Carole G. Miller

For almost 30 years, Carole has counseled employers on a wide range of employment claims on a national level, focusing in the financial services industry.  She has handled litigation in over thirty states and frequently represents clients before FINRA, AAA, and JAMS in employment-related matters that have been asserted against brokerage firms and other financial institutions. 

In serving her clients, Carole often functions as an integral part of their legal and management teams. She offers guidance throughout all phases of the employment cycle, from initial hiring procedures to daily operational aspects such as defining job roles, compensation structures, promotions, performance reviews, and addressing issues related to performance management, terminations, layoffs, and more. Her approach emphasizes practical advice and proactive solutions aimed at preventing litigation. However, she vigorously advocates for clients should litigation become necessary.  

Apart from handling litigation and arbitration, Carole leads management and employee training sessions focused on workplace employment issues. She also drafts and updates policies and handbooks. With the ongoing expansion of labor laws and regulations, Carole remains proactive in keeping her clients informed about legal changes, offering tailored compliance strategies and measures to prevent litigation.  

Carole is deeply committed to both her clients and colleagues, as well as to her local community. She has served on several boards, including the Leading Edge Institute, which supports leadership development for college women in Alabama, the Children’s Village Board, and the Advisory Board for the National Multiple Sclerosis Society. Carole is also a graduate of the Birmingham Project Corporate Leadership initiative. 

Experience

• Successfully represented major securities firm in gender discrimination suit brought by four former female financial advisors challenging their inclusion in a reduction in force and claiming their performance was impacted by various alleged discrimination practices; summary judgment was awarded with regard to all Title VII and state discrimination and retaliation claims; the NYC discrimination claims were re-filed in state court and also dismissed pursuant to summary judgment by the New York County Supreme Court 

• Prevailed in a FINRA arbitration on behalf of a major broker-dealer brought by former investment adviser challenging his failure to receive a bonus and other compensation after he was terminated late in the year for violation of the firm’s electronic communications policy.

• Prevailed fully in two separate FINRA arbitrations brought by former financial advisors asserting federal (ERISA) and state law claims relating to their loss of incentive compensation awards following their departure from the firm 

• Successfully represented a major financial institution in an arbitration filed by a current employee asserting gender discrimination and retaliation under federal and New York law relating to compensation and various practices where, after nine days of hearing, the Panel found in full favor of our client and awarded no damages; we successfully opposed Claimant’s motion to vacate before a New York District Court, which was later affirmed by the Second Circuit 

• Won a FINRA arbitration on behalf of a major brokerage firm and three managers brought by a former California financial advisor claiming a host of employment related claims arising from his performance based discharge and U5 filing 

• Successfully defended a financial institution with regard to claims brought by a former employee before the HRC and a federal court asserting a variety of harassment and discrimination claims, along with several state law claims; complete summary judgment was awarded in both forums as to all claims on behalf of the Company and the individuals we jointly represented, which was affirmed by the Seventh Circuit 

Community & Professional

• Fellow, The College of Labor and Employment Lawyers 

• Member, Women's and Labor and Employment Sections, Alabama State Bar Association 

• Member, Birmingham Bar Association 

• Member, Compliance and Legal Division, SIFMA 

• Fellow, American Bar Foundation 

• Board Member, Leading Edge Institute 

• Board Member, Children’s Village 

• Board Member, Advisory Board for the National Multiple Sclerosis Society 

Recognition

• Chambers USA Guide to "America's Leading Lawyers for Business" for Labor and Employment, 2010-2024 

• Birmingham Business Journal's "Best of the Bar," 2022 

• Mid-South Super Lawyers, Employment & Labor, 2008-2023 

• Super Lawyers, "Top 50 Alabama Lawyers," 2012-2018, 2021-2023 

• Super Lawyers, "Top 50 Birmingham Lawyers," 2018, 2021 

• Super Lawyers, "Top 25 Women Lawyers in Alabama," 2012-2023

• Super Lawyers, "Top 50 Mid-South Women Lawyers," 2016-2023 

• Best Lawyers in America®, 2010-Present

• Best Lawyers in America®, "Lawyer of the Year" award for Litigation - Labor and Employment in Birmingham, AL, 2016-2017 

• Martindale-Hubbell AV® Preeminent lawyers 

• Martindale-Hubbell “Bar Register of Preeminent Women Lawyers”