David A. Baugh


Office: Chicago

Direct: 312-741-4501

Fax: 312-422-6110


  • Professional Overview

    Mr. Baugh has extensive experience in all aspects of financial and investment services including internal investigations, SEC and FINRA investigations and litigation, regulatory licensing, expungement, fraud claims, breach of fiduciary duty, unfair business practices and professional negligence. His clients include accountants, attorneys, financial institutions, brokerage firms, stock and commodity brokers, certified financial planners, as well as insurance agents. In addition, Mr. Baugh has assisted many clients in navigating through inquiries, investigations, disciplinary actions by FINRA, the SEC, the Certified Financial Planning Board, and Departments of Insurance and Boards of Accountancy in various states.

    Mr. Baugh worked in the area of public accounting prior to attending law school and obtained his COA certificate at that time. Upon obtaining his JD he worked for the Securities Exchange Commission Division of Corporation Finance in the DC home office. Following his time at the SEC, he entered private practice in Chicago where he continues to focus his practice in the financial services, directors and officers and professional malpractice litigation and regulatory investigations and proceedings. Mr. Baugh regularly speaks at annual compliance conferences for his clients about legal developments relevant to their businesses. He has spoken nationally at various trade organization conferences regarding a variety of topics relating to securities law and FINRA arbitrations and enforcement actions.
  • Practice Areas
  • Education and Admissions


    • J.D. from the University of Tennessee, College of Law.
    • B.B.A. from the University of Georgia.


    • United States District Court for the Northern District of Illinois
    • United States District Court for the Central District of Illinois
    • United States District Court for the Eastern District of Wisconsin
    • United States Court of Appeals for the Sixth Circuit
    • United States Court of Appeals for the Seventh Circuit
    • Trial Bar for the Northern District of Illinois

    States Licensed

    • Illinois
    • Tennessee
  • News, Honors, Publications & Speeches
    • AV® Preeminent™ Rated by Martindale-Hubbell
    • Recipient of Most Influential Attorney Award in Corporate, Commercial and Securities Litigation by International Associate of Who’s Who.
    • Increased Scrutiny from State and Local Regulators, Aon Advisor Solutions
    Speaking Engagements
    • David Baugh - 2019 IBDC Spotlight Series: David A. Baugh, Co-Managing Partner - Chicago
    • David Baugh, Gregg Breitbart Speakers at 2018 IBDC CONFERENCE