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...
To view the full article, register now.

UK Financial Services

UK Financial Services

Read Our Latest UK Financial Services Coverage

Financial Services Law360 UK provides breaking news and analysis on the financial sector. Coverage includes UK and European Union policy, enforcement, and litigation involving banks, asset management firms, and other financial services organizations.