Accounting and Auditing Enforcement

Accounting and Auditing Enforcement Releases RSS Feed


Date Sort ascending	Respondents
Dec. 29, 2016	General Cable Corporation Release No. 34-79702, AAER-3840
Dec. 27, 2016	Philip Greifeld Release No. 34-79691, AAER-3838
Dec. 27, 2016	David A. Loppert Release No. 34-79698, AAER-3839
Dec. 22, 2016	Badree Komandur, et al. Release No. 34-79669, AAER-3837 See Also: Administrative Summary
Dec. 22, 2016	Badree Komandur, et al. Release No. 34-79668, AAER-3836 See Also: Administrative Summary
Dec. 21, 2016	Jack Henry & Associates, Inc. Release No. 34-79650, AAER-3835 See Also: Administrative Summary
Dec. 6, 2016	KPMG LLP Release No. 34-79483, AAER-3834 See Also: Administrative Summary
Dec. 2, 2016	United Continental Holdings, Inc. Release No. 34-79454, AAER-3833
Nov. 23, 2016	Stephen Hozie Release No. 34-79397, AAER-3832
Nov. 23, 2016	Michael K. Krohn, CPA Release No. 34-79394, AAER-3829
Nov. 23, 2016	Rosenberg Rich Baker Berman & Company and Brian Zucker, CPA Release No. 34-79396, AAER-3831
Nov. 23, 2016	KMJ Corbin & Company, LLP, Kendall G. Merkley, CPA, and Anthony J. Price, CPA Release No. 34-79393, AAER-3828
Nov. 23, 2016	Mark David Shapiro, CPA Release No. 34-79395, AAER-3830
Nov. 21, 2016	Grassi & Co., CPAs and P.C. Release No. 34-79368, IA-4572, AAER-3826 See Also: Administrative Summary
Nov. 21, 2016	PMB Helin Donovan, LLP, Christopher Bauer, CPA and Jeffrey Jamieson, CPA Release No. 34-79364, AAER-3825
Nov. 21, 2016	Gary R. Purwin, CPA Release No. 34-79369, IA-4573, AAER-3827
Nov. 17, 2016	JP Morgan Chase & Co. Release No. 34-79335, AAER-3824
Nov. 15, 2016	Christopher Egan Release No. 33-10256, AAER-3823 See Also: Administrative Summary
Nov. 7, 2016	Powersecure International, Inc. Release No. 34-79256, AAER-3822
Oct. 31, 2016	Beamish, Adrian D., CPA Release No. 34-79193, AAER-3820
Oct. 31, 2016	Domenick F. Consolo, CPA and PKF O'Connor Davies, LLP Release No. 33-10242, 34-79196, AAER-3821
Oct. 27, 2016	BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan Kelly A., CPA Bedwell, Robert P., CPA Release No. 34-79176, AAER-3819
Oct. 24, 2016	David S. Hall, P.C. d/b/a the Hall Group CPAs, et al. Release No. 34-79147, AAER-3818
Oct. 21, 2016	Julianne M. Chandler Release No. 34-79137, AAER-3817
Oct. 20, 2016	FMC Technologies, Inc., Jeffrey Favret, CPA and Steven K. Croft, CPA Release No. 34-79127, AAER-3816
Oct. 19, 2016	Aronson, David A., CPA Release No. 34-79120, AAER-3815
Oct. 18, 2016	Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Release No. 34-79109, AAER-3814
Sept. 30, 2016	Steven M. Brazile, CPA Release No. 34-79021, AAER-3813 See Also: Administrative Summary
Sept. 30, 2016	GlaxoSmithKline plc Release No. 34-79005, AAER-3810 See Also: Administrative Summary
Sept. 30, 2016	Steven M. Brazile, CPA Release No. 34-79020, IA-4544, AAER-3812 See Also: Administrative Summary
Sept. 30, 2016	D'Arelli Pruzansky, et al. Release No. 34-79004, AAER-3809
Sept. 30, 2016	Alan Ritter, CPA Release No. 34-79019, AAER-3811 See Also: Administrative Summary
Sept. 28, 2016	Anheuser-Busch InBev SA/NV Release No. 34-78957, AAER-3808
