Seth Taube is firmwide chair of the Securities and Shareholder Litigation Practice Group and head of the Trial Section in the New York office of Baker Botts. Mr. Taube handles securities and commercial litigation, SEC and state attorney general defense, corporate governance and white collar criminal defense matters in federal and state courts. He has also handled bankruptcy litigation and energy disputes.
Mr. Taube has defended senior executives, investment bankers and financial services institutions in SEC, DOJ and FINRA inquiries; acted as liquidator’s lead counsel for a significant hedge fund collapse; has defended senior management of a leading stock research company in SEC investigations; and has handled financial restatement cases, FCPA inquiries, option back dating investigations, mortgage backed securities matters and inquiries of major mutual funds and their senior executives by the SEC and state attorneys general. Mr. Taube has extensive experience in securities-related regulatory and internal investigations as well as securities and international arbitrations.
Mr. Taube served as Branch Chief of Enforcement at the New York Regional Office of the SEC. He was awarded the Manuel Cohen Distinguished Lawyer Award by the Commissioners in 1982 and served as a Special Assistant United States Attorney in the Securities Crime Unit of the United States Attorney’s Office for the Southern District of New York.
Mr. Taube has taught courses on mergers, acquisitions and corporate litigation as an adjunct professor of law at Seton Hall Law School. He was also general counsel of an investment bank and member of the New York Stock Exchange.
Publications, Speeches and Presentations
- “Insider Trading,” PLI Broker-Dealer Regulation, (amended and republished), Fall 2015
- “Regulatory Reporting Requirements,” PLI Broker-Dealer Regulation, amended and republished, Fall 2012
- “Internal Investigation Case Studies, The Good, The Bad and The Ugly,” ABA Business Law Section, May 2011
- “Clawback Compliance,” ABA Tax Section, May 2011
- “The Changing Art of Securities Law Counseling,” Aspatore Books, September 2008
Speeches and Presentations
- Moderator: “Investor Protection under Dodd Frank,” NY County Lawyers Association, March 2014
- Chair of Conference: “U.S. and Japanese White Collar Prosecutions,” October 2013
- Panelist: “Chinese Capital and Globalization,” Western Returned Scholars Association, Columbia University, September 2013
- Moderator: “Indictment of In-House Counsel, Lessons Learned for Hedge Fund Counsel,” June 2013
- Co-Chair of Conference: “Lawyers and Accountants, an Interactive Dialogue;” Moderator, “Audit Committees and Corporate Governance.” NY County Lawyers Assoc., September 2012
- Moderator, ABA Annual Conference on Internal Investigations, New York, May 2011
- Panelist, ABA Annual Tax Section Meeting, “Dodd-Frank and Sarbanes Executive Clawbacks” May 2011
- Panelist, ABA Annual Conference on Internal Corporate Investigations, Washington D.C., May 2010
- Moderator, “Improving Corporate Boards,” Corporate Governance Forum, Rutgers Univ., New York, April 2007
- Moderator, “How Boards of Directors Can Get Investigations Right,” Directors’ Roundtable, New York, March 2007
- Panelist, “Special Considerations in Investigations of Foreign Subsidiaries,” National Forum on Fraud Risk, American Conference Institute, New York, March 2006