Tips and Techniques for Detecting and Preventing Fraud, Red Flags, and Beyond.  Brent Baker, Shareholder with Parsons Behle, will describe what he has learned over 25 years of investigating and prosecuting financial frauds.

Mr. Baker is a shareholder and member of Parsons Behle’s 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. Many of these disputes were settled on terms favorable to Mr. Baker’s clients.