SEC Enforcement Defense is a division of the Law Office of Gregory Bartko, LLC dedicated to the representation of private parties and publicly traded companies before governmental regulators.Our firm is headed by a corporate and securities attorney with 29 years experience, including defense work before the U.S Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory (“FINRA”), formerly the National Association of Securities Dealers or “NASD”, and state securities regulatory agencies.Our firm’s staff is licensed in Georgia, Florida, North Carolina, and Michigan, although we represent clients throughout the country.
The focus of our successful representation in regulatory work is two-fold.First, we provide aggressive representation from the onset to protect the rights and interests of our clients.A common mistake a person or entity can make, when notified of an informal investigation or regulatory action, is undirected and unlimited cooperation.While cooperation is important, one must be aware that the regulatory agencies are created to identify violations and enforce the regulatory framework.The initial contacts from the SEC or FINRA are commonly done to evaluate whether administrative or legal action will be forthcoming and the nature of the violations and hence, the first contacts can be the most critical and damaging to a target. Second, cost control is heavily emphasized in every step of the proceeding.Litigation, by nature, is an expensive task and defense work against a governmental entity is no exception.However, the procedural mechanisms in our legal system can be lengthy and economic staying power to fight the battle is the key to a successful outcome.