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.
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The Future of Securities Self-Regulation After Alpine
Alpine Securities Corp. v. Financial Industry Regulatory Authority (“Alpine’) raises a challenge to the constitutionality...
The Future of Securities Self-Regulation After Alpine
Alpine Securities Corp. v. Financial Industry Regulatory Authority (“Alpine’) raises a challenge to the constitutionality...
