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Revolution Lighting Technologies Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Revolution Lighting Technologies (NASDAQ:RVLT) in connection to alleged violations of securities laws by RVLT. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Revolution Lighting Technologies from March 14, 2014, and November 14.

The class action complaint specifically alleges that during the period in question, RVLT provided false and/or misleading material information and/or failed to disclose adverse material information to the public in connection with its initial public offering, chiefly: that the company was not properly recognizing revenue in connection to certain of its transactions; and that consequently the company’s financial statements contained inaccurate information; that the company did not have proper internal controls governing its financial reporting practices; that this stood to expose the company to scrutiny from regulatory authorities which could lead to significant expenses; and that consequently the company’s statements to the public during the relevant period were misleading. The complaint notes that the company disclosed on October 17, 2018 that its Q3 2018 revenue would be less than its previous guidance had indicated, and that its CEO, Robert LaPenta, was willing to acquire all RVLT common stock for $2.00/share. Following this announcement, RVLT declined in value more than 38%, or $0.98/share, closing at $1.58/share on that day and causing investors to suffer losses. Two days later, on October 19, 2018, Revolution Lightning announced the existence of an SEC probe into its revenue recognition for transactions that took place from 2014 through Q2 2018, after which RVLT declined in value by more than 10%, or $0.16/share, closing at $1.43/share on October 22, 2018, causing additional harm to investors. When the company disclosed, on November 14th, 2018, that its CEO had offered to acquire all remaining outstanding RVLT common stock at a price of $1.50/share, partially in connection with the SEC probe, RVLT declined in value by almost 40%, or $0.55/share, closing at $0.85/share on November 15, 2018.

According to the company’s website, Revolution Lighting Technologies “is a leader in the design, manufacture, marketing, and sale of LED lighting solutions focusing on the industrial, commercial and government markets in the United States, Canada, and internationally.” The company offers a “comprehensive advanced product platform” using what it describes as “advanced” technologies, and is involved in the design, engineering and manufacturing of interior and exterior lighting products. It trades on the Nasdaq exchange under the symbol RVLT.

Lexicon Pharmaceuticals Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Lexicon Pharmaceuticals (NASDAQ:LXRX) in connection to alleged violations of securities laws by LXRX. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Lexicon Pharmaceuticals from March 11, 2016 until January 17, 2019.

The class action complaint specifically alleges that during the period in question, LXRX provided false and/or misleading material information and/or failed to disclose adverse material information to the public in connection with its initial public offering, chiefly: that in connection with the company’s Phase III clinical trials for the product Sotagliflozin, which it was developing in collaboration with the pharmaceutical company Sanofi, data generated regarding the product’s safety and efficacy were less positive than the company had indicated; that in fact the product posed risks to consumer health substantial enough to jeopardize its chances of receiving approval by the FDA; and that consequently the company’s statements to the public during the relevant period were false and misleading. When the company disclosed on January 17, 2019 that an FDA advisory committee “voted eight to eight on the question of whether the overall benefits of [Lexicon’s product] Zynquista (sotagliflozin) outweighed the risks to support approval,” its stock price declined in value by 22.6%, or $1.74/share, and closed at $5.96/share on the following day.

According to the company’s website, Lexicon Pharmaceuticals is “a fully integrated biopharmaceutical company that is applying a unique approach to gene science based on Nobel Prize-winning technology to discover and develop precise medicines for people with serious, chronic conditions.” It operated a program called the Genome5000 Program, according to its description, in which the company’s scientists studied “nearly 5,000 genes” to identify targets for drug development. Its describes its passion as “to bring medicines to the market that have the potential to improve the standard of care for diseases that have not experienced new treatment innovation in years,” rather than focusing on any single disease or class of patient. The company trades on the Nasdaq exchange under the symbol LXRX.

Tyme TechnologiesPublicly available records indicate that a class action lawsuit has been filed on behalf of investors in Tyme Technologies (NASDAQ:TYME) in connection to alleged violations of securities laws by TYME. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Tyme Technologies between March 14, 2018 and January 18, 2019.

The class action complaint specifically alleges that during the period in question, TYME provided false and/or misleading material information and/or failed to disclose adverse material information to the public in connection with its initial public offering, chiefly: that the company’s Phase II study regarding its SM-88 product candidate had been improperly designed in such a manner that it would not yield dependable results concerning that treatment’s efficacy in treating pancreatic cancer; that the company had failed in that trial to involve an appropriate control group; that this failure had adverse effects on the reliability of the data yielded by that study; and that consequently the company’s statements to the public during the relevant period were false and misleading. The complaint alleges that when the company reported that study’s results on January 18, 2019, and noted that the trial did not involve a control group and instead compared the results to historical controls, the study’s failure to include a control group was pointed out by analysts and the company’s stock price declined 35.39% or $1.32/share, closing at $2.41/share on that day. The complaint alleges that when true facts emerged, investors suffered losses.

