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H. Gregory Baker

Partner

New York
T: +1 212.419.5877 F: +1 973.597.2400 hbaker@lowenstein.com

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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.

FIRM NEWS

PUBLICATIONS

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IN THE MEDIA

  • Speaker, DOJ and SEC Investigations: Best Practices for Asset Managers, ACA Compliance Group's Fall 2019 Compliance Conference, Lost Pines, TX, September 19, 2019
  • Panelist, DOJ and SEC Investigations: Best Practices for Asset Managers, ACA Fall 2019 Compliance Conference, Lost Pines, TX, September 19, 2019
  • Speaker, E-mail Best Practices and Protecting Attorney-Client Privilege for FinTech Startups, TechGC FinTech Roundtable Lunch, New York, NY, August 1, 2019
  • Panelist, From Examination to Enforcement – An Insider’s Look at the Evolution of a Case, Lowenstein Sandler & ACA Compliance Group, New York, NY, June 6, 2019

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

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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