Sept. 27, 2016	Weatherford International PLC, et al. Release No. 33-10221, 34-78944, AAER-3806
Sept. 27, 2016	Orrstown Financial Services, Inc., et al. Release No. 33-10222, 34-78947, AAER-3807 See Also: Administrative Summary
Sept. 21, 2016	Robert A. Waegelein, CPA Release No. 34-78897, AAER-3805 See Also: Administrative Summary
Sept. 21, 2016	Park National Corporation Release No. 34-78896, AAER-3804 See Also: Administrative Summary
Sept. 19, 2016	Ernst & Young LLP and Gregory S. Bednar, CPA Release No. 34-78872, AAER-3802
Sept. 19, 2016	Ernst & Young LLP, et al. Release No. 34-78873, AAER-3803
Sept. 16, 2016	Dittman, Scott M., CPA Release No. 33-10211, 34-78864, AAER-3801
Sept. 13, 2016	Jun Ping Zhang Release No. 34-78825, AAER-3800 See Also: Administrative Summary
Sept. 13, 2016	Portugal Telecom, et al. Release No. 34-78824, AAER-3799
Aug. 30, 2016	AstraZeneca PLC Release No. 34-78730, AAER-3798 See Also: Administrative Summary
Aug. 29, 2016	Thomas Dulek, CPA Release No. 34-78711, AAER-3797 See Also: Administrative Summary
Aug. 24, 2016	Lynn Tilton, et al. (Order Denying Petition for Interlocutory Review and Petition to Apply the Commission's Amended Rules of Practice) Release No. IA-4495, IC-32236, AAER-3796
Aug. 17, 2016	Maiher, Jason Release No. 34-78607, AAER-3795 See Also: Administrative Summary
Aug. 11, 2016	Key Energy Services, Inc. Release No. 34-78558, AAER-3794 See Also: Administrative Summary
July 26, 2016	Yi Chen, CPA Release No. 34-78413, AAER-3793 See Also: Administrative Summary
July 25, 2016	LAN Airlines S.A. Release No. 34-78402, AAER-3792
July 22, 2016	James M. Schneider, CPA Release No. 34-78395, AAER-3791
July 22, 2016	EFP Rotenberg, LLP and Nicholas Bottini, CPA Release No. 34-78393, AAER-3790
July 15, 2016	The Phoenix Companies, Inc. Release No. 34-78341, AAER-3789 See Also: Administrative Summary
July 11, 2016	Blair D. Ackman, CPA Release No. 34-78273, IA-4447, AAER-3788
July 8, 2016	Toni Tong Chen, CPA Release No. 34-78270, AAER-3787
June 28, 2016	David Rivard Release No. LR-23585, AAER-3786
June 23, 2016	Quintanilla, Timothy, CPA Release No. 34-78145, AAER-3785
June 21, 2016	Analogic Corporation and Lars Frost Release No. 34-78113, AAER-3784
June 10, 2016	ICON Capital LLC f/k/a ICON Capital Corporation Release No. 34-78030, AAER-3783 See Also: Administrative Summary
June 8, 2016	IEC Electronics Corp., Ronald J. Years, CPA and Donald S. Doody Release No. 34-78017, AAER-3782
June 7, 2016	Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 33-10090, 34-78008, AAER-3779
June 7, 2016	Frazer Frost LLP Woo, Susan, CPA Suen, Miranda, CPA Release No. 33-10092, 34-78010, AAER-3781
June 7, 2016	Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 33-10089, 34-78007, AAER-3778
June 7, 2016	Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 33-10091, 34-78009, AAER-3780
June 6, 2016	Silberstein Ungar PLLC, et al. Release No. 34-77997, AAER-3777 See Also: Administrative Summary
June 1, 2016	Jane E. Starrett, CPA Release No. 33-10085, 34-77967, AAER-3776
May 24, 2016	Swisher Hygiene Inc. Release No. 33-10081, 34-77887, AAER-3775
May 20, 2016	Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-77882, AAER-3774
