Securities and Exchange Commission v. Abraham and Sons Capital and Brett G. Brubaker

Admin. Proc. File No. 3-9448 Testifying expert for the S.E.C. Civil penalties and bar from association with broker-dealer or registered investment advisor. Registered investment advisor and its president found to have made material fraudulent misrepresentations in connection with stock transactions, mispricing and reported performance of a managed short-stock portfolio.]]>