January 20, 2022

Volume XII, Number 20

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Brent R. Baker

Mr. Baker is a shareholder and member of Parsons’ litigation, securities and regulatory enforcement departments. His practice concentrates on SEC enforcement and regulatory defense, private securities litigation and government/independent investigations. He routinely defends 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 has extensive experience handling complex private securities litigation in state and federal courts. His private securities litigation practice includes representing clients at the trial court level and at the appellate level. He is a licensed member of the bar in Utah and New York. He has been admitted in many districts and circuits including the 10th and 2nd Circuits.

He regularly advises registered entities regarding general compliance issues and is often engaged to advise clients on investment and financial services matters, and to counsel clients during regulatory examinations, on issues ranging from Foreign Corrupt Practices Act (FCPA) matters, anti-money laundering (AML) matters and proactive compliance and remediation advice.

In the course of his practice, he routinely represents securities issuers, company officers and directors, investment funds, analysts, and brokers and advisors 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 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 served as a Special Assistant United States Attorney for the U.S. Department of Justice. Mr. Baker has been retained as an expert witness 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.

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Articles in the National Law Review database by Brent R. Baker

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