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 Sort ascending	Respondents
Aug. 8, 2012	Pfizer Inc. / Wyeth LLC Release No. LR-22438, AAER-3399
Aug. 2, 2012	Mark Leslie et al. Release No. LR-22432, AAER-3397
Aug. 2, 2012	Kenneth E. Lonchar, CPA Release No. 34-67590, AAER-3398
July 30, 2012	John S. Morgan, et al. Release No. 34-67542, AAER-3395
July 19, 2012	Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA Release No. 34-67472, AAER-3394
July 12, 2012	Stanley Ng, CPA Release No. 34-67423, AAER-3393
July 3, 2012	Gold Standard Mining Corp. Release No. LR-22408, AAER-3401 See Also: SEC Complaint
June 28, 2012	FalconStor Software, Inc. Release No. LR-22405, AAER-3392
June 27, 2012	H. Clayton Peterson, CPA Release No. 34-67282, AAER-3391
June 19, 2012	Laurence M. Brown, CPA Release No. 34-67218, AAER-3389
June 19, 2012	Ronald J. Mangini, CPA Release No. 34-67219, AAER-3390
June 8, 2012	Kenneth M. Avery, CPA Release No. 34-67164, AAER-3388
May 23, 2012	Charles P. Morrison CPA Release No. 34-67048, AAER-3386
May 23, 2012	Frank D. Edwards, CA Release No. 34-67049, AAER-3387
May 14, 2012	China Natural Gas, Inc. and Qinan Ji Release No. LR-22368, AAER-3385 See Also: SEC Complaint
April 25, 2012	Garth R. Peterson Release No. LR-22346, AAER-3384 See Also: SEC Complaint
April 23, 2012	SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang Release No. LR-22341, AAER-3383
April 18, 2012	Don W. Watson, Edward W. O’Brien, and Gary M. Opper Release No. LR-22338, AAER-3382
April 18, 2012	John J. Todd, Robert D. Manza, and Jeffrey Weitzen Release No. LR-22335, AAER-3381
April 12, 2012	Jorge L. Castillo, CPA Release No. 34-66796, AAER-3380
April 6, 2012	Anthony J. Nocella and J. Russell McCann Release No. LR-22321, AAER-3378 See Also: SEC Complaint
April 6, 2012	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 Release No. LR-22324, AAER-3379
April 4, 2012	John M. Williams Release No. 34-66737, AAER-3377
April 4, 2012	Bryan N. Polozola Release No. 34-66735, AAER-3376
April 2, 2012	Michael A. Baker and Michael T. Gluk Release No. LR-22315, AAER-3375
March 26, 2012	Biomet, Inc. Release No. LR-22306, AAER-3374 See Also: SEC Complaint
March 22, 2012	Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton Release No. LR-22304, AAER-3373
March 14, 2012	Mark A. Jackson and James J. Ruehlen; Thomas F. O’Rourke Release No. LR-22290, AAER-3371
March 13, 2012	Larry Goldstone, Clarence Simmons, and Jane Starrett Release No. LR-22287, AAER-3370 See Also: SEC Complaint
March 13, 2012	Fernando J. Espuelas et al. Release No. LR-22285, AAER-3369
March 8, 2012	Koss Corporation and Michael J. Koss Release No. LR-22279, AAER-3368
Feb. 27, 2012	Robert Chiu, (A/K/A Chi Hung Chiu) Release No. 34-66479, AAER-3367
Feb. 22, 2012	Ming Zhao and Liping Zhu Release No. LR-22264, AAER-3372 See Also: SEC Complaint
Feb. 7, 2012	Shaun P. Whiteley Release No. 34-66353, AAER-3366
Feb. 7, 2012	Lynne Norman Release No. 34-66352, AAER-3365
Feb. 7, 2012	Matthew Bell, ACA Release No. 34-66351, AAER-3364
Feb. 6, 2012	Smith & Nephew PLC Release No. LR-22252, AAER-3363 See Also: SEC Complaint
Feb. 2, 2012	Dale Shafer, CPA Release No. 34-66312, AAER-3362
Jan. 31, 2012	John J. Todd, Robert D. Manza, and Jeffrey Weitzen Release No. LR-22244, AAER-3361
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 Release No. LR-22243, AAER-3360 See Also: SEC Complaint
Jan. 30, 2012	Symmetry Medical, Inc. and Fred L. Hite Release No. 34-66268, AAER-3358
Jan. 30, 2012	Christopher J. Kelly, ACA and Margaret Hebb, ACA Release No. 34-66269, AAER-3359
Jan. 26, 2012	Paul Free, CPA (Order Denying a Stay or Postponement of Proceedings) Release No. 34-66260, AAER-3357
Jan. 25, 2012	Len A. Familant and Paul V. Greene Release No. LR-22237, AAER-3356 See Also: SEC Complaint
Jan. 11, 2012	Imperiali, Inc. Release No. LR-22224, AAER-3355 See Also: SEC Complaint
Jan. 10, 2012	Todd Farha, et al. Release No. LR-22221, AAER-3353 See Also: SEC Complaint
Jan. 10, 2012	R.E. Bassie & Co. and R. Everett Bassie, C.P.A. Release No. AAER-3354
Jan. 4, 2012	Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin Release No. LR-22219, AAER-3351
Jan. 4, 2012	JBI, Inc., John Bordynuik and Ronald Baldwin, Jr. Release No. LR-22220, AAER-3352 See Also: SEC Complaint
Dec. 23, 2011	Craig On, CPA Release No. 34-66051, AAER-3350
