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Accounting and Auditing Enforcement Releases

The list below provides links to financial reporting related enforcement actions concerning civil lawsuits brought by the Commission in federal court and notices and orders concerning the institution and/or settlement of administrative proceedings. This list only highlights certain actions and is not meant to be a complete and exhaustive compilation of all of the actions that fall into this category.

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Second Quarter | First Quarter

Release No. Date Action
Second Quarter
AAER-3387 May 23, 2012 Frank D. Edwards, CA
Other Release No.: 34-67049
AAER-3386 May 23, 2012 Charles P. Morrison, CPA
Other Release No.: 34-67048
AAER-3385 May 14, 2012 China Natural Gas, Inc. and Qinan Ji
Other Release No.: LR-22368
See also: SEC Complaint
AAER-3384 Apr. 25, 2012 Garth R. Peterson
Other Release No.: LR-22346
See also: SEC Complaint
AAER-3382 Apr. 18, 2012 Don W. Watson, Edward W. O’Brien, and Gary M. Opper
Other Release No.: LR-22338
AAER-3380 Apr. 12, 2012 Jorge L. Castillo, CPA
Other Release No.: 34-66796
First Quarter
AAER-3378 Apr. 6, 2012 Anthony J. Nocella and J. Russell McCann
Other Release No.: LR-22321
See also: SEC Complaint
AAER-3377 Apr. 4, 2012 John M. Williams
Other Release No.: 34-66737
AAER-3376 Apr. 4, 2012 Bryan N. Polozola
Other Release No.: 34-66735
AAER-3375 Apr. 2, 2012 Michael A. Baker and Michael T. Gluk
Other Release No.: LR-22315
AAER-3374 Mar. 26, 2012 Biomet, Inc.
Other Release No.: LR-22306
See also: SEC Complaint
AAER-3373 Mar. 22, 2012 Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton
Other Release No.: LR-22304
AAER-3372 Feb. 22, 2012 Ming Zhao and Liping Zhu
Other Release No.: LR-22264
AAER-3371 Mar. 14, 2012 Mark A. Jackson and James J. Ruehlen; Thomas F. O’Rourke
Other Release No.: LR-22290
AAER-3370 Mar. 13, 2012 Larry Goldstone, Clarence Simmons, and Jane Starrett
Other Release No.: LR-22287
AAER-3369 Mar. 13, 2012 Fernando J. Espuelas et al.
Other Release No.: LR-22285
AAER-3368 Mar. 8, 2012 Koss Corporation and Michael J. Koss
Other Release No.: LR-22279
AAER-3367 Feb. 27, 2012 Robert Chiu, (A/K/A Chi Hung Chiu)
Other Release No.: 34-66479
AAER-3366 Feb. 7, 2012 Shaun P. Whiteley
Other Release No.: 34-66353
AAER-3365 Feb. 7, 2012 Lynne Norman
Other Release No.: 34-66352
AAER-3364 Feb. 7, 2012 Matthew Bell, ACA
Other Release No.: 34-66351
AAER-3363 Feb. 6, 2012 Smith & Nephew PLC
Other Release No.: LR-22252
See also: SEC Complaint
AAER-3362 Feb. 2, 2012 Dale Shafer, CPA
Other Release No.: 34-66312
AAER-3360 Jan. 30, 2012 Robert Chiu (a/k/a Chi Hung Chiu); James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt
Other Release No.: LR-22243
AAER-3359 Jan. 30, 2012 Christopher J. Kelly, ACA and Margaret Hebb, ACA
Other Release No.: 34-66269
AAER-3358 Jan. 30, 2012 Symmetry Medical, Inc. and Fred L. Hite
Other Release No.: 34-66268
AAER-3357 Jan. 26, 2012 Paul Free, CPA (Order Denying a Stay or Postponement of Proceedings)
Other Release No.: 34-66260
AAER-3356 Jan. 25, 2012 Len A Familant and Paul V. Greene
Other Release No.: LR-22237
See also: SEC Complaint
AAER-3355 Jan. 11, 2012 Imperiali, Inc.
Other Release No.: LR-22224
See also: SEC Complaint
AAER-3353 Jan. 10, 2012 Todd Farha, et al.
Other Release No.: LR-22221
See also: SEC Complaint
AAER-3352 Jan. 4, 2012 JBI, Inc., John Bordynuik and Ronald Baldwin, Jr.
Other Release No.: LR-22220
See also: SEC Complaint
AAER-3351 Jan. 4, 2012 Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin
Other Release No.: LR-22219

 

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Modified: 05/23/2012