Brent 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 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 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.
REGULATORS PROVIDE NO MEANINGFUL RELIEF OR GUIDANCE TO FINANCIAL INSTITUTIONS STRUGGLING WITH BANK SECRECY ACT COMPLIANCE DUE TO THE COVID-19 PANDEMIC
THE SEC’S DIVISION OF ENFORCEMENT AND COVID-19
PRIVILEGE AND THE USE OF COMPLIANCE CONSULTANTS
CONDUCT-BASED BARS AND INJUNCTIONS IN SEC ENFORCEMENT PROCEEDINGS
IT’S TURTLES ALL THE WAY DOWN
PREDATORY NAKED SHORT SALES