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
Paul A. Margis
Release No. 34-84849, AAER-4003
Santander Consumer USA Holdings Inc.
Release No. 34-84829, AAER-4002
See Also: Administrative Summary
Eastgate Biotech Corporation
Release No. 34-84783, AAER-3999
Lotus Bio-Technology Development Corporation
Release No. 34-84785, AAER-4001
Auscrete Corporation
Release No. 34-84782, AAER-3998
Frontier Oilfield Services, Inc.
Release No. 34-84784, AAER-4000
The Hain Celestial Group, Inc.
Release No. 34-84781, AAER-3997
Agria Corporation
Release No. 34-84763, AAER-3996
KCAP Financial, Inc.
Release No. 34-84718, IC-33314, AAER-3995
See Also: Administrative Summary
Vantage Drilling International
Release No. 34-84617, AAER-3994
See Also: Administrative Summary
Pyxus International, Inc.
Release No. 34-84562, AAER-3993
See Also: Administrative Summary
Richard J. Bertuglia, CPA, John W. Green, CPA and Lev Nagdimov, CPA
Release No. 34-84419, AAER-3992
See Also: Administrative Summary
Mota Group, Inc. and Mota "Michael" Faro
Release No. 33-10564, AAER-3991
See Also: Administrative Summary
Stryker Corporation
Release No. 34-84308, AAER-3990
Petróleo Brasilerio and S.A. - Petrobras
Release No. 33-10561, 34-84205, AAER-3989
Dhru Desai
Release No. 34-84291, AAER-3988
Lichter, Yu and Associates, Inc., et al.
Release No. 34-84281, AAER-3987
James Douglas Miller
Release No. LR-24282, AAER-3986
See Also: SEC Complaint
Dennis W. Hamilton, CPA
Release No. 34-84252, AAER-3979
Cardiff Lexington Corporation (f/k/a Cardiff International, Inc.)
Release No. 34-84258, AAER-3981
Primoris Services Corporation
Release No. 34-84251, AAER-3978
See Also: Administrative Summary
Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr
Release No. 33-10558, AAER-3980
See Also: Administrative Summary
Cool Technologies, Inc.
Release No. 34-84260, AAER-3982
First Hartford Corporation
Release No. 34-84262, AAER-3984
Dasan Zhone Solutions, Inc.
Release No. 34-84261, AAER-3983
Infrax Systems, Inc.
Release No. 34-84263, AAER-3985
Barrett Business Services, Inc. and Mark Cannon, CPA
Release No. 33-10557, 34-84233, AAER-3977
Nasir Shakouri
Release No. 34-84205, AAER-3974
Bruton, Karen, CPA
Release No. 34-84198, AAER-3973
Robert Torino
Release No. 34-84206, AAER-3975
Bronson L. Quon, CPA
Release No. 34-84207, AAER-3976
Wolf, Jennifer F., CPA
Release No. 34-84131, AAER-3972
Holthouse Carlin & Van Trigt LLP
Release No. 34-84118, IA-5008, AAER-3970
See Also: Administrative Summary
Adam C. Wasserman
Release No. LR-24265, AAER-3971
See Also: SEC Complaint
Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
Release No. 34-84055, AAER-3969
Joohyun Bahn and a/k/a Dennis Bahn
Release No. 34-84054, AAER-3968
Michael J. Kipp
Release No. 34-84022, AAER-3965
John Pierrard
Release No. 34-84024, AAER-3967
Sanofi
Release No. 34-84017, AAER-3964
Joanne K. Viard, CPA
Release No. 34-84023, AAER-3966
Philip R. Jacoby, Jr.
Release No. 34-84010, AAER-3963
David Michael Naylor, CPA
Release No. 34-83993, AAER-3962
Legg Mason, Inc.
Release No. 34-83948, AAER-3961
Joseph Jennings, CPA
Release No. 34-83889, AAER-3960
See Also: Administrative Summary
Daniel H. Glick, CPA
Release No. 34-83883, AAER-3959
Citigroup Inc.
Release No. 34-83858, AAER-3958
Lauren Zarsky, CPA
Release No. 34-83854, AAER-3957
Kevin M. Modany, CPA
Release No. 34-83805, AAER-3954
Ernst & Young LLP, et al.
