SEC Bars Convicted Fraudster From Securities Industry

Law360, Los Angeles (March 7, 2014, 6:15 PM EST) -- The U.S. Securities and Exchange Commission on Friday barred a former attorney from association with any municipal adviser or nationally recognized statistical rating organization after he was convicted of conspiracy, mail fraud and illegal sales of unregistered securities, holding that it is in the public interest.

Gregory Bartko, the former chief executive officer and chief compliance officer of registered broker-dealer Capstone Partners LC, was convicted in 2010 for his part in a financial scheme that fraudulently raised more than $2.7 million for his two private equity...
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