Overview

Stacie R. Hartman is a trial lawyer who practices complex litigation nationwide.

Fiercely protective of her clients’ interests, Stacie is a persuasive advocate whose targeted legal strategies are based on a thorough understanding of  her clients’ businesses and big picture objectives. Clients rely on Stacie to leverage her exceptional strategic judgment with her substantial experience to achieve winning results.

Stacie acts as first chair, leading major cases in courts around the country and in enforcement proceedings before the Commodity Futures Trading Commission and Securities and Exchange Commission, as well as at the Financial Industry Regulatory Authority, National Futures Association and financial exchanges. She also represents clients in investigations by the U.S. Department of Justice. She is called upon by clients to not only manage the matters they bring her, but also to oversee matters being handled by other nationally recognized lawyers at different firms.

Stacie’s IP litigation experience is extensive and covers not only financial indexes and products and electronic trading systems, but also electronic communication systems between sensors and base stations, LEDs, healthcare compliance systems, gaming 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.

  • Experience

    • The Wall Street Journal described a case in which Stacie represented CBOE as a “high stakes legal battle.” She obtained summary judgment (affirmed on appeal, cert. denied 133 S.Ct. 2339 (2013)) for CBOE to protect its exclusive rights to list options based on the S&P 500 and the Dow Jones Industrial Average.
    • Stacie obtained defense awards at FINRA against claimants who had lost millions trading, as well as awards totaling more than $2 million on her clients’ counterclaims. Securities Awards Monthly reported on the cases.
    • In high-stakes enforcement proceedings, Stacie has helped her clients avoid prosecution completely or obtain settlements that set records for their low penalties or otherwise-reduced scope of relief. Her cases have involved allegations of market manipulation, false statements, disruptive trading practices, violation of customer segregated fund rules, uncommercial order entry for indicative opening prices, among others.
    • In a high-profile case, Stacie successfully vindicated athlete Michael Jordan’s termination of licenses for the use of his name in a restaurant and retail store.
    • Stacie obtained a successful settlement for Hill-Rom that resulted in General Electric taking a license to Hill-Rom’s patents, among other terms.
    • Stacie obtained reversal of a judgment of unenforceability for alleged inequitable conduct in the patent owner’s not disclosing prior art to the Patent & Trademark Office.
    • Stacie has leveraged decisions by the courts and strategic litigation positions into successful settlements that help her clients avoid the cost of further litigation and trial.
  • Credentials

    Education

    • Northwestern Pritzker School of Law, J.D., 1996
      Judicial Extern - Honorable George Marovich, District Court, Northern District of Illinois
    • Northwestern University, B.A., History, 1993
    • St. Catherine's College - Oxford University, matriculated, 1991-1992

    Bar Admissions

    • Illinois
    • New York
    • U.S. Court of Appeals for the Seventh Circuit
    • U.S. Court of Appeals for the Federal Circuit
    • U.S. District Court for the Northern District of Illinois (Trial Bar)
    • U.S. District Court for the Southern District of Indiana
    • U.S. District Court for the Eastern District of New York
    • U.S. District Court for the Southern District of New York
    • U.S. District Court for the Eastern District of Wisconsin

        Professional Memberships

        • American Bar Association, Derivatives & Futures Law Committee, Past Co-Chair, Annual Meeting
        • Chicago Bar Association, Futures and Derivatives Law Committee, Past Chair
        • Federal Circuit Bar Association
        • Futures Industry Association
        • Institute of Financial Market Regulation, Advisory Board
        • New York State Bar Association
        • Women’s White Collar Defense Association, Programming Committee, Annual Attorney Meeting
      • Insights

        TITLE
        News Release

        40 Attorneys Named to 2018 Illinois Super Lawyers, Rising Stars, and Top Women Lists

        Forty Schiff Hardin attorneys have been recognized on the 2018 Illinois Super Lawyers and Rising Stars lists.

        Event

        Enforcement and Litigation Developments

        ABA Business Law Section: Derivatives and Futures Law Committee Meeting 2018

        Location:
        Naples, Fla.
        Event

        MiFID II: Impact on the U.S. Market

        Trading Chicago

        Location:
        Chicago, Ill.
        News Release

        99 Schiff Hardin Attorneys Named to 2017 Leading Lawyers List

        Ninety-nine Schiff Hardin lawyers have been named to the 2017 Leading Lawyers list for Illinois and Michigan.

        Alert

        Top Q&As on Attorney-Client Privilege

        We answered top questions coming out of our recent webinar on trustee-counsel communications in the wake of Kenny v. PIMCO.

        News Release

        39 Schiff Hardin Lawyers Named to 2017 Illinois Super Lawyers, Rising Stars Lists, and Two Schiff Hardin Attorneys Named to Top 50 Women Lawyers

        Thirty-nine Schiff Hardin attorneys have been selected for inclusion on the 2017 Illinois Super Lawyers and Rising Stars lists.

        Alert

        Eleventh Circuit Limits SEC Look-Back Period and Sets Up Circuit Split

        Does the general federal statute of limitations apply to government enforcement actions seeking “disgorgement?” The SEC says no.

        Event

        Litigation and Enforcement Update

        38th Annual FIA Law & Compliance Conference on the Regulation of Futures, Derivatives and OTC Products

        Location:
        Baltimore, Md.

