Securities and Exchange Commission v. Revolution Lighting Technologies, Inc. et al
Plaintiff: Securities and Exchange Commission
Defendant: Revolution Lighting Technologies, Inc., Allen Garner, James DePalma, Robert LaPenta and Daniel O'Neal
Case Number: 3:2020cv01440
Filed: September 24, 2020
Court: US District Court for the District of Connecticut
Presiding Judge: Charles S Haight
Nature of Suit: Securities/Commodities
Cause of Action: 15 U.S.C. ยง 77
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on October 15, 2020. A more recent docket listing may be available from PACER.

Date Filed Document Text
October 15, 2020 JUDICIAL PROCEEDINGS SURVEY - FOR COUNSEL ONLY: The following link to the confidential survey requires you to log into CM/ECF for SECURITY purposes. Once in CM/ECF you will be prompted for the case number. Although you are receiving this survey through CM/ECF, it is hosted on an independent website called SurveyMonkey. Once in SurveyMonkey, the survey is located in a secure account. The survey is not docketed and it is not sent directly to the judge. To ensure anonymity, completed surveys are held up to 90 days before they are sent to the judge for review. We hope you will take this opportunity to participate, please click on this link: https://ecf.ctd.uscourts.gov/cgi-bin/Dispatch.pl?survey (Barry, Donna)
October 9, 2020 Opinion or Order Filing 12 FINAL JUDGMENT AS TO DEFENDANT DANIEL O'NEAL (see attached). Pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, there being "no just reason for delay," the Clerk is ordered to enter Final Judgment as to Defendant Daniel O'Neal without further notice. Signed by Judge Charles S. Haight, Jr. on October 9, 2020. (Dorais, L.)
October 9, 2020 Opinion or Order Filing 11 FINAL JUDGMENT AS TO DEFENDANT ALLEN GARNER (see attached). Pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, there being "no just reason for delay," the Clerk is ordered to enter Final Judgment as to Defendant Allen Garner without further notice. Signed by Judge Charles S. Haight, Jr. on October 9, 2020. (Dorais, L.)
October 9, 2020 Opinion or Order Filing 10 FINAL JUDGMENT AS TO DEFENDANT JAMES DEPALMA (see attached). Pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, there being "no just reason for delay," the Clerk is ordered to enter Final Judgment as to Defendant James DePalma without further notice. Signed by Judge Charles S. Haight, Jr. on October 9, 2020. (Dorais, L.)
October 9, 2020 Opinion or Order Filing 9 FINAL JUDGMENT AS TO DEFENDANT ROBERT LAPENTA (see attached). Pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, there being "no just reason for delay," the Clerk is ordered to enter Final Judgment as to Defendant Robert LaPenta without further notice. Signed by Judge Charles S. Haight, Jr. on October 9, 2020. (Dorais, L.)
October 9, 2020 Opinion or Order Filing 8 FINAL JUDGMENT AS TO DEFENDANT REVOLUTION LIGHTING TECHNOLOGIES, INC. (see attached). Pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, there being "no just reason for delay," the Clerk is ordered to enter Final Judgment as to Defendant Revolution Lighting Technologies, Inc. without further notice. Signed by Judge Charles S. Haight, Jr. on October 9, 2020. (Dorais, L.)
October 9, 2020 Opinion or Order Filing 7 ELECTRONIC ORDER granting, absent objection, Plaintiff's #5 Assented-To Motion for Approval of Settlements and Entry of Final Judgments. Plaintiff Securities and Exchange Commission (the "Commission") has reported that the "Commission and Defendants have agreed to all terms in the [proposed] respective Final Judgments." Moreover, the Commission presented signed Consents from all Defendants indicating agreement to the terms of their respective Final Judgments. Under these circumstances, the Court approves the settlement of this action under the agreed-upon terms and will contemporaneously enter the proposed Final Judgments on the case docket as final judgments. The parties are reminded that although not re-entered by the Court with the Final Judgments, the "Consent" documents executed by the Defendants and submitted to the Court in Doc. #5 are incorporated in full "with the same force and effect as if fully set forth" in the Final Judgments and each "Defendant shall comply with all of the undertakings and agreements set forth therein." These consents are Doc. #5 -1 ("Consent of Defendant Revolution Lighting Technologies, Inc."), Doc. #5 -3 ("Consent of Defendant Robert LaPenta"), Doc. #5 -5 ("Consent of Defendant James DePalma"), Doc. #5 -7 ("Consent of Defendant Allen Garner"), and Doc. #5 -9 ("Consent of Defendant Daniel O'Neal"). The action is dismissed and the Clerk is directed to close the file. Signed by Judge Charles S. Haight, Jr. on October 9, 2020. (Dorais, L.)
September 24, 2020 Filing 6 NOTICE of Appearance by Andrew M. Calamari on behalf of James DePalma (Calamari, Andrew)
September 24, 2020 Filing 5 Consent MOTION to Approve Consent Judgment as to All Defendants by Securities and Exchange Commission. (Attachments: #1 Exhibit (Consent of Revolution Lighting Technologies, Inc.), #2 Text of Proposed Order (Proposed Final Judgment for Revolution Lighting Technologies, Inc.), #3 Exhibit (Consent of Robert LaPenta), #4 Text of Proposed Order (Proposed Final Judgment for Robert LaPenta), #5 Exhibit (Consent of James DePalma), #6 Text of Proposed Order (Proposed Final Judgment of James DePalma, #7 Exhibit (Consent of Allen Garner), #8 Text of Proposed Order (Proposed Final Judgment for Allen Garner), #9 Exhibit (Consent of Daniel O'Neal), #10 Text of Proposed Order (Proposed Final Judgment for Daniel O'Neal))(Jones, Marc)
September 24, 2020 Filing 4 NOTICE TO COUNSEL/SELF-REPRESENTED PARTIES : Counsel or self-represented parties initiating or removing this action are responsible for serving all parties with attached documents and copies of #3 Electronic Filing Order, #1 Complaint filed by Securities and Exchange Commission, #2 Order on Pretrial Deadlines Signed by Clerk on 09/24/2020.(Nuzzi, Tiffany)
September 24, 2020 Opinion or Order Filing 3 ELECTRONIC FILING ORDER FOR COUNSEL - PLEASE ENSURE COMPLIANCE WITH COURTESY COPY REQUIREMENTS IN THIS ORDER Signed by Judge Charles S. Haight, Jr on 09/24/2020.(Nuzzi, Tiffany)
September 24, 2020 Opinion or Order Filing 2 Order on Pretrial Deadlines: Amended Pleadings due by 11/23/2020 Discovery due by 3/26/2021 Dispositive Motions due by 4/30/2021 Signed by Clerk on 09/24/2020.(Nuzzi, Tiffany)
September 24, 2020 Filing 1 COMPLAINT against JAMES DEPALMA, ALLEN GARNER, ROBERT LAPENTA, DANIEL ONEAL, Revolution Lighting Technologies, Inc., filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet)(Jones, Marc)
September 24, 2020 Judge Charles S. Haight, Jr added. (Oliver, T.)

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Plaintiff: Securities and Exchange Commission
Represented By: Marc Jonathan Jones
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Defendant: Revolution Lighting Technologies, Inc.
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Defendant: Allen Garner
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Defendant: James DePalma
Represented By: Andrew M. Calamari
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Defendant: Robert LaPenta
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Defendant: Daniel O'Neal
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