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Thursday, March 28, 2024 | Back issues
Courthouse News Service Courthouse News Service

SEC Sues Ohio Investment Advisers

CLEVELAND (CN) - The SEC claims the CEO and CFO of Brantley Capital Corp. juggled the books to take higher "investment advisory fees" while two companies that accounted for more than half of the company's portfolio actually were failing. CEO Robert Pinkas contests the accusations; CFO Tab Keplinger settled for $50,000, the SEC said.

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