HARDY CALLCOTT’s practice concentrates on enforcement defense and regulatory counseling concerning securities market and regulatory issues for broker-dealers, investment advisers, mutual funds and others in the financial services industry. He provides securities enforcement defense before the SEC, Department of Justice, FINRA and other SRO and state regulators for members of financial services industry, public companies and officers and directors. He also conducts internal investigations.
Hardy is a member of Sidley’s global Securities Enforcement and Regulatory practice, which received the 2019 Chambers USA Award for “Financial Services Regulation Firm of the Year” and 2020 Chambers USA Band 1 for Financial Services Regulation: Broker Dealer (Compliance & Enforcement). Sidley was also named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers. Hardy was ranked nationally in Chambers USA for Securities Financial Services Regulation 2008–2021, including the highest category, Band 1, in both Broker Dealer (Compliance) in 2020 and Broker Dealer (Enforcement) in 2020 and 2021. He was also included in The Best Lawyers in America 2007–2012 and 2014–2016 lists, chosen based on peer-reviewed surveys of U.S. lawyers. He was with Charles Schwab & Co. Inc., as senior vice president and general counsel. He served in the General Counsel’s Office of the SEC as assistant general counsel for Market Regulation (now Trading and Markets), and taught in the Securities LLM program at Georgetown University Law Center. After law school, Hardy clerked for the Hon. Mariana Pfaelzer in the U.S. District Court for the Central District of California.
- Chambers USA: America’s Leading Lawyers for Business — Financial Services Regulation: Broker-Dealer (Compliance) (2008–2020) and Financial Services Regulation: Broker Dealer (Enforcement) (2013–2020)
- Law360 Compliance MVP (2021)
- Super Lawyers, Northern California (2011, 2012 and 2014–2019)
- “Lawyer of the Year” by The Best Lawyers in America for San Francisco Securities Regulation (2015, 2017, 2019, 2021) and Litigation – Regulatory Enforcement (SEC, Telecom, Energy) (2022)
- The Best Lawyers in America, Leading Lawyer in Securities Law (2007–2010), Financial Services Regulation Law (2020, 2022), Litigation – Regulatory Enforcement (SEC, Telecom, Energy) (2022), Mutual Funds Law (2022), and in Securities Regulation (2011–2014, 2016–2022)
- Daily Journal, Top 100 Lawyers (2010)