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PRACTICE OVERVIEW - Mr. Bartko has been a practicing lawyer for 26 years and is also a principal in and the chief executive officer of Capstone Partners, L.C., an NASD-member and fully registered broker dealer, investment banking and corporate finance boutique, which was formed to assist middle market U.S.-based private and public companies in structuring and successfully locating equity and debt capital.
Mr. Bartko’s primary practice responsibilities include providing corporate finance and securities regulatory advice and legal services for client companies that are in the process of private placement or public offerings of their securities and to handle broker-dealer compliance issues relative to the operations of an investment banking company. Mr. Bartko routinely represents corporations desiring to conduct public and private offerings and those that already are public companies trading their securities on one or more national securities exchanges or in the over-the-counter markets. His representation of such companies is particularly active for issuers quoting their securities on the Electronic Bulletin Board maintained by the NASD. Mr. Bartko also serves as a managing-member of Caledonian Private Equity Partners, LLC, a private equity firm now located in San Diego, California and is the managing member of a separate private equity bridge and mezzanine fund, Capstone Private Equity Bridge & Mezzanine Fund, LLC, a Delaware limited liability company.
Prior to specializing in securities law and compliance, Mr. Bartko handled hundreds of litigation cases, both civil and criminal matters, in various state and federal courts. As a result, he has a unique blend of transaction and litigation experience that permits him to competently represent clients that have some adversarial relationship either with the U.S. Securities and Exchange Commission or various state securities regulatory agencies.
ENFORCEMENT DEFENSE - representing clients in connection with examinations, inquiries, investigations, and actions by the SEC, NASD Regulation, National Securities Exchanges, state securities agencies, and the U.S. Department of Justice.
Clients have included broker-dealers, investment bankers, securities analysts, traders, registered representatives, investment advisers, public companies and their officers and directors, promoters, and private investors. Extensive experience in matters involving insider trading, broker-dealer regulations, securities fraud, investment adviser fraud, class action litigation and public company disclosure, including compliance with recently enacted Sarbanes-Oxley legislation and SEC rules promulgated thereunder.
COUNSELING AND COMPLIANCE - counseling broker-dealers, registered representatives, investment advisers, public companies, other securities professionals, private investors, regarding registration, compliance, reporting, disclosure, and trading issues.
Projects include serving as legal counsel to issuers or broker-dealers pursuant to settlements of enforcement matters with the SEC and NASD Regulation; assisting broker-dealers in the registration process with the SEC and the states; assisting broker-dealers in the membership and continuance process with the NASD; counseling broker-dealers with respect to regulatory examinations and audits; drafting broker-dealer compliance and supervisory procedures; counseling investment advisers with respect to fees and disclosure; and counseling public companies concerning prospectus and reporting disclosure.
REPRESENTATIVE CASES AND CLIENTS - Webb/Franklin/Disciples Receiver v. Bull Mountain Coal Properties/Airlie Opportunity Master Fund, Ltd. et al. (2,900KB PDF)
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