Matthew S. Hardin, Esq.
Matthew S. Hardin, is a Founding Principal of MRB Regulatory Compliance, LLC and the President and CEO of Hardin Compliance Consulting, a limited liability company headquartered in Warrendale, Pennsylvania. Mr. Hardin is a securities attorney, regulatory compliance consultant, and expert witness. He is licensed to practice law in Pennsylvania, Missouri, and Illinois. Mr. Hardin consults with firms throughout the United States on regulatory legal, compliance, and risk management issues, performs due diligence, compliance reviews, and internal investigations of SEC registrants such as broker-dealers, investment advisers, and mutual Funds.
Mr. Hardin has over twenty-eight years of experience in the financial services industry, including six years with the broker-dealer and investment adviser affiliates of PNC Financial Services Group, Inc., three years with the mutual fund complex of Federated Investors Inc., four years at Banc One Corporation, and four years at the United States Securities and Exchange Commission in the Division of Enforcement.
During his years at PNC and Banc One, Mr. Hardin was responsible for the legal, compliance, and risk management functions of the firms’ retail securities operations. In addition, he handled numerous arbitrations and mediations, complaint resolution, compliance policies and procedures, written supervisory procedures, regulatory examinations/investigations and internal investigations. Mr. Hardin was a participating member in the firms’ board of directors, compliance committee, and disciplinary committee. He was also responsible for the legal and compliance issues surrounding broker transition for new hires as well as those leaving the firm. At Federated Investors Inc., Mr. Hardin was fund counsel to mutual funds sold through the broker-dealer channel and was responsible for legal support to the wholesaling force.
Mr. Hardin has acted as Chief Compliance officer for various registered investment advisers, broker-dealers, and mutual funds. He has developed and implemented numerous compliance and supervisory training programs, and has written supervisory policies, procedures, compliance manuals, operations manuals, audit programs, and software specifications, to ensure compliance with a variety of securities banking, and federal regulations.
Moreover, Mr. Hardin has provided support to defend regulatory enforcement actions, as well as litigation, arbitration, and mediation cases involving disputes between customers, broker-dealers, and registered representatives (including fact analysis, document production, strategic advice on the case and possible methods of resolving the issue in dispute, and expert opinion with respect to regulations, business practices, record maintenance and retention, sales practice, suitability, and supervision).
Mr. Hardin holds Series 7, 24, and 66 securities licenses. He received a bachelor of science in business administration from the University of Dayton in 1983, a juris doctor from Pepperdine University in 1986, and his master’s of law in federal securities regulation from Georgetown University in 1987.Back to Team Page