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
April 1, 2004	David T. Thomson, CPA, and David T. Thomson PC Release No. 34-49516, AAER-1984
March 31, 2004	Richard H. Hawkins Release No. LR-18649, AAER-1981
March 31, 2004	Margaret M. Gardner Release No. 34-49510, AAER-1982
March 29, 2004	Gary H. Klein, CPA Release No. 33-8405, AAER-1980, 34-49494
March 25, 2004	Cedric Kushner Promotions, Inc., Cedric Kushner, James DiLorenzo, and Steven Angel Release No. LR-18638, AAER-1979
March 17, 2004	CMS Energy Corp. and Terry Woolley Release No. 33-8403, AAER-1978, 34-49432
March 17, 2004	Scott D. Sullivan Release No. 33-8402, AAER-1977, 34-49431
March 12, 2004	David G. Sherman Release No. LR-18622, AAER-1976
March 11, 2004	Rollin S. Dick and James S. Adams Release No. LR-18621, AAER-1975
March 10, 2004	Ed Johnson and MERL Holdings Inc.com Release No. LR-18618, AAER-1974
March 10, 2004	Conseco, Inc. Release No. 34-49392, AAER-1973
March 10, 2004	BJ Services Company Release No. 34-49390, AAER-1972
March 9, 2004	William H. Rinehart, Jonathan A. Beck, and Kevin P. Clark Release No. LR-18615, AAER-1971
March 8, 2004	Richard P. Smyth, Arnold E. Johns, Jr., Michael J. Becker and Alan T. Davis Release No. LR-18612, AAER-1970
March 5, 2004	Richard Rambahal, et al. Release No. LR-18608, AAER-1968
March 4, 2004	DT Industries Inc. Release No. 34-49364, AAER-1967
March 2, 2004	Scott D. Sullivan Release No. LR-18605, AAER-1966
Feb. 27, 2004	Jon Clark and Sarah Hume Release No. LR-18598, AAER-1965
Feb. 25, 2004	ClearOne Communications, Inc et al. Release No. LR-18592, AAER-1963
Feb. 25, 2004	Don-Allen Ruttenberg Release No. LR-18595, AAER-1964
Feb. 24, 2004	Christopher S. Hall Release No. 34-49307, AAER-1960
Feb. 24, 2004	Steven F. Stork Release No. 34-49309, AAER-1962
Feb. 24, 2004	Steven L. Mortensen Release No. 34-49308, AAER-1961
Feb. 19, 2004	Richard A. Causey and Jeffrey K. Skilling Release No. LR-18582, AAER-1959
Feb. 17, 2004	Dean A. Nichols Release No. LR-18578, AAER-1958
Feb. 13, 2004	Performance Food Group Company Release No. 34-49243, AAER-1957
Feb. 10, 2004	John R. Boyd, and Christopher Curbello Release No. LR-18572, AAER-1956
Feb. 6, 2004	Jonathan G. Epstein Release No. LR-18571, AAER-1955
Feb. 6, 2004	Lee R. Fontaine, CPA Release No. 34-49204, AAER-1953
Feb. 6, 2004	Robert G. Kutsenda, CPA Release No. 34-49206, AAER-1954
Feb. 5, 2004	Cumulus Media Inc. et al. Release No. LR-18566, AAER-1951
Feb. 4, 2004	Richard R. Ross, CPA Release No. 33-8361, 34-49186, AAER-1950
Feb. 4, 2004	James Thomas McCurdy, CPA Release No. 34-49182, AAER-1952 PDF version See Also: CPA Release No. AAER-1952 PDF version
Jan. 22, 2004	Lloyd Silverstein Release No. LR-18552, AAER-1948
Jan. 22, 2004	Richard A. Causey Release No. LR-18551, AAER-1947
Jan. 21, 2004	Hollinger International, Inc. Release No. LR-18550, AAER-1946
Jan. 20, 2004	Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA Release No. 33-8355, 34-49101, AAER-1945 See Also: the Order in this matter
Jan. 16, 2004	Corrpro Companies, Inc. Release No. LR-18547, AAER-1944
Jan. 15, 2004	Weiser LLP, Victor R. Wahba, CP and Stuart A. Nussbaum, CPA Release No. 34-49082, 40-2208, AAER-1943
Jan. 14, 2004	Andrew S. Fastow Release No. LR-18543, AAER-1942
Jan. 13, 2004	Kevin J. Morrison, et al. Release No. LR-18540, AAER-1940
Jan. 9, 2004	Dorothy L. Mahler, John W. Bracewell, III, and Patricia L. Jones Release No. LR-18536, AAER-1939
Jan. 7, 2004	Robert Quattrone, et al. Release No. LR-18534, AAER-1938
Jan. 6, 2004	Henry C. Yuen et al. Release No. LR-18530, AAER-1937
Dec. 30, 2003	Parmalat Finanziaria S.p.A. Release No. LR-18527, AAER-1936
Dec. 24, 2003	Vivendi Universal, S.A., Jean-Marie Messier, and Guillaume Hannezo Release No. LR-18523, AAER-1935
Dec. 23, 2003	Rent-Way, Inc., et al., Jeffrey A. Conway, Matthew J. Marini, Jeffrey K. Underwood Release No. LR-18521, AAER-1934
Dec. 22, 2003	Eddy Lynn Patterson Release No. LR-18519, AAER-1933
Dec. 19, 2003	Canadian Imperial Bank of Commerce, Daniel Ferguson, Ian Schottlaender, and Mark Wolf Release No. LR-18517, AAER-1932
