Spencer Fane: Brent R. Baker

- 201 S Main St #1800, Salt Lake City, UT 84111

In today's highly regulated business environment, companies and individuals can find themselves facing an array of legal challenges from government agencies and regulatory bodies. From federal investigations by the U.S. Securities and Exchange Commission (SEC) to inquiries from state-level securities departments, these matters require a specialized legal advocate with a deep understanding of both the regulations and the regulators themselves. For businesses and individuals in Utah, Brent R. Baker, a partner at the respected law firm of Spencer Fane, is a premier choice for navigating these complex issues. His practice is uniquely focused on regulatory enforcement defense, offering clients in Salt Lake City and beyond the benefit of his extensive experience as a former SEC prosecutor. This firsthand knowledge of how the government builds its cases provides his clients with a significant strategic advantage, whether they are facing a criminal investigation or a civil dispute.

Brent R. Baker's career is marked by an unwavering commitment to excellence and a professional journey that has provided him with an insider's perspective on regulatory enforcement. After nearly 14 years prosecuting securities violations at the SEC and serving as a Special Assistant U.S. Attorney for the U.S. Department of Justice, he now dedicates his practice to defending the very clients he once prosecuted. This rare and valuable experience makes him a formidable opponent for government agencies and a trusted advisor for clients navigating all stages of securities disputes. His ability to anticipate the strategies of regulatory bodies and provide proactive, effective counsel has earned him recognition as a leader in his field. He is a partner at Spencer Fane, a full-service business law firm with a reputation for client-focused service and a wide range of legal capabilities.

Brent R. Baker's office is conveniently located in the heart of downtown Salt Lake City, making it a central and accessible location for clients throughout the Wasatch Front. The office is located at 201 S Main St #1800, Salt Lake City, UT 84111, USA. This prime location in the city's business district ensures that clients can easily access the firm for meetings and consultations.

The building and office are designed with accessibility in mind, demonstrating a commitment to serving all members of the community. It provides a wheelchair accessible entrance, a wheelchair accessible parking lot, and a wheelchair accessible restroom. These features ensure that clients with mobility challenges can navigate the space with ease and comfort. To provide the best possible service and ensure his availability, appointments are recommended for all consultations.

Brent R. Baker's practice is highly specialized, focusing on complex regulatory, civil, and criminal matters. His extensive background in government enforcement provides him with a unique skill set to handle a broad range of legal issues for a diverse clientele, including global companies, board committees, executives, and individuals.

His core practice areas include, but are not limited to:

• SEC Enforcement and Regulatory Defense: He provides vigorous representation to clients facing investigations and litigation from the SEC. This includes responding to subpoenas, preparing clients for investigative testimony, and defending against SEC Wells Notices of projected charges.

• Complex Private Securities Litigation: He handles disputes between private parties involving securities, including litigation related to investments, financial services, and corporate compliance.

• Government and Independent Investigations: Brent R. Baker represents clients in investigations by various government agencies and independent bodies, including the U.S. Department of Justice (DOJ), the Public Company Accounting Oversight Board (PCAOB), and the Financial Industry Regulatory Authority (FINRA).

• White-Collar Criminal Defense: His experience as a former Special Assistant U.S. Attorney gives him a powerful perspective on white-collar criminal defense cases, helping clients navigate criminal investigations and litigation.

• Compliance and Regulatory Counseling: Beyond defense, he also provides proactive legal advice to registered entities on a variety of general compliance issues, including anti-money laundering (AML) matters, to help them avoid future regulatory issues.

Brent R. Baker's professional standing and expertise are demonstrated by several key features and honors that set him apart in the Utah legal community.

• Former SEC Prosecutor: His nearly 14 years as an attorney for the U.S. Securities and Exchange Commission is a significant and rare credential. This experience provides him with a deep understanding of regulatory enforcement tactics and strategies, which he now uses to benefit his clients.

• Recognized by Peers: He has been consistently recognized by his peers for his legal excellence. He has been named to the Securities Docket's "Enforcement Elite," as well as "Legal Elite" by Utah Business Magazine and "Mountain States Super Lawyers."

• High-Level Community Involvement: His commitment to the community is evidenced by his service as Chair and Commissioner of the Utah State Securities Commission from 2017 to 2020. This role gave him a unique perspective on Utah's securities regulations.

• Expert Witness Experience: He has been retained as an expert witness multiple times in both civil and criminal cases, a testament to his expertise and credibility in the fields of securities and corporate law.

• Comprehensive Defense Strategy: He provides a full spectrum of defense services, from initial responses to subpoenas to preparing clients for investigative testimony, ensuring that clients are well-prepared at every stage of a regulatory or criminal matter.

For businesses, executives, and individuals in Utah facing a regulatory investigation or a complex securities matter, the choice of attorney is paramount. The primary reason to choose Brent R. Baker is his unparalleled background as a former SEC prosecutor. While many attorneys can claim expertise in securities law, very few have the unique perspective of having worked on the "other side" for almost 14 years. He understands how these cases are built, the weaknesses they may have, and the most effective ways to defend against them. This insight is an invaluable asset that can make the difference between a successful resolution and a drawn-out, costly legal battle.

Beyond his professional background, his commitment to the local community, as demonstrated by his service on the Utah State Securities Commission, shows that he is not just an expert in his field but is also deeply invested in the well-being of the state's business environment. For Utah residents and businesses who need an attorney who is not only a savvy litigator but also a true expert in the intricate world of regulatory defense, Brent R. Baker at Spencer Fane is a highly recommended and capable choice. His ability to handle the toughest cases and his impressive professional accolades make him an exceptional advocate for anyone in need of his specialized services.

To learn more about how Brent R. Baker can assist you with a regulatory or securities matter, you can contact his Salt Lake City office.

• Address: 201 S Main St #1800, Salt Lake City, UT 84111, USA

• Phone: (801) 651-5786

Spencer Fane: Brent R. Baker

201 S Main St #1800, Salt Lake City, UT 84111, USA