Tag Archives: Brantley Capital

SEC Charges Investment Adviser With Misappropriating Funds to Pay for Previous SEC Settlement

February 17, 2012  |   Posted by :   |   Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft   |   Comments Off on SEC Charges Investment Adviser With Misappropriating Funds to Pay for Previous SEC Settlement

In a striking example of the ineffectiveness that can plague securities regulation, investment adviser Robert Pinkas allegedly misappropriated $800,000 from a client to pay for disgorgement and costs resulting from a previous case brought against him by the Securities and Exchange Commission (SEC). On Feb. 15, the SEC issued an order to start administrative and […]

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