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 was included in the Best Lawyers in America 2007-2012 and 2014 lists, and was ranked nationally in Chambers USA for Securities Financial Services Regulation 2008-2014, 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, 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. Additionally, Hardy is the President of the SEC Historical Society.