Dec. 19, 2003	Mary E. Crabtree Release No. 34-48961, AAER-1929
Dec. 19, 2003	Genesco Inc. Release No. 34-48962, AAER-1930
Dec. 18, 2003	Charles D. Erwin and Michael J. McGhan; Hanover Compressor Company and William S. Goldberg Release No. LR-18514, AAER-1928
Dec. 18, 2003	Richard Marks Release No. LR-18511, AAER-1925
Dec. 18, 2003	Kevin Lasky et al. Release No. LR-18512, AAER-1926
Dec. 18, 2003	Hanover Compressor Company and William S. Goldberg, Release No. 34-48951, AAER-1927
Dec. 12, 2003	Stoffer et al. Release No. LR-18503, AAER-1923
Dec. 12, 2003	Cumulus Media Inc. et al. Release No. LR-18504, AAER-1922
Dec. 11, 2003	Thomas D. Costello Release No. 34-48906, AAER-1921
Dec. 10, 2003	Peter F. Kuebler, CPA Release No. 34-48901, AAER-1920
Dec. 3, 2003	Sam Leopold, Richard R. Ross, Phillip D. Teal, James T. Montrose, Norman B. Cowgill, Jay S. Ozer, and Bradley J. Schmidt Release No. LR-18485, AAER-1919
Nov. 18, 2003	Bernard F. Bradstreet Release No. LR-18469, AAER-1918
Nov. 17, 2003	Bruce Hill, et al. Release No. LR-18467, AAER-1916
Nov. 17, 2003	Kevin J. Morrison, et al. Release No. LR-18463, AAER-1914
Nov. 17, 2003	William J. Burke Release No. LR-18468, AAER-1917
Nov. 17, 2003	Schick Technologies, Inc., David B. Schick and Fred Levine Release No. LR-18464, AAER-1915
Nov. 13, 2003	John J. Todd, Robert D. Manza and Jeffrey Weitzen Release No. LR-18454, AAER-1912
Nov. 13, 2003	Gateway, Inc. Release No. 33-8338, AAER-1911
Nov. 13, 2003	Axeda Systems Inc., Jason C. Liu and Stewart C. Adams Release No. 34-48783, AAER-1913
Nov. 12, 2003	Rita J. McConville and Kevin M. Harris Release No. 34-48770, AAER-1910
Nov. 10, 2003	WorldCom Inc. Release No. LR-18451, AAER-1909
Oct. 30, 2003	Sport-Haley, Inc., Robert G. Tomlinson, Steve S. Auger, Kenneth R. LeCrone Release No. LR-18437, AAER-1908
Oct. 30, 2003	David W. Delainey Release No. LR-18435, AAER-1907
Oct. 22, 2003	Rodney R. Proto and Earl E. DeFrates, Bruce E. Snyder, Jr. Release No. LR-18422, AAER-1904
Oct. 22, 2003	Anne H. Long, CPA Release No. 34-48679, AAER-1905
Oct. 22, 2003	Victor Herman, CPA Release No. 34-48682, AAER-1906
Oct. 21, 2003	Gerald H. Levine and Marie A. Levine Release No. LR-18420, AAER-1903
Oct. 17, 2003	Ronald J. Hottovy Release No. LR-18417, AAER-1901
Oct. 17, 2003	Peter C. Ferraro and William G. Stayduhar Release No. 34-48654, AAER-1899
Oct. 17, 2003	Peter C. Ferraro and William G. Stayduhar Release No. 34-48655, AAER-1900
Oct. 16, 2003	Arabian American Development Company and Hatem El-Khalidi Release No. LR-18412, AAER-1902
Oct. 16, 2003	Arabian American Development Company and Hatem El-Khalidi Release No. 34-48638, AAER-1898
Oct. 15, 2003	Dale Peterson et al. Release No. LR-18410, AAER-1896
Oct. 15, 2003	VantageMed Corporation Release No. 34-48629, AAER-1897
Oct. 9, 2003	Gregory L. English AAER-1893 Release No. LR-18402, AAER-1893
Oct. 9, 2003	Wesley H. Colwell AAER-1894 Release No. LR-18403, AAER-1894
Oct. 9, 2003	NCI Building Systems, Inc. Release No. 34-48608, AAER-1892
Oct. 7, 2003	Jeffrey S. Schneider Release No. LR-18395, AAER-1890
Oct. 6, 2003	Richard P. Vatcher Release No. LR-18394, AAER-1891
Oct. 6, 2003	Jeffrey S. Schneider Release No. 33-8300, 34-48594, AAER-1889
Oct. 2, 2003	Dennis A. Bakal, Susan P. Dial and William S. Cole Release No. LR-18388, AAER-1887
Oct. 2, 2003	Sidney V. Corder, Randal J. Sage and Brian J. Yates Release No. LR-18387, AAER-1886
Oct. 1, 2003	Greg Waring and Craig Treloar Release No. LR-18382, AAER-1883
Oct. 1, 2003	Richard Fiedelman, CPA Release No. 34-48578, AAER-1884
Oct. 1, 2003	Laurence M. Simon, CPA Release No. 34-48580, AAER-1885
Sept. 30, 2003	Scott Miller Release No. 34-48571, AAER-1881
Sept. 30, 2003	Adam S. Richards Release No. 34-48570, AAER-1880
Sept. 30, 2003	Timothy McCool Release No. 33-8296, 34-48575, AAER-1882
Sept. 29, 2003	James C. Horne Release No. LR-18370, AAER-1876
Sept. 29, 2003	Sport-Haley, Inc., Robert G. Tomlinson, and Steve S. Auger Release No. LR-18371, AAER-1877
Sept. 29, 2003	Loren D. Pfau Release No. LR-18374, AAER-1878

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