About Carrie M. Stickel
Carrie Stickel concentrates her practice on litigation and enforcement matters relating to the financial services industry and the federal securities laws.
Solving complex disputes for financial services firms and publicly traded companies
Carrie represents individuals and companies in regulatory and enforcement matters and in federal and state court litigation. She has considerable experience with the federal securities laws, regulatory investigations, and internal investigations. Carrie frequently defends enforcement proceedings before the Securities Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and self-regulatory bodies, including the New York Stock Exchange (NYSE). Carrie also defends broker-dealers and other financial services companies in disputes with customers and investors, including in Financial Industry Regulatory Authority (FINRA) arbitration.
In addition, Carrie has significant experience representing publicly traded companies and their executives and directors in securities fraud and derivative litigation. Clients also turn to Carrie to address a variety of other complex commercial disputes, including fiduciary, breach of contract, and real estate litigation. When clients anticipate litigation, Carrie provides practical strategies to minimize or eliminate litigation risk, or to preserve rights or potential claims.
- Financial services litigation and enforcement
- Securities litigation and enforcement
- Internal investigations
- White-collar defense
- Monitorships and compliance
- Defended former CEO of an international entertainment company in concurrent DOJ investigation, SEC investigation, securities class action, opt-out investor litigation, and derivative litigation arising out of alleged securities fraud. Successfully advocated for the DOJ to close its investigation without charges and reached favorable settlements with the SEC, the class, opt-out investors, and derivative plaintiffs.
- Represented DOJ and SEC-appointed Foreign Corrupt Practices Act compliance monitor for a multinational generic pharmaceutical company. Assessed and reported on anti-bribery and anti-corruption controls at company affiliates around the world.
- Defended futures commission merchant (FCM) and broker-dealer in putative class action filed by customers in federal court alleging violations of the Commodity Exchange Act and various common law claims relating to unprecedented negative pricing of crude oil futures contracts. Won multiple motions to dismiss, ultimately securing a dismissal with prejudice.
- Defended multiple NYSE member firms in separate investigations conducted by NYSE into options trading, including alleged failure to comply with best execution and trade nullification rules, and negotiated favorable settlements for each client.
- Defended a large registered investment adviser (RIA) and fund manager in SEC investigation relating to its managed portfolios. The SEC concluded the investigation without recommending charges.
- Defended publicly traded internet-based shipping provider and its executives and directors in securities class action and multiple derivative lawsuits alleging securities fraud and various breaches of fiduciary duty, including allegedly improper insider trading. All cases were dismissed pursuant to a favorable global settlement.
- Conducted two internal investigations of a public utility company in response to whistleblower complaints alleging accounting misconduct.
- Represent closely-held manufacturing company in fiduciary and breach of contract litigation filed by shareholder, as well as in a related special litigation committee (SLC) investigation.
July 26, 2022
June 27, 2017
August 11, 2021