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H. Gregory Baker

Partner

New York
T: +1 212.419.5877 F: +1 973.597.2400 hbaker@lowenstein.com
  • BIO
  • EXPERIENCE
  • NEWS & INSIGHTS

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A former senior counsel for the U.S. Securities & Exchange Commission (SEC) with extensive experience investigating and litigating securities laws violations, Greg provides strategic advice to individuals and businesses in financial services and other industries. He serves as a key advisor on investigations and litigation strategy and applies his firsthand knowledge of the SEC to help clients manage risk and achieve positive outcomes in matters led by financial regulators.

Prior to joining the firm, Greg served for five years in the SEC’s Division of Enforcement, most recently as a member of the Asset Management Unit, where he managed investigations and litigations concerning investment advisors, hedge funds, private equity funds, and mutual funds. Greg’s matters involved issues such as hedge fund valuations, private equity fee disclosures, compliance violations, market manipulation, performance advertising, insider trading, derivative arbitrage, and accounting. He received four Directors’ Awards from the Division of Enforcement in recognition of his outstanding achievements in investigative work.

Greg’s notable enforcement actions included the fraudulent mismarking of mortgage-backed securities by principals and traders at a registered investment advisor and a fraudulent scheme by certain company insiders to take undisclosed control of tens of millions of dollars’ worth of publicly traded stock of a Fortune 500 company, both of which led to parallel criminal actions brought by the U.S. Attorney’s Office for the Southern District of New York. He also investigated and filed the first enforcement action brought by the SEC against a robo-advisor in a matter alleging violations of the Investment Advisers Act of 1940. 

Before joining the public sector, Greg worked at two AmLaw 50 firms on a broad range of matters for financial institutions and corporations, including complex contract disputes, internal investigations, securities class action lawsuits, employment disputes, and bankruptcy adversary proceedings. Representing both plaintiffs and defendants, Greg has experience in structured products litigation, insurance and reinsurance claims, complex contractual disputes, trade secret infringement, and criminal defense matters.

He previously served as a law clerk to the Honorable William H. Walls of the U.S. District Court for the District of New Jersey.

Representative Matters at Lowenstein Sandler

  • Represent hedge fund and its executives against SEC enforcement action in U.S. District Court for the Northern District of Illinois concerning issues of alleged mismarking of fund assets and GAAP compliance
  • Represent numerous companies and individuals in investigations conducted by the DOJ, SEC, and FINRA
  • Represent multiple relief defendants in federal district court actions filed by the SEC
  • Represent audit committee of publicly traded pharmaceutical company in investigation of whistleblower complaints
  • Represent private equity firm in defending lawsuit filed by former employees concerning the alleged misvaluation of their employee profits interests
  • Represent families who were the victims of forced separation at the U.S. border in pursuing federal tort claims against the U.S. government (pro bono)

Representative Matters From Private Practice Prior to Lowenstein Sandler

  • Successfully defended foreign private issuer in securities class action dispute in U.S. District Court for the Southern District of New York; prevailed on motion to dismiss in Southern District and secured affirmation of dismissal by the U.S. Court of Appeals for the Second Circuit
  • Successfully defended private equity firm in adversary proceeding filed by Chapter 7 Trustee in U.S. Bankruptcy Court for the District of Delaware against claims of breach of contract, breach of fiduciary duties, and avoidable preferences, among other claims
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Education

  • Columbia Law School (J.D. 2004); Harlan Fiske Stone Scholar; senior student editor, The American Review of International Arbitration

    Amherst College (B.A. 2001)

Affiliations

  • New York City Bar
    • Minorities in the Profession Committee
  • American Bar Association
    • Securities Litigation Committee
  • National Bar Association
    • Treasurer, Minority Partners in Majority Firms Committee
  • Garden State Bar Association

Admissions

  • New York
  • New Jersey
  • U.S. Court of Appeals for the Second Circuit
  • U.S. District Court for the Southern District of New York
  • U.S. District Court for the Eastern District of New York
  • U.S. District Court for the District of New Jersey

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