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Nicole A. Baker

Partner
+1.202.778.9018
Fax +1.202.778.9100

Nicole Baker is a partner in the Washington, D.C. office of K&L Gates. Her practice focuses on government enforcement and litigation matters.

Ms. Baker regularly represents individuals and entities, including banks, broker-dealers, investment companies and investment advisers, before the United States Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the United States Department of Justice (DOJ), the Consumer Financial Protection Bureau (CFPB), the Department of Housing and Urban Development (HUD), and other government agencies. She also advises clients with respect to private litigation matters in federal and state courts, as well as AAA and FINRA arbitrations.

In addition, Ms. Baker is experienced in conducting internal investigations on behalf of public and privately held companies, financial institutions and non-profit organizations. Representative matters have involved the financial services, consumer finance, education and health care industries. Some of her experiences include:

  • Defended investment advisers, broker-dealers, and individuals with respect to SEC examinations and enforcement investigations involving various issues, including: disclosure obligations of municipal bond issuers; variable annuity sales and exchanges; insider trading; securities lending; and sales of CDOs, swaps and other derivative products, among other things.
  • Defended independent directors of several investment companies in SEC enforcement and follow-on administrative proceeding involving allegedly improper fair valuation of securities, as well as related shareholder class action and derivative lawsuits.
  • Represented investment adviser to large mutual fund complex and affiliated broker-dealer in shareholder lawsuits brought pursuant to Section 36(b) of the Investment Company Act alleging excessive advisory fees and/or distribution fees.
  • Defended broker-dealers and associated persons with respect to FINRA “sweep” examinations and enforcement investigations, including: corporate and municipal bond pricing and trade reporting, variable annuity sales and exchanges, anti-money laundering, and related sales practices and supervisory issues.
  • Represented broker-dealers, associated persons and their customers in FINRA customer and industry arbitrations and related regulatory proceedings.
  • Conducted internal investigations of large financial institutions with respect to various issues growing out of whistleblower reports at banks, broker-dealers and investment advisers.
  • Conducted internal reviews for mortgage originators and mortgage servicers involving FHA-insured loan origination and servicing policies and procedures.
  • Represented national financial institution in connection with DOJ and HUD investigations into mortgage lending practices, and advised client with respect to potential False Claims Act and FIRREA liability.
  • Represented large financial institution with respect to investigation by CFPB regarding the integrity of mortgage servicing-related data.
  • Represented health care provider in connection with DOJ inquiry related to Medicare reimbursement issues, and advised client with respect to potential liability under False Claims Act and other federal laws.

Achievements

  • Selected as a “Rising Star” by SuperLawyers for Securities Litigation in 2013-2016