On January 17, 2017, the U.S. Court of Appeals for the D.C. Circuit vacated in part a Securities and Exchange Commission (SEC) order that imposed a collateral bar against Gregory Bartko, the former CEO and chief compliance...more
2/28/2017
/ Broker-Dealer ,
CEOs ,
Collateral Bars ,
Criminal Conspiracy ,
Criminal Convictions ,
Dodd-Frank ,
Enforcement Actions ,
Mail Fraud ,
Retroactive Application ,
Sanction Suspensions ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Unregistered Securities ,
Vacated