Defendant Name: Robert LaPenta

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner
First Document Date 24-Sep-2020
Initial Filing Format Civil Proceeding
Case Number 20-cv-01440
Allegation Type Issuer Reporting and Disclosure
Federal District Court Connecticut, District of Connecticut

Affiliations

Violations Alleged

Exchange Act
Rule 13a-14
Securities Act
Sec 17(a)(2)
Sec 17(a)(3)
Other
Rule 13b2-1 Exchange Act

Related Violations Alleged

Robert LaPenta is alleged to have aided and abetted Revolution Lighting Technologies, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted Revolution Lighting Technologies, Inc.'s violation of Sec 13(a) of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted Revolution Lighting Technologies, Inc.'s violation of Rule 13a-1 of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted Revolution Lighting Technologies, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted Revolution Lighting Technologies, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted Revolution Lighting Technologies, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted Revolution Lighting Technologies, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Robert LaPenta is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 09-Oct-2020
Headline Total Penalty and Disgorgement $192,768

Related Documents:

comp-pr2020-221 24-Sep-2020 Complaint
Complaint
court_doc9_20-cv-01440 09-Oct-2020 Court Docket Document
Final Judgment as to Defendant Robert Lapenta

Other Defendants in Action:

Related Actions:

In the Matter of James DePalma, CPA
In the Matter of Daniel O'Neal
In the Matter of Allen Garner
In the Matter of RSM US LLP
In the Matter of Steven Kirn, CPA, Michael Piqueira, CPA, and Richard Condon, CPA