Release No. 34-83807, AAER-3956
Daniel M. Fitzpatrick, CPA
Release No. 34-83806, AAER-3955
Kurt J. Bordian, CPA
Release No. 34-83772, AAER-3953
Jay C. Lake, CPA
Release No. 33-10519, 34-83655, AAER-3952
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No. 34-83622, AAER-3951
Patrick J. Gray
Release No. 34-83620, AAER-3950
Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA
Release No. 33-10517, 34-83612, AAER-3949
See Also: Administrative Summary
Credit Suisse Group AG
Release No. 34-83593, AAER-3948
Axesstel, Inc., et al.
Release No. LR-24181, AAER-3945
See Also: SEC Complaint
KBR, Inc.
Release No. 33-10516, 34-83578, AAER-3946
Beam Inc., n/k/a Beam Suntory Inc.
Release No. 34-83575, AAER-3944
See Also: Administrative Summary
The Dow Chemical Company
Release No. 34-83581, AAER-3947
See Also: Administrative Summary
RSM US LLP
Release No. 34-83428, AAER-3943
See Also: Administrative Summary
Michael J. Mona, Jr.
Release No. 34-83391, AAER-3942
Philip A. Pendergraft, et al.
Release No. 34-83169, AAER-3940 , AAER-3940
Winter, Kloman, Moter & Repp, S.C., et al.
Release No. 34-83168, IA-4906, AAER-3939
David T. Leboe, CPA
Release No. 34-83170, AAER-3941
Panasonic Corporation
Release No. 34-83128, AAER-3938
Altaba Inc. and f/d/b/a Yahoo! Inc.
Release No. 33-10485, 34-83096, AAER-3937
The Dun & Bradstreet Corporation
Release No. 34-83088, AAER-3936
See Also: Administrative Summary
Medifirst Solutions, Inc. and Bruce J. Schoengood
Release No. 34-83067, AAER-3935
See Also: Administrative Summary
Li, Company, PC and Tony Zhicong Li, CPA
Release No. 33-10482, 34-83036, AAER-3934
Philip John James, CA and Kevin Silverwood, CA
Release No. 33-10478, 34-83017, AAER-3933
Maxwell Technologies, Inc., et al.
Release No. 33-10472, 34-82950, AAER-3932
Akorn, Inc., Timothy Dick, and David Hebeda
Release No. LR-24082, AAER-3931
See Also: SEC Complaint
Kinross Gold Corporation
Release No. 34-82946, AAER-3930
Deloitte & Touche Chartered Accountants
Release No. 34-82861, AAER-3928
KPMG Inc.
Release No. 34-82860, AAER-3927
KPMG
Release No. 34-82862, AAER-3929
BDO Canada LLP (f/k/a BDO Dunwoody LLP)
Release No. 34-82859, AAER-3926
Elbit Imaging Ltd.
Release No. 34-82849, AAER-3925
See Also: Administrative Summary
Alan Weinberg, CPA and Weinberg & Baer LLC
Release No. 34-82744, AAER-3924
Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al.
Release No. LR-24051, AAER-3923
See Also: Sharone Perlstein et al. , Jonathan Strum , Baer LLC
Simcha Baer, CPA
Release No. 34-82736, AAER-3922
Brian S. Block, et al.
Release No. LR-24046, AAER-3921
Brian S. Block, CPA
Release No. 34-82710, AAER-3920
Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA
Release No. 34-82556, AAER-3918
Sweet, Brian, CPA
Release No. 34-82557, AAER-3919
Justin Samuel Cary, CPA
Release No. 34-82554, AAER-3917
Peter R. Culpepper, CPA
Release No. 34-82293, AAER-3916
Gregory Davis, CPA
Release No. 34-82215, AAER-3914
Robert W. Davis (CPA)
Release No. 34-82220, AAER-3915
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No. 34-82206, AAER-3911
Rahuldev Gandhi, CPA
Release No. 34-82208, AAER-3913
Richard J. Koch, CPA
Release No. 34-82207, AAER-3912
Thaddeus Bereday
Release No. 33-10441, 34-82179, AAER-3910
Jon L. Frank
Release No. 34-82154, AAER-3909
Jay Mac Rust and Christopher K. Brenner
Release No. LR-23996, AAER-3908
Michael C. Sabatino, CPA
Release No. 34-82110, AAER-3907
Paul Behrens, CPA
Release No. 33-10437, 34-82073, AAER-3906
Osiris Therapeutics, Inc., et al.
Release No. LR-23978, AAER-3905
Harold J. Swart, Jr.
Release No. 34-81954, AAER-3903
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