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
Nov. 29, 2019	Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA Release No. 34-87642, AAER-4103
Nov. 25, 2019	Calumet Specialty Products Partners, L.P. Release No. 34-87611, AAER-4102 See Also: Administrative Summary
Nov. 7, 2019	Pruitt, David, CPA Release No. 34-87484, AAER-4101
Oct. 11, 2019	John Busshaus, CPA Release No. 33-10718, AAER-4100
Oct. 10, 2019	Northwest Biotherapeutics, Inc. Release No. 34-87281, AAER-4099 See Also: Administrative Summary
Sept. 30, 2019	Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP Release No. 34-87157, AAER-4097
Sept. 30, 2019	Marla P. Manowitz, CPA, Thomas R. Vreeland, CPA and Kenneth J. Gralak, CPA Release No. 34-87159, AAER-4098
Sept. 27, 2019	Mylan N.V. Release No. LR-24621, AAER-4096 See Also: SEC Complaint
Sept. 27, 2019	FCA US LLC and Fiat Chrysler Automobiles N.V. Release No. 33-10706, 34-87134, AAER-4095
Sept. 26, 2019	PPG Industries, Inc. Release No. 33-10701, 34-87129, AAER-4094 See Also: Administrative Summary
Sept. 25, 2019	Toups, Michael P. Release No. 34-87102, AAER-4093
Sept. 24, 2019	Comscore, Inc. Release No. 33-10692, 34-87069, AAER-4091
Sept. 24, 2019	Serge Matta Release No. 33-10693, 34-87070, AAER-4092
Sept. 23, 2019	Carlos Ghosn and Gregory L. Kelly Release No. LR-24606, AAER-4088 See Also: SEC Complaint
Sept. 23, 2019	Brandon Sprankle, CPA Release No. 34-87053, AAER-4085
Sept. 23, 2019	TechnipFMC plc. Release No. 34-87055, AAER-4087 See Also: Administrative Summary
Sept. 23, 2019	PricewaterhouseCoopers LLP Release No. 34-87052, AAER-4084
Sept. 23, 2019	Subramanian Krishnan (CPA)(Corrected) Release No. 34-87068, AAER-4090
Sept. 23, 2019	Nissan Motor Co., Ltd. Release No. 34-87054, AAER-4086
Sept. 23, 2019	Briner, John, Esq. Dalmy, Diane. Esq. De Joya Griffith, LLC De Joya, Arthur, CPA Griffith, Jason, CPA Whetman, Chris, CPA Zhang, Philip, CPA M&K CPAs, PLLC Manis, Matt, CPA Ridenour, Jon, CPA Ortego, Ben, CPA Release No. 34-87063, AAER-4089
Sept. 20, 2019	James David Hilty Release No. 34-87037, AAER-4082 See Also: Administrative Summary
Sept. 20, 2019	The Bancorp, Inc. Release No. 34-87036, AAER-4081 See Also: Administrative Summary
Sept. 20, 2019	Donald F. Mcgraw, Jr. Release No. 34-87038, AAER-4083 See Also: Administrative Summary
Sept. 20, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. 34-87033, AAER-4080
Sept. 19, 2019	Kevyn N. Rakowski, CPA Release No. 34-87007, AAER-4078
Sept. 19, 2019	David R. Gibson Release No. 34-87032, IA-5357, AAER-4079
Sept. 17, 2019	Tom Simeo Release No. LR-24599, AAER-4077 See Also: SEC Complaint
Sept. 16, 2019	Marvell Technology Group, Ltd. Release No. 33-10684, 34-86971, AAER-4076
Sept. 13, 2019	Sridhar Thiruvengadam Release No. 34-86963, AAER-4074 See Also: Administrative Summary
Sept. 13, 2019	ED Capital Management, LLC d/b/a Daniloff Capital Management, LLC and Elliot Daniloff a/k/a Ilya Olegovich Danilov Release No. IA-5344, AAER-4075 See Also: Administrative Summary
Sept. 11, 2019	Robert D. Hesselgesser, CPA Release No. 34-86924, AAER-4073
Sept. 9, 2019	Beamish, Adrian D., CPA Release No. 34-86903, AAER-4072
Sept. 6, 2019	Abner Silva Release No. 33-10681, 34-86900, AAER-4071 See Also: Administrative Summary
Sept. 5, 2019	Daniel Khesin Release No. 33-10680, 34-86889, AAER-4070 See Also: Administrative Summary
Aug. 29, 2019	Robin Smyth Release No. 34-86804, AAER-4068
Aug. 29, 2019	Juniper Networks, Inc. Release No. 34-86812, AAER-4069 See Also: Administrative Summary