May 2, 2016	MaloneBailey, LLP and Jay Phillip Norris, CPA Release No. 34-77755, AAER-3773 See Also: Administrative Summary
April 29, 2016	Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA Release No. 34-77745, IA-4380, AAER-3772
April 26, 2016	Hall, David S., P.C. d/b/a the Hall Group CPAs Hall, David S., CPA Cochran, Michelle L. Helterbran, CPA Cisneros, Susan A. Release No. 34-77718, AAER-3771
April 26, 2016	Cabela's Incorporated and Ralph W. Castner, CPA Release No. 34-77717, AAER-3770 See Also: Administrative Summary
April 21, 2016	Timothy Quintanilla, CPA (Order Denying Motion to Lift Temporary Suspension and Directing That a Hearing Be Held) Release No. 34-77683, AAER-3769
April 20, 2016	Laura P. Messenbaugh, CPA Release No. 34-77657, AAER-3768
April 19, 2016	Ener1, Inc., et al. Release No. 33-10068, 34-77645, AAER-3766
April 19, 2016	Robert D. Hesselgesser, CPA Release No. 34-77646, AAER-3767
April 19, 2016	Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA Release No. 34-77644, AAER-3765
April 12, 2016	INTL FCStone Inc. Release No. 34-77596, AAER-3764
April 6, 2016	Thakkar CPA, PLLC, et al. Release No. 34-77542, AAER-3763
April 5, 2016	James A. White Release No. 34-77532, AAER-3762
March 30, 2016	Burrill Capital Management, et al. Release No. 34-77473, AAER-3761, IA-4360, IC-32060
March 25, 2016	Berman, Elliot R., CPA Berman & Company, P.A. Release No. 34-77447, AAER-3760 See Also: Administrative Summary
March 23, 2016	Novartis AG Release No. 34-77431, AAER-3759 See Also: Administrative Summary
March 15, 2016	ModusLink Global Solutions, et al. Release No. 33-10055, 34-77372, AAER-3758 See Also: Administrative Summary
March 10, 2016	Ronald D. Ormand Release No. 34-77346, AAER-3757
March 10, 2016	Wayne Gray, CPA Release No. 34-77343, AAER-3754
March 10, 2016	Magnum Hunter Resources Corporation Release No. 34-77345, AAER-3756
March 10, 2016	Joseph R. Allred, CPA Release No. 34-77342, AAER-3753
March 10, 2016	David S. Krueger, CPA Release No. 34-77344, AAER-3755
March 9, 2016	Westlands Water District, Thomas W. Birmingham and Louie David Ciapponi Release No. 33-10053, AAER-3752
March 1, 2016	Qualcomm Incorporated Release No. 34-77261, AAER-3751
Feb. 29, 2016	Keybanc Capital Markets Inc. Release No. 34-77254, AAER-3750
Feb. 25, 2016	Quintanilla, Timothy, CPA Release No. 34-77231, AAER-3748
Feb. 24, 2016	David S. Lee, Esq., CPA Release No. 34-77224, IA-4344, AAER-3747
Feb. 23, 2016	Maiher, Jason Release No. 34-77207, AAER-3746
Feb. 17, 2016	Julieta Favela Barcenas Release No. 34-77162, AAER-3745
Feb. 17, 2016	Donald J. Glidewell, CPA Release No. 34-77161, AAER-3744
Feb. 16, 2016	PTC Inc. Release No. 34-77145, AAER-3743 See Also: Deferred Prosecution Agreement for Yu Kai Yuan
Feb. 11, 2016	Frazer Frost LLP Woo, Susan, CPA Suen, Miranda, CPA Release No. 33-10039, 34-77114, AAER-3742 See Also: Administrative Summary
Feb. 9, 2016	Monsanto Company, et al. Release No. 33-10037, 34-77087, AAER-3741
Feb. 5, 2016	BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan Kelly A., CPA Bedwell, Robert P., CPA Release No. 33-10036, 34-77073, AAER-3740

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