Defendant Name:
James DePalma
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
- Former: Director—No Specific Position Named in Document at Revolution Lighting Technologies, Inc. (September 2012—May 2019)
- Former: CFO at Revolution Lighting Technologies, Inc. (July 2015—May 2019)
Violations Alleged
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
James DePalma is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
James DePalma is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
James DePalma is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
James DePalma is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
James DePalma is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
James DePalma is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
James DePalma 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
$100,000
Other Defendants in Action:
