Mr. Baker is a shareholder and member of Clyde Snow’s Securities Enforcement, Regulatory Defense & Litigation and White Collar Crime, Government, and Independent Investigations groups. 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 securities and commerce agencies. Mr. Baker represents broker-dealers, investment advisors, compliance officers, and registered representatives before the SEC and the Financial Industry Regulatory Authority (FINRA). He also handles a variety of corporate internal investigations. His practice routinely involves responding to regulatory subpoenas, preparing clients for investigative testimony, and responding to SEC “Wells Notices” of anticipated charges.
Mr. Baker’s litigation experience includes representing executives, compliance officers, 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 Senior Special Counsel at the SEC, he has also represented several national broker-dealer firms and investment advisers in SEC or State Division of Securities investigations and litigation involving, among other issues, 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 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.
Mr. Baker has also served as in-house counsel for a NASDAQ listed public company and was a shareholder at two major law firms.