Baker Botts L.L.P.

Litigation

Senior Counsel

Seth Taube, a former federal prosecutor and SEC official with over forty years of trial experience, 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 both the New York Stock Exchange and self regulator FINRA in SEC matters, as well as senior executives, investment bankers and financial services institutions in SEC, state attorney general, and DOJ 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 international litigation and inquiries, 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 is currently teaching International Trade Law at Benjamin Cardozo School of Law, and has taught courses on mergers, acquisitions and corporate litigation at Seton Hall Law School. He was also general counsel of an investment bank.

New York State Bar

New Jersey State Bar

District of Columbia Bar

United States Courts of Appeals for the Second and Third Circuits

United States District Courts for the District of New Jersey and the Southern and Eastern Districts of New York

Financial Regulatory Authority, Member of the Board of Arbitrators

New Jersey Uniform Securities Laws Study Commission

Securities Industry and Financial Markets Association, Law and Compliance Division

New Jersey State Bar, Securities Enforcement and Regulatory Committee, former Co-Chair

Benjamin N Cardozo School of Law, Member of the Board of Overseers

J.D., Benjamin N. Cardozo School of Law 1979 cum laude

B.A., Queens College 1976 magna cum laude