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.
Approximately $960,000 paid into the Distribution Fund (Fair Fund) from judgment against Pinkas. Final disbursement of $835,235.00 was ordered December 1, 2014 for distribution to Eligible Claimants.
Your share of the $835,235.00 Distribution Fund — the exact amount per claimant depended on how many valid claims were submitted and the size of each person's recognized loss.
Official site: www.prnewswire.com
Who may qualify
You had to have bought or held Brantley Capital Corp. common stock at any point from March 31, 2003 through October 24, 2005, and you had to show an actual loss under the SEC's Distribution Plan (a Net Recognized Loss above zero). People who already filed a valid claim in the related class action did not need to file a second time.
Official eligibility wording
Investors who purchased or acquired the common stock of Brantley Capital Corp. from March 31, 2003 through October 24, 2005, and suffered a loss according to the Distribution Plan. Those with a Net Recognized Loss greater than $0.00 under the SEC Distribution Plan who filed a valid Class Action claim did not need to file separately.
This summary is based on available official settlement sources. The settlement administrator determines eligibility and payment approval.
New to the terms? Plain-English: claim deadline, proof of purchase, administrator, pro rata.
Important dates
- Claim deadline
- December 11, 2013 (closed)
Proof requirements
Proof requirement is currently marked as Yes.
Review the official claim form before submitting any information.
What you need
Proof was required. You needed to document your purchase or acquisition of Brantley Capital Corp. stock and demonstrate a net recognized loss under the SEC Distribution Plan. The claim deadline was December 11, 2013.
How to file this claim
- Look up whether you previously filed a valid claim in the related Class Action (Karpus Mgmt., Inc. v. Brantley Capital Corp., et al., 1:07-cv-01716) — if you did and had a Net Recognized Loss greater than $0.00 under the SEC Distribution Plan, you were automatically included and did not need to file a separate form.
- Check your records for a Notice of Eligibility mailed by the Distribution Agent — receiving one meant you were already covered by your prior Class Action filing.
- If you never filed in the Class Action, had a claim denied there, or your Class Action claim showed no Net Recognized Loss under the SEC plan, you would have needed to submit a Proof of Claim Form postmarked by December 11, 2013 — that deadline is closed.
- If you believe you were eligible but never received a payment, contact the SEC's Distribution Agent at (877) 868-8230 or [email protected] to ask about the status of the distribution and whether any unclaimed funds remain.
- Check the SEC's official enforcement page for this case (case No. 09-cv-01906-JG, N.D. Ohio) for any subsequent court orders or re-distribution notices.
Documents you'll need
Watch out for
- The claim deadline of December 11, 2013 has passed — no new claims can be submitted.
- The final disbursement from the Distribution Fund was already ordered and executed; money has been paid out.
- The Fair Fund website listed in the notice (www.secvbrantleyfairfund.com) may no longer be active — use SEC.gov and the Distribution Agent contacts instead.
- Investors who filed in the Class Action with a Net Recognized Loss of $0.00 or less were not automatically included and would have needed to file a separate Proof of Claim Form by the deadline.
We prepare — you file on the official site yourself. This is not legal advice and is not an eligibility decision; the administrator and court decide.
How do I file a claim for this settlement?
This record no longer has an open public claim form — confirm the current status and any next steps on the official source.
- Confirm you are within the eligible group described in the official notice — the settlement administrator determines eligibility.
- Gather any documents the official form asks for — this settlement marks proof as Yes.
- Open the official claim form or settlement website run by SEC v. Brantley Fair Fund, Distribution Agent.
- Submit accurate information through the official settlement administrator or government source before December 11, 2013.
- Save your confirmation number if one is provided, then watch the payment status for distribution updates.
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How we verified this record
- Claim deadline the official settlement website · Jun 17, 2026
- Payout details the official settlement website · Jun 17, 2026
- Eligibility the official settlement website · Jun 17, 2026
- Proof requirement the official settlement website · Jun 17, 2026
- Administrator the official settlement website · Jun 17, 2026
- Court case the official settlement website · Jun 17, 2026
- Payment status the official settlement website · Jun 17, 2026
- Official claim link queued for re-check
Every published record clears our source-verification bar; remaining fields are checked one by one on our weekly re-verification pass.
Checked fields are matched against a named official source and re-checked on a schedule. We show the authority and the date, never our internal evidence link.