According to the company’s website, Tyme Technologies “a clinical-stage biotechnology company developing cancer therapeutics that are intended to be broadly effective across a range of tumor types, while maintaining patient’s quality of life with relatively low toxicity profiles.” According to its description, its approach differs from other companies whose products seek to “regulate specific pathways within cancer,” instead attempting to exploit “a cancer cell’s innate metabolic requirements to compromise its defenses.” The company collaborates with medical research bodies like Mount Sinai and the mayo Clinic, it notes, and its chief clinical program at the moment is SM-88, “an oral amino acid-based therapy” which is in Phase II development for the treatment of prostrate and pancreatic cancers, according to the description. The company trades on the Nasdaq exchange under the symbol TYME.

Robert HarrisPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that former Arizona-based First Financial Equity Corporation broker/adviser Robert Harris has received a pending customer complaint and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Harris (CRD# 5232698).

Robert Harris has spent 11 years in the securities industry and was most recently registered with First Financial Equity Corporation in Tucson, Arizona (2015-2018). Previous registrations include H. Beck in Tucson, Arizona (2009-2015); Merrill Lynch in Tucson, Arizona (2007-2009); and AXA Advisors in Tucson, Arizona (2007). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 30, 2007; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 1, 2007. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and four unsatisfied tax liens.

Donald LoganPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that former Washington-based Waddell & Reed broker Donald Logan, who has received a customer dispute, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Logan (CRD# 5537486).

Donald Logan has spent nine years in the securities industry and was most recently registered with Waddell & Reed in Silverdale, Washington (2015-2018). He was previously registered with Edward Jones in Silverdale, Washington (2008-2015). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 14, 2008; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on August 5, 2008. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint, was discharged from two former employers in connection to alleged rule violations, and was recently named in a FINRA investigation into alleged rule violations.

Ken NooshiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that California-based NYLife Securities broker Ken Nooshi has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Nooshi (CRD# 2539099).

Ken Nooshi has spent 23 years in the securities industry and has been registered with NYLife Securities in Woodland Hills, California since 1995. He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 18, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 14, 1995. He is a registered broker with four US states: California, New Jersey, Oregon, and Virginia.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.

Kevin OgdenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that Illinois-based Voya Financial Advisors broker Kevin Ogden has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ogden (CRD# 1051356).

Kevin Ogden has spent 35 years in the securities industry and has been registered with Voya Financial Advisors in Springfield, Illinois since 2004. Previous registrations include Locust Street Securities in Des Moines, Iowa (1988-2004) and WS Griffith & Company (1983-1988). He has passed six industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 17, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 30, 2002; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 22, 1995; Series 22 (Direct Participation Programs Representative Examination), which he obtained on June 16, 1983; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on December 19, 2000. He is a registered broker with 17 US states and territories: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Florida, Illinois, Indiana, Iowa, Kentucky, Michigan, Missouri, New Mexico, South Carolina, Texas, and Wisconsin.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

Thomas SharpPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that California-based Ameriprise Financial Services broker/adviser Thomas Sharp has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sharp (CRD# 1623353).

Thomas Sharp has spent 30 years in the securities industry and has been registered with Ameriprise Financial Services in Gold River, California since 2015. Previous registrations include Ameriprise Financial Services in Folsom, California (1987-2013) and IDS Life Insurance Company in Minneapolis, Minnesota (2001, 2003-2006). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 17, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 4, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 21, 1987. He is a registered broker and investment adviser with four US states: Arizona, California, Texas, and Washington. He is registered with one self-regulatory organization: FINRA.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.

Edward Conrekas Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that former California-based JW Cole Financial broker/adviser Edward Conrekas was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Conrekas (CRD# 2962132).

Edward Conrekas has spent 20 years in the securities industry and was most recently registered with JW Cole Financial in Eastvale, California (2018). Previous registrations include Morgan Stanley in Pasadena, California (2009-2017); Citigroup Global Markets in Whittier, California (2005-2009); and Morgan Stanley DW in Purchase, New York (1997-2005). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 21, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on November 13, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and was discharged from his former employer in connection to alleged rule violations.

John ColumbiaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that New York-based Alexander Capital broker/adviser John Columbia has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Columbia (CRD# 2194537).

John Columbia has spent 25 years in the securities industry and has been registered with Alexander Capital in New York, New York since 2015. Previous registrations include Legend Securities in Freehold, New Jersey (2009-2015); JP Turner & Company in Staten Island, New York (2006-2009); JP Turner & Company in Atlanta, Georgia (1997-2005); Argent Securities in Atlanta, Georgia (1996-1997); Commonwealth Associates in New York, New York (1995-1996); First Hanover Securities in Staten Island, New York (1994-1995); Hibbard Brown & Company in New York, New York (1992-1994); and FN Wolf & Company (1992). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 23, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 13, 1999; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on December 4, 1998; Series 4 (Registered Options Principal Examination), which he obtained on March 18, 2006; and Series 24 (General Securities Principal Examination), which he obtained on June 22, 1998. He is a registered broker and investment adviser with 34 US states and territories.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and three regulatory sanctions.