Accounting and Auditing Enforcement

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.

Accounting and Auditing Enforcement Releases RSS Feed
Date Respondents
Robert J. Schettino
Release No. 34-100419, AAER-4511
See Also: Administrative Summary
CPI Aerostructures, Inc.
Release No. 34-100389, AAER-4510
See Also: Administrative Summary
HF Foods Group Inc.
Release No. 33-11289, 34-100288, AAER-4506
See Also: Administrative Summary
Gregory P. Manning
Release No. 34-100258, AAER-4505
Matthew Gamsey, CPA
Release No. 34-100250, AAER-4504
Tyler Burnett Wilson, Esq.
Release No. 34-100170, AAER-4503
Varun Aggarwal, CPA
Release No. 34-100165, IA-6607, IC-35195, AAER-4502
See Also: Administrative Summary
Nicholas Tornello, CPA
Release No. 34-100101, AAER-4501
BF Borgers CPA PC and Benjamin F. Borgers, CPA
Release No. 33-11283, 34-100053, AAER-4500
Edward F. Hackert, CPA (Order Postponing Proceeding)
Release No. 33-11282, 34-100035, AAER-4499
Mark Korb, CA
Release No. 34-100007, AAER-4498
Gil Friedman
Release No. 34-99930, AAER-4497
Rosenberger et al.
Release No. LR-25972, AAER-4496
Edward F. Hackert (Order Regarding Hearing Date)
Release No. 33-11279, AAER-4495, 34-99835
Evoqua Water Technologies Corp. and Imran Parekh
Release No. LR-25950, AAER-4493
See Also: Final Judgment - Evoqua Water Technologies , Final Judgment - Imran Parekh , Partial Judgment - Imran Parekh
Edward F. Hackert, CPA (Order Granting Motion to Amend the Order Instituting Proceedings)
Release No. 33-11276, 34-99716, AAER-4492
Clark Schaefer Hackett & Co.
Release No. 34-99638, AAER-4491
Lordstown Motors Corp.
Release No. 33-11274, 34-99637, AAER-4490
Wang, Jia Roger Qian, CPA and Wang Certified Public Accountant, P.C.
Release No. 34-99518, AAER-4489
Justin Samuel Cary, CPA
Release No. 34-99492, AAER-4488
Cloopen Group Holding Limited
Release No. 34-99483, AAER-4487
Edward F. Hackert, CPA (Order Regarding Service)
Release No. 33-11268, 34-99461, AAER-4486
Karen Rosenberger and Joanna Lanni
Release No. LR-25934, AAER-4485
See Also: Opinion and Order
Jia Roger Qian Wang and Wang Certified Public Accountant, P.C (Order Extending Briefing Deadlines On Motion for Summary Disposition and Postponing Other Deadlines)
Release No. 34-99448, AAER-4484
Edward F. Hackert, CPA
Release No. 33-11267, 34-99384, AAER-4483
See Also: Administrative Summary
Craig A. Golding, CPA
Release No. 34-99348, AAER-4482
SAP SE
Release No. 34-99308, AAER-4481
Brooge Energy Limited, Nicolaas Lammert Paardenkooper and Lina Saheb
Release No. 33-11260, 34-99228, AAER-4480
Dozy Mmobuosi, et al.
Release No. LR-25915, AAER-4479
See Also: SEC Complaint
Dozy Mmobuosi, et al.
Release No. LR-25913, AAER-4478
See Also: SEC Complaint
Joshua Abrahams, CPA (ORDER MODIFYING POSTPONEMENT ORDER)
Release No. 34-99074, AAER-4477
Daniel L. Rothbaum, CPA
Release No. 33-11255, 34-99033, AAER-4475
SAExploration Holdings, Inc., et al.
Release No. LR-25902, AAER-4474
See Also: SEC Complaint , Amended SEC Complaint , Final Judgment - Brian A. Beatty , Final Judgment - SAExploration Holdings, Inc.
Royal Bank of Canada
Release No. 34-98849, AAER-4473
Marco A. Perez, aka Marc Perez
Release No. 34-98788, AAER-4472
Luther C. Speight, III, CPA and Luther Speight & Company, LLC
Release No. 34-98779, AAER-4471
Jonathan J. Ferrie
Release No. 34-98667, AAER-4470
Newell Brands Inc. and Michael B. Polk
Release No. 33-11251, 34-98629, AAER-4469
Albemarle Corporation
Release No. 34-98622, AAER-4468
Forepont Capital LLC
Release No. IA-6438, AAER-4464
See Also: Administrative Summary
Exelon Corporation and Commonwealth Edison Company
Release No. 33-11248, 34-98616, AAER-4467
TAL Education Group
Release No. 34-98611, AAER-4465
Clear Channel Outdoor Holdings, Inc.
Release No. 34-98615, AAER-4466
Robert Del Prete
Release No. 34-98595, AAER-4463
Stanley Stefanski, CPA
Release No. 33-11245, 34-98577, AAER-4462
Michael D. Messina, CPA
Release No. 34-98499, AAER-4461
See Also: Administrative Summary
David C. Powell
Release No. 34-98492, AAER-4460
See Also: Administrative Summary
GTT Communications, Inc.