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Claim deadline
December 11, 2013
Verified Jun 17, 2026 · against the official settlement website
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Eligibility summary
Investors who purchased or acquired the common stock of Brantley Capital Corp. from March 31, 2003 through October 24, 2005, and suffered a loss according to the Distribution Plan. Those with a Net Recognized Loss greater than $0.00 under the SEC Distribution Plan who filed a valid Class Action claim did not need to file separately.
Verified Jun 17, 2026 · against the official settlement website
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Proof requirement
Yes
Verified Jun 17, 2026 · against the official settlement website
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Payment status
Distribution complete
Verified Jun 17, 2026 · against the official settlement website
On July 8, 2013, Commission staff submitted the Distribution Plan to the Court, and it was approved on July 29, 2013.
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Estimated payout
Approximately $960,000 paid into the Distribution Fund (Fair Fund) from judgment against Pinkas. Final disbursement of $835,235.00 was ordered December 1, 2014 for distribution to Eligible Claimants.
Verified Jun 17, 2026 · against the official settlement website
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Administrator
SEC v. Brantley Fair Fund, Distribution Agent
Verified Jun 17, 2026 · against the official settlement website
Show all 5 more verified fields
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Class period start
March 31, 2003
Verified Jun 17, 2026 · against the official settlement website
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Class period end
October 24, 2005
Verified Jun 17, 2026 · against the official settlement website
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Court
United States District Court for the Northern District of Ohio
Verified Jun 17, 2026 · against the official settlement website
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Court case number
1:09 Civ. 01906 (JSG)
Verified Jun 17, 2026 · against the official settlement website
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Case name
United States Securities and Exchange Commission v. Brantley Capital Management, LLC, et al.
Verified Jun 17, 2026 · against the official settlement website
United States Securities and Exchange Commission v. Brantley Capital Management, LLC, et al.
Common questions
Is the Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger settlement legitimate?
Yes — the Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger settlement is a real claims process that SettleSignal tracks from its official source. It is administered by SEC v. Brantley Fair Fund, Distribution Agent under case 1:09 Civ. 01906 (JSG) in United States District Court for the Northern District of Ohio. File only through the official settlement website (www.prnewswire.com); a genuine settlement administrator never charges a fee to file. SettleSignal last checked this record against the official source on June 17, 2026. Always confirm the current details on the official site before filing.
Who may qualify for this settlement?
Investors who purchased or acquired the common stock of Brantley Capital Corp. from March 31, 2003 through October 24, 2005, and suffered a loss according to the Distribution Plan. Those with a Net Recognized Loss greater than $0.00 under the SEC Distribution Plan who filed a valid Class Action claim did not need to file separately.
What is the claim deadline?
The claim deadline is December 11, 2013. Confirm the current deadline on the official settlement source before filing.
Do I need proof to claim?
Proof requirement: Yes. The settlement administrator determines what documentation, if any, is required.
What is the current payment status?
Current payment status: Distribution complete. Payments are issued by the administrator after the court process concludes.
When will Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger pay out?
Current payment status: Distribution complete. Class-action payouts typically begin only after final approval and any appeals. See our payout timeline guide.
Where is the official Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger claim form?
No claim form is needed — The claim deadline (Dec 11, 2013) has passed — this settlement is closed to new claims. Listed for reference. Never pay a fee to claim a settlement payment.
Who was eligible for this distribution?
Anyone who bought or held Brantley Capital Corp. common stock from March 31, 2003 through October 24, 2005 and had a net recognized loss under the SEC Distribution Plan.
What was the deadline to file a claim?
The claim deadline was December 11, 2013. That window is now closed.
How much could I have received?
The final distribution fund was $835,235.00. Your specific payment depended on your recognized loss relative to all valid claimants — no per-person figure was set in advance.
Did I need proof to file?
Yes. You needed brokerage records or other documentation showing your stock purchases and the loss you suffered during the class period.
Where to act
When you are ready, you open the official claim form yourself. SettleSignal does not file claims or determine eligibility.
The claim deadline (Dec 11, 2013) has passed — this settlement is closed to new claims. Listed for reference.
Listed on the official settlement website (SEC v. Brantley Fair Fund).
Disclaimer
This service summarizes publicly available settlement information and links to official settlement sources. We are not a law firm, do not provide legal advice, do not submit claims on your behalf, and do not determine eligibility or payout approval. Only file a claim if the information you provide is accurate.
Change log
- June 18, 2026 — Settlement published after verification.
- June 17, 2026 — Verified field details updated from an official source.