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.
Prior to Sidley, Hardy was senior vice president and general counsel with Charles Schwab & Co. Inc. He also 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) (2008–2022) and Financial Services Regulation: Broker Dealer (Enforcement) (2013–2022), including Band 1 ranking in both categories (2020–2022)
- Member of the practice that was ranked Band 1 for Financial Services Regulation: Broker Dealer (Compliance & Enforcement) by Chambers USA (2020–2022)
- Law360 Compliance MVP (2021)
- Member of the practice that was named “Financial Services Regulation Firm of the Year” (2019) by Chambers USA
- Member of the practice that was named “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers
- 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)