the Eastern District of New York
US District Court for the Southern District of New York
US District Court for the Eastern District of Wisconsin

Ranked, Band 1, Derivatives: Enforcement, Nationwide, Spotlight Table Chambers USA (2021–2024)

Ranked, Derivatives, US, Chambers Global (2022–2024)

Ranked, Derivatives: Enforcement, Spotlight Table, US, Chambers Global (2022–2024)

Ranked, Derivatives, Nationwide, Chambers USA (2021–2024)

Recognized, One of 50 Women in Law, Chicago Lawyer (2021)

Recognized, Notable Women in Law, Crain’s Chicago Business (2020, 2021, 2024)

Recognized, The National Law Journal, Top 100 Verdicts (2022)

Recognized, Trailblazers in Cryptocurrency, Blockchain & FinTech, National Law Journal (2022)

Recognized, Trailblazers in Finance, Banking & Capital Markets, National Law Journal (2019)

Recognized, Illinois, Business Litigation, Super Lawyers (2011–2021)

Recognized, Commercial Litigation, Leading Lawyers (2006, 2009, 2012–2021)

Global Deputy Vice Chair, Women’s White Collar Defense Association

Co-Chair, National Commission of Anti-Defamation League