        Other Publications

        • “Disruptive Trading and the Search for Wrongful Intent,” The Review of Securities & Commodities Regulation, Vol. 48 No. 15 (Sep. 9, 2015)
        • "Navigating the Thicket of Disruptive Trading Prohibitions in the Commodity Exchange Act and Exchanges' Disciplinary Rules," Banking & Financial Services Policy Report, Wolters Kluwer, Vol. 34 No. 4 (Apr. 2015)
        • “The CFTC’s New False Statement Authority: A Practitioner’s Guide,” Futures & Derivatives Law Report (Oct. 2014)
        • “Presenting the Defendant’s Case,” Chapter 8 in Trying the Case, Illinois Institute for Continuing Legal Education (IICLE) (2003, 2006, 2009, 2012)
        • "Changes in the Culture of Waiver," The Review of Securities & Commodities Regulation, Vol. 42 No. 21 (Dec. 2, 2009)
        • “Sword, Shield, or Simply a Constitutional Right? Patents in the Futures Industry,” Futures & Derivatives Law Report (Sep. 2006)

        Speeches & Presentations

        Stacie is a regular speaker on topics in the futures and derivatives industry and intellectual property issues. Her recent presentations include:

        • Chair of Enforcement and Litigation Developments panel, ABA Derivatives & Futures Law Committee Meeting, Naples, Fla. (Jan. 2018)
        • “Mifid II: impact on the US market,” (moderator) Trading Chicago, Chicago, Ill. (Jun. 28, 2017)
        • “Enforcement Overview,” (moderator) 39th Annual Law & Compliance Conference on the Regulation of Futures, Derivatives and OTC Products, Washington D.C. (May 4, 2017)
        • “Spoofing, Banging the Close & Other Trading Practices to Avoid,” 32nd Annual FIA Futures and Options Expo, NextGen Program, Chicago, Ill. (Oct. 20, 2016)
        • “Enforcement and Litigation,” Annual Conference, Futures Industry Association, Law & Compliance Division, Baltimore, Md. (May 6, 2016)
        • “Surveillance Workshop Part I Case Studies: Disruptive Trading--The Fundamental Elements,” 31st Annual FIA Futures and Options Expo, Chicago, Illinois (Nov. 5, 2015)
        • “Litigation and Enforcement Update,” Annual Conference, Futures Industry Association, Law & Compliance Division, Washington, D.C. (Jun. 2015)
        • “Enforcing Restrictive Covenants Against Former Employees,” The Network of Trial Law Firms CLE SuperCourse, Napa, Cal. (Apr. 2015)
        • “Enforcement and Related Litigation,” Day Chair, ABA Derivatives & Futures Law Committee Meeting, Naples, Fla. (Jan. 2015)
        • “The Evolving Concept of ‘Property’ in the Courts,” Annual Judicial Conference, U.S. Court of Federal Claims, Washington, D.C. (Nov. 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, Fla. (Feb. 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, D.C. (Jan. 2014)
        • “Chief Compliance Officers Under Siege,” The Network of Trial Law Firms FINRA CLE SuperCourse, New York, N.Y. (Sep. 2013)
        • “Litigation and Enforcement Update,” Annual Conference, Futures Industry Association, Law & Compliance Division, Baltimore, Md. (May 2013)
        • “The Government and You: For Whom the Whistle Blows,” The Network of Trial Law Firms FINRA CLE SuperCourse, New York, N.Y. (Sep. 2012)
        • “Derivatives: The Changing Legal and Compliance Landscape,” Derivatives Law Conference, Center for International Law, John Marshall Law School (Apr. 2012)
        • “Professional Responsibility: CCO Challenges/Advising the CCO,” ABA Business Law Section (Jan. 28, 2012)
        • “Ethics and the CCO Professional Responsibility Issues Arising From Dodd-Frank,” ABA Derivatives & Futures Law Committee Winter Meeting, Naples, Fla. (Jan. 2012)
        • “Dodd-Frank: What Does it Mean for You?,” Annual Introducing Brokers Conference 2011 (Oct. 2011)
        • “Manipulation, Anti-Disruptive Trading and other Litigation, Enforcement Issues,” Annual Conference, Futures Industry Association, Law & Compliance Division, National Harbor, Md. (May 2011)
        • “Intellectual Property in the Financial Services Industry,” Chicago Bar Association, Committees for Financial and Investment Services, Securities Law and Intellectual Property Law (Nov. 2010)
      • Citizenship

        Civic and Charitable Memberships

        • Anti-Defamation League Chicago-Upper Midwest Region, Management Committee and Board Member
        • Chicago Fashion Incubator, Board Member
        • Joffrey Ballet
        • Steppenwolf Theatre, Governor, Auxiliary Council

      "Combining Derivatives and Patent Litigation Into One Practice"

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      "Stacie R. Hartman took two vastly different areas - patent law and futures and derivatives - and created one unique, forward-thinking practice." Read Article

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      Disruptive trading and the search for wrongful intent

      The new prohibitions of disruptive trading in the Commodity Exchange Act and in rules promulgated by the leading commodity exchanges require proof of scienter but, notably, no proof of actual market impact. If it is the “thought” that counts in this developing area of law, how will the scienter analysis proceed? More