Release No. 33-11241, 34-98491, AAER-4459
Alfonse Gregory Giugliano, CPA
Release No. 34-98352, AAER-4458
Michelle L. Helterbran Cochran, CPA (ORDER DENYING MOTION FOR RECONSIDERATION)
Release No. 34-98329, AAER-4457
Mark Wogsland
Release No. 34-98307, AAER-4456
Bret Naggs
Release No. 34-98306, AAER-4455
Wang, Jia Roger QianWang Certified Public Accountant, P.C (AMENDED SCHEDULING ORDER)
Release No. 34-98275, AAER-4454
SQN Capital Management, LLC and Jeremiah Silkowski
Release No. 34-98272, IA-6393, AAER-4453
See Also: Administrative Summary
Plug Power Inc.
Release No. 34-98243, AAER-4452
See Also: Administrative Summary
Peter Armbruster, CPA
Release No. 34-98229, AAER-4451
3M Company
Release No. 34-98222, AAER-4450
Mac Wayne Billings, CPA
Release No. 34-98218, AAER-4449
Vivic Corp.
Release No. 34-98194, AAER-4448
See Also: Administrative Summary
ReShape Lifesciences Inc.
Release No. 34-98193, AAER-4447
See Also: Administrative Summary
Omnia Wellness Inc.
Release No. 34-98192, AAER-4446
See Also: Administrative Summary
Alpine 4 Holdings, Inc.
Release No. 34-98190, AAER-4444
See Also: Administrative Summary
Black Spade Acquisition Co
Release No. 34-98188, AAER-4443
See Also: Administrative Summary
David D. Brooks, CPA
Release No. 34-98191, AAER-4445
Michael J. Senken
Release No. 34-98186, AAER-4442
Malvern Bancorp, Inc. and Joseph D. Gangemi
Release No. 33-11223, 34-98132, AAER-4441
See Also: Administrative Summary
Ault Alliance, et al.
Release No. 33-11222, 34-98131, AAER-4440
See Also: Administrative Summary
Joshua Abrahams, CPA (ORDER POSTPONING PROCEEDING)
Release No. 34-98122, AAER-4439
Crowe U.K. LLP, Nigel D. Bostock, FCA, Matthew C. Stallabrass, FCA
Release No. 34-98118, AAER-4438
Grupo Aval Acciones y Valores S.A. and Corporación Financiera Colombiana S.A.
Release No. 34-98103, AAER-4437
Alan J. Markowitz, CPA (ORDER POSTPONING PROCEEDING)
Release No. 34-98069, AAER-4436
Lawrence K. White, CPA
Release No. 33-11219, 34-98065, AAER-4435
See Also: Administrative Summary
David Lethem
Release No. 34-98039, AAER-4434
John R. Browne, CPA
Release No. 34-98030, AAER-4433
See Also: Administrative Summary
Michelle L. Helterbran Cochran, CPA (ORDER REQUESTING RESPONSE TO MOTION FOR RECONSIDERATION)
Release No. 34-97941, AAER-4432
Kevin R. Harris, CPA
Release No. 33-11212, AAER-4431, 34-97940
Jia Roger Qian Wang, CPA and Wang Certified Public Accountant, P.C. (ORDER)
Release No. 34-97920, AAER-4430
Reed L. Benson, CPA
Release No. 34-97835, AAER-4427
See Also: Administrative Summary
Dwight H. Egan
Release No. 33-11210, 34-97837, AAER-4429
See Also: Administrative Summary
Co-Diagnostics, Inc.
Release No. 33-11209, 34-97836, AAER-4428
See Also: Administrative Summary
Future FinTech Group Inc.,
Release No. 33-11206, 34-97829, AAER-4425
See Also: Administrative Summary
Vidul Prakash
Release No. LR-25766, AAER-4426
See Also: SEC Complaint
Alan J. Markowitz, CPA (SCHEDULING ORDER)
Release No. 34-97795, AAER-4424
Marcum LLP
Release No. 34-97773, AAER-4423
Stanley Black & Decker, Inc.
Release No. 34-97761, AAER-4422
Jeffery D. Ansell
Release No. 34-97760, AAER-4421
Brian C. Jensen, CPA
Release No. 34-97757, AAER-4420
David Dickson and Stuart Andrew Spence
Release No. 34-97740, AAER-4419
See Also: Administrative Summary
Boyle CPA, LLC; Robert Allan Boyle, CPA
Release No. 34-97685, AAER-4418
See Also: Administrative Summary
Cantaloupe, Inc. (f/k/a USA Technologies, Inc.)
Release No. 33-11202, 34-97651, AAER-4417
See Also: Administrative Summary
Maeve M. Duska
Release No. 33-11201, 34-97650, AAER-4416
Michael K. Lawlor
Release No. 33-11200, 34-97649, AAER-4415
Pending Administrative Proceedings (Order Vacating Certain Associational Bars)
Release No. 33-11199, 34-97641, IA-6324, IC-34934, AAER-4414
Pending Administrative Proceedings (Order Dismissing Proceedings)
Release No. 33-11198, 34-97640, IA-6323, IC-34933, AAER-4413
Carl S. Schwartz, CPA
Release No. IA-6320, AAER-4412
Gartner, Inc.
Release No. 34-97609, AAER-4411
See Also: Administrative Summary
Jia Roger Qian Wang, CPA and Wang Certified Public Accountant, P.C. (ORDER)
Release No. 34-97590, AAER-4410
Ramón Lafarga Bátiz (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97512, AAER-4409
Noe Corrales Reyes (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97510, AAER-4408
Carlos Javier Moctezuma Velasco (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97509, AAER-4407
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