Brantley Capital Management settlements

Brantley Capital Management and its principals Robert Pinkas and Tab Keplinger are the subject of an SEC Fair Fund distribution covering investors who purchased Brantley Capital Corp. common stock between March 31, 2003, and October 24, 2005, and suffered a net recognized loss under the distribution plan. A final disbursement of $835,235.00 was ordered from the approximately $960,000 distribution fund. The claim deadline for this matter closed on December 11, 2013; this record is available for historical reference.

$835,235 potential payment
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Antitrust

Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger

Investors who lost money on Brantley Capital Corp. stock between 2003 and 2005 were eligible to share in a $835,235.00 distribution ordered by a federal court. This was an SEC enforcement action — the money came from a judgment against former management, not a voluntary settlement.

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