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Web Profiles
Martindale-Hubbell
Practice Areas
White Collar Criminal Investigation
Litigation
Bar Admissions
New York (2006)
Utah (1988)
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Brent R. Baker
Shareholder and Director
Brent Baker is a shareholder and member of Clyde Snow's White Collar Crime and Independent Investigations Group. His practice focuses on defending corporate and individual clients in regulatory enforcement investigations and litigation before the U.S. Department of Justice (DOJ), the U.S. Securities and Exchange Commission (SEC), the Public Company Accounting Oversight Board (PCAOB), and other federal and state agencies. Mr. Baker has also represented broker-dealers, investment advisors, and individual registered representatives before the SEC and the Financial Industry Regulatory Authority (FINRA). He also handles a variety of corporate internal investigations.
Mr. Baker's litigation experience includes representing executives and accounting professionals in some of the largest cases brought by the SEC, FINRA, and the PCAOB. With litigation experience as a top defense attorney and former Special Counsel at the SEC, he has also represented several national broker-dealer firms in SEC or State Division of Securities investigations and litigation involving, among other things, alleged failure to supervise and allegations of selling non-authorized products or so-called "selling away." Many of these disputes were settled on terms favorable to Mr. Baker's clients.
Mr. Baker served with the SEC for over ten years in various positions of increasing responsibility and left in early 2005 as Senior Special Counsel. During his time at the SEC, he prosecuted a wide range of securities violations and also served as a Special Assistant United States Attorney for the U.S. Department of Justice.
Prior to joining Clyde Snow, Mr. Baker also served as in-house counsel for a NASDAQ listed public company and was a shareholder at two major law firms.
Education
- J.D., University of Oregon School of Law, Eugene, Oregon, 1987
- B.A., University of Utah, Salt Lake City, UT, 1984
Court Admissions
- U.S. District Court District of Utah
- U.S. District Court District of Nevada
- U.S. District Court Northern District of Texas
- U.S. District Court District of Maryland
Judicial Clerkship
Judicial law clerk to the Honorable Bruce S. Jenkins, U.S. District Court, for the District of Utah, 1989-1990
Awards
Recipient, SEC Chairman's Award for Excellence (2002)
Related Activities
- Managing Editor, University of Oregon Journal of Environmental Law & Litigation
- Board Member, University of Utah Marriott Library Advisory Board
Publications
- It's Turtles All the Way Down, Utah CEO Magazine, November, 2008
- Predatory Naked Short Sales, Utah CEO Magazine, December, 2007
- The Special Immigrant Exception for Religious Ministers, Boston College Third World Law Journal, 1997
Classes and Seminars
- "Accounting for Lawyers," NBI, Salt Lake City, March 2011
- Founder, Fraud College, Utah Valley University, Provo, Utah, June 2010
- Panelist, "Why Regulators Hate Reverse Mergers," DealFlow Media's 2008 Reverse Merger Conference, June 18, 2008-June 19, 2008
- "Surviving Regulatory Audits," Tenants-In-Common Association, San Diego, April 2006
- "Avoiding Aggressive Trading Tactics," DealFlow Media, The PIPES Report, Las Vegas, May 2006
- "Criminal and Regulatory Dangers of Alternative Financing: Understanding the Risks and Ways to Protect Yourself," Reverse Merger Conference, New York City, July 2006
- "Litigation and Non-litigation Strategies to Combat Abusive Short Selling Tactics," Reverse Merger Conference, San Francisco, February 2006
- Briefed Members of Senate Finance Committee and Subcommittee of Financial Institutions on Predatory Short Selling Practices, Washington, D.C., August 2005
- Briefed Members of Senate Judiciary Committee on Activities of Hedge Funds and Independent Analysts, Washington, D.C., June 2006
- "Naked Shorts: An Overstock.com Perspective," Utah State Bar Securities Section, January 2006
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