FacultyFaculty/Author Profile
William R. Baker III

William R. Baker III

Latham & Watkins LLP

Washington, DC, USA


William R. Baker III, former global Co-chair of Latham's Securities Litigation & Professional Liability Practice, focuses his practice on a broad range of business regulatory and corporate governance matters. Mr. Baker represents and counsels corporations, auditing and other professional services firms, investment banks and other financial institutions in connection with the US Securities and Exchange Commission (SEC) and other regulatory enforcement proceedings, Internal investigations on behalf of management and boards of directors, and reporting, disclosure, compliance and corporate governance requirements.

Prior to joining Latham, he served as Associate Director of the SEC’s Division of Enforcement where he was responsible for supervising all types of SEC enforcement activities, including investigations involving issuer accounting fraud and other disclosure violations, insider trading, market manipulation and broker-dealer misconduct. Mr. Baker led numerous high-profile investigations that resulted in several landmark enforcement actions, including the global settlement in 2000 involving the SEC, Department of Treasury, Department of Justice, Internal Revenue Service, National Association of Securities Dealers and 21 securities firms resulting in those firms paying a total of US$195 million to resolve claims that the firms charged excessive markups on government securities and the SEC's action against WorldCom Inc., involving one of the largest financial frauds in history. While at the Commission, he was a recipient of the SEC's Stanley Sporkin Award, awarded by the Chairman of the SEC in recognition of outstanding contributions to the Enforcement program, and of the Commission's Law and Policy Award.

Mr. Baker is Co-chair of the Sub-Committee on SEC Enforcement and Civil Litigation of the American Bar Association Business Law Section and serves on the Advisory Council of the SEC Historical Society. From 2001-2004, Mr. Baker was an adjunct professor at George Washington University Law School, where he taught Securities Regulation. He is a frequent author, speaker and panelist on securities law issues at programs organized by a wide variety of groups, including the American Bar Association, the District of Columbia Bar Association, the Association of the Bar of the City of New York, the Securities Industry Association, The Bond Market Association, the Justice Department's National Advocacy Center, the Practicing Law Institute, Georgetown University Law Center and Stanford Law School..

Mr. Baker is consistently recognized as a leading securities litigation lawyer by Chambers USA and The Legal 500 US and is listed as one of the Best Lawyers in Washington by Washingtonian magazine.

William R. Baker III is associated with the following items:
CHB Chapters  CHB Chapters Analyzing Early Returns on the Yates Memo (March 3, 2016) - Broker/Dealer Regulation and Enforcement 2016, Thursday, October 20, 2016
Defending Broker Dealers in Regulatory Investigations (September 2016) - Broker/Dealer Regulation and Enforcement 2016, Thursday, October 20, 2016
Ethical Considerations Involving Multiple Representations (September 2016) - Securities Regulation Institute (48th Annual), Monday, November 07, 2016
Some Ethical Issues Involving Board Representation - Corporate Governance - A Master Class 2017, Monday, March 13, 2017
Defending Broker Dealers in Regulatory Investigations (August 2017) - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
Web Segment  Web Segment Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
MP3 Audio  MP3 Audio Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Compliance Officer Roundtable, Tuesday, October 17, 2017
Transcripts  Transcripts Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Compliance Officer Roundtable, Tuesday, October 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Compliance Officer Roundtable, Tuesday, October 17, 2017
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
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