Defendant Name:
Allen Garner
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: CFO at Value Lighting, Inc. (May 2015—August 2016)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
Allen Garner is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act.
Allen Garner is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act.
Allen Garner is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act.
Allen Garner is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-11 of the Exchange Act.
Allen Garner is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act.
Allen Garner is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act.
Allen Garner 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
Bars:
- Bar from acting as Director or Officer of a public company for 5 years
First Resolution Date
09-Oct-2020
Headline Total Penalty and Disgorgement
$25,000
Other Defendants in Action:
