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 projected charges.
Mr. Baker also handles complex private securities litigation in state and federal courts. His practice includes representing clients in civil and criminal government investigations and securities litigation, conducting internal investigations, advising clients on investment services matters, counseling clients during regulatory examinations, counseling clients on Foreign Corrupt Practices Act (FCPA) matters and providing compliance and remediation advice.
Mr. Baker represents executives, compliance officers, and accounting professionals and firms in some of the largest cases brought by the SEC, the FINRA, and the PCAOB. He has also represented several national and regional accounting firms, broker-dealer firms and investment advisers in SEC or State Division of Securities investigations and litigation. Many of these disputes were settled on terms favorable to Mr. Baker’s clients.
In the course of his practice, he routinely represents securities issuers, company officers and directors, investment funds, analysts, and brokers in connection with SEC and FINRA investigations (Rule 8210 requests and OTR’s) and other litigation. Mr. Baker also counsels public companies, funds, and broker-dealers on securities compliance and corporate governance; conducts internal investigations; and assists in regulatory examinations initiated by the SEC’s Division of Corporate Finance and Office of Compliance Inspections and Examinations (OCIE). Mr. Baker has broad experience representing boards and audit committees, and has conducted internal investigations across all business sectors, including nutraceutical/pharmaceutical, financial services, and real estate industries.
Mr. Baker served with the SEC for over eleven years in various positions of increasing responsibility and left in 2006 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 been retained by both the government/prosecution and defense in both civil and criminal cases. In addition, Mr. Baker has also served as in-house counsel for a NASDAQ listed public company and was a shareholder at two major law firms