Dec. 21, 2011	Eric Jon Strasser Release No. 34-66024, AAER-3349
Dec. 20, 2011	Aon Corporation Release No. LR-22203, AAER-3348
Dec. 16, 2011	Stuart W. Fuhlendorf Release No. LR-22199, AAER-3346
Dec. 16, 2011	Stuart W. Fuhlendorf, Release No. 34-65996, AAER-3347
Dec. 15, 2011	Juan Carlos Guillén Zerpa Release No. 34-65985, AAER-3345
Dec. 14, 2011	Kempisty & Company, Certified Public Accountants, P.C., Philip C. Kempisty, CPA, and John Anthony Rubino, CPA Release No. 34-65950, AAER-3344
Dec. 13, 2011	Michael Resnick et al. Release No. LR-22192, AAER-3343
Dec. 13, 2011	Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel and Bernd Regendantz Release No. LR-22190, AAER-3342 See Also: SEC Complaint
Dec. 5, 2011	Mark A. Konyndyk, CPA Release No. 34-65882, AAER-3339
Dec. 2, 2011	Nancy S.W. Chu et al. Release No. LR-22174, AAER-3341
Nov. 16, 2011	J.T. Battenberg, III and Paul Free Release No. LR-22156, AAER-3340
Nov. 16, 2011	Steven M. Des Champs, CPA Release No. 34-65754, AAER-3336
Nov. 16, 2011	Free, Paul, CPA Release No. 34-65759, AAER-3338
Nov. 16, 2011	Martha W. Vlcek, CPA Release No. 34-65755, AAER-3337
Nov. 7, 2011	Fernando J. Espuelas et al. Release No. LR-22147, AAER-3335
Nov. 3, 2011	Ran H. Furman (Corrected) Cameron Elliot, Administrative Law Judge Release No. 34-65680, AAER-3334
Oct. 25, 2011	William J. Tennant, CPA Release No. 34-65621, AAER-3332
Oct. 25, 2011	Anthony J. Cuti, CPA Release No. 34-65620, AAER-3331
Oct. 24, 2011	Koss Corporation and Michael J. Koss Release No. LR-22138, AAER-3330 See Also: SEC Complaint
Oct. 20, 2011	Michael G. Horsey, CPA, Michael D. Watson, CPA, and Sallie D. Feldman, CPA Release No. 34-65600, AAER-3329
Oct. 13, 2011	Watts Water Technologies, Inc. and Leesen Chang Release No. 34-65555, AAER-3328
Oct. 11, 2011	Thomas S. Wu, Ebrahim Shabudin, Thomas T. Yu, and Craig S. On Release No. LR-22121, AAER-3327 See Also: SEC Complaint
Oct. 6, 2011	Christopher Sells and Timothy Murawski Release No. LR-22116, AAER-3326 See Also: SEC Complaint
Oct. 3, 2011	Thomas Y. Jimenez (CPA) Release No. 34-65466, AAER-3325
Sept. 29, 2011	John Michael Kelly, Steven E. Rindner, Joseph A. Ripp, and Mark Wovsaniker Release No. LR-22109, AAER-3324
Sept. 27, 2011	LPB Capital d/b/a Family Office Group, LLC and Gary J. Pappas Release No. 34-65409, IA-3290, AAER-3323
Sept. 21, 2011	Larry Lee Crawford (CPA) Release No. 34-65377, AAER-3322
Sept. 16, 2011	Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA Release No. LR-22095, AAER-3321
Sept. 14, 2011	Wayne A. Pratt, CPA Release No. 34-65340, AAER-3320
Sept. 8, 2011	Deloitte Touche Tohmatsu CPA Ltd. Release No. LR-22088, AAER-3319 See Also: SEC court filing , and Application
Sept. 6, 2011	Ran H. Furman (Corrected) Cameron Elliot, Administrative Law Judge Release No. 34-65271, AAER-3318
Sept. 2, 2011	Leland G. Orr Release No. 34-65260, AAER-3317
Sept. 2, 2011	Travis W. Vrbas Release No. 34-65254, AAER-3316
Aug. 31, 2011	James Li, Thomas Chow, Roger Kao, and Wayne A. Pratt Release No. LR-22075, AAER-3315 See Also: SEC Complaint
Aug. 30, 2011	James O'Leary Release No. LR-22074, AAER-3314 See Also: SEC Complaint
Aug. 15, 2011	Michael Strauss, Stephen Hozie and Robert Bernstein Release No. LR-22067, AAER-3313
Aug. 5, 2011	Steven Scoppetuolo, CPA Release No. 34-65051, AAER-3312
Aug. 4, 2011	Karlheinz Redekopp Release No. LR-22060, AAER-3311
Aug. 4, 2011	Karlheinz Redekopp, CGA Release No. 34-65030, AAER-3310
Aug. 2, 2011	Jordan H. Mintz Release No. 34-65012, AAER-3309
July 29, 2011	James E. Koenig Release No. LR-22054, AAER-3308
July 27, 2011	Diageo plc Release No. 34-64978, AAER-3307
July 21, 2011	John N. Irwin, CPA Release No. 34-64941, AAER-3305
July 18, 2011	Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas Release No. LR-22046, AAER-3304
July 14, 2011	Joseph F. Sofo, CPA Release No. 33-9237, IA-3239, AAER-3303
July 13, 2011	Armor Holdings, Inc. Release No. LR-22037, AAER-3302 See Also: SEC Complaint
July 5, 2011	John Raffle, David Applegate and Kathy Raffle Release No. LR-22027, AAER-3299 See Also: SEC Complaint
July 5, 2011	Lawrence Collins, CPA Release No. 34-64808, AAER-3300
July 1, 2011	Fernando J. Espuelas et al. Release No. LR-22023, AAER-3298
June 30, 2011	LaBarge, Inc. Release No. 34-64776, AAER-3297

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