Every dollar amount and date on this page is quoted from the official settlement document.
Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger
Court case: United States Securities and Exchange Commission v. Brantley Capital Management, LLC, et al.
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.
Official eligibility wordingInvestors 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. Checked against the official settlement source by SettleSignal on June 17, 2026.
Key facts
- 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.
- Estimated payoutApproximately $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.
- Claim deadlineDecember 11, 2013 (closed)
- Proof requiredYes
- What you needProof 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.
- CourtUnited States District Court for the Northern District of Ohio
How hard is this claim to file?
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.
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2 official sources linked to this record.
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Claim deadline
December 11, 2013
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Eligibility summary Quoted in the official eligibility wording above ↑
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Proof requirement
Yes
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Payment status
Distribution complete
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.
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Administrator
SEC v. Brantley Fair Fund, Distribution Agent
Show all 5 more verified fields
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Class period start
March 31, 2003
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Class period end
October 24, 2005
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Court
United States District Court for the Northern District of Ohio
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Court case number
1:09 Civ. 01906 (JSG)
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Case name
United States Securities and Exchange Commission v. Brantley Capital Management, LLC, et al.
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