Securities Enforcement Empirical Database (SEED)

Defendant Name: James DePalma

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of James DePalma, CPA

First Document Date 14-Oct-2020

Initial Filing Format Administrative Action

File Number 3-20121

Allegation Type Issuer Reporting and Disclosure

AAER 4186

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

Exchange Act

• Rule 12b-20

• Sec 13(a)

• Rule 13a-1

• Rule 13a-11

• Rule 13a-13

• Rule 13a-14

• Sec 13(b)(2)(A)

• Sec 13(b)(2)(B)

• Sec 13(b)(5)

Securities Act

• Sec 17(a)(2)

• Sec 17(a)(3)

Other

• Rule 13b2-1 Exchange Act

Resolutions

Bars:

Bar on practicing before the SEC as an Accountant for 3 years

First Resolution Date

Related Actions:

SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner

Revolution Lighting Technologies, Inc.

Robert LaPenta

James DePalma

Daniel O'Neal

Allen Garner

In the Matter of Daniel O'Neal

Daniel O'Neal

In the Matter of Allen Garner

Allen Garner

In the Matter of RSM US LLP

RSM US LLP

In the Matter of Steven Kirn, CPA, Michael Piqueira, CPA, and Richard Condon, CPA

Steven Kirn, CPA

Michael Piqueira, CPA

Richard Condon, CPA