Aug. 27, 2019	Alan G. Heide, CPA Release No. 34-86771, AAER-4067
Aug. 27, 2019	RSM US LLP (f/k/a McGladrey LLP) Release No. 34-86770, IA-5331, AAER-4066
Aug. 22, 2019	Deutsche Bank AG Release No. 34-86740, AAER-4065 See Also: Administrative Summary
Aug. 21, 2019	Michael Filkoski, CPA and Scott Magnuson, CPA Release No. 34-86720, AAER-4064 See Also: Administrative Summary
Aug. 7, 2019	Thomas W. Avent, Jr., CPA, Esq. Release No. 34-86594, AAER-4063 See Also: Litigation Release
Aug. 5, 2019	Nandu Thondavadi Release No. 34-86564, AAER-4062
Aug. 1, 2019	Brixmor Property Group Inc. Release No. 34-86538, AAER-4061
July 26, 2019	Nevanna Sacks, CPA Release No. 34-86495, AAER-4060, AAER-4060
July 16, 2019	Dov Weinstein, CPA and Dov Weinstein & Co., CPA Release No. 34-86385, AAER-4059 See Also: Administrative Summary
July 10, 2019	Thomas H. Laws, CPA Release No. 34-86350, AAER-4058
July 1, 2019	Thomas Chang, CPA Release No. 34-86252, AAER-4057
June 28, 2019	S. Jeffrey Jones, CPA Release No. 34-86240, AAER-4056
June 28, 2019	R. Gordon Jones, CPA Release No. 34-86239, AAER-4055
June 20, 2019	Walmart Inc. Release No. 34-86159, AAER-4054
June 17, 2019	Rodney A. Smith, Michael Santicchia, CPA, and Stephen D. Cheaney, CPA Release No. 34-86123, AAER-4052
June 17, 2019	KPMG LLP Release No. 34-86118, AAER-4051
June 17, 2019	Rodney A. Smith, Michael Santicchia, CPA, and Stephen D. Cheaney, CPA Release No. 34-86124, AAER-4053
June 14, 2019	David Vogel, CPA Release No. 34-86107, AAER-4050
June 5, 2019	Pinnacle Accountancy Group, PLLC and Douglas W. Child, CPA Release No. 34-86034, AAER-4049
June 4, 2019	Rand, Michael T. Release No. 34-86028, AAER-4048
May 13, 2019	Bryan B. Long, CPA Release No. 34-85847, AAER-4047
May 9, 2019	Telefônica Brasil S.A. Release No. 34-85819, AAER-4046 See Also: Administrative Summary
May 3, 2019	GT Advanced Technologies Inc. Release No. 33-10636, 34-85767, AAER-4045
April 25, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Order) Release No. 34-85717, AAER-4044
April 23, 2019	Michael F. Cronin, CPA Release No. 34-85709, AAER-4043
April 22, 2019	Dov Zaidman, CPA, and ZBS Group LLP Release No. 33-10632, 34-85702, AAER-4041
April 22, 2019	David M. Martin CPA Release No. 34-85703, AAER-4042
April 11, 2019	Karen Bruton and Hope Advisors, LLC (Order Regarding Further Proceedings) Release No. 34-85630, IA-5222, AAER-4040
April 10, 2019	Adam C. Derbyshire Release No. 33-10627, 34-85582, AAER-4039
April 5, 2019	KLJ & Associates, LLP, Kent L. Jensen, CPA and Ronald A. Burgmeier, CPA Release No. 34-85518, AAER-4037 See Also: Administrative Summary
April 4, 2019	Evan R. Kita, et al. Release No. LR-24441, AAER-4038
April 3, 2019	Evan R. Kita, CPA Release No. 34-85496, AAER-4036
April 2, 2019	Kevin E. Brooks, CPA Release No. 34-85483, AAER-4035
April 1, 2019	Wolf, Jennifer F., CPA Release No. 34-85478, AAER-4034
March 29, 2019	Fresenius Medical Care AG & Co. KGaA Release No. 34-85468, AAER-4033
March 26, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Notice Regarding Correspondence) Release No. 34-85423, AAER-4032
March 22, 2019	Judson F. "Rick" Hoover, CPA Release No. 34-85398, AAER-4031
March 13, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA (Notice Regarding Correspondence) Release No. 34-85310, AAER-4030
March 11, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Order) Release No. 34-85284, AAER-4029
March 6, 2019	Mobile TeleSystems PJSC Release No. 34-85261, AAER-4028
March 5, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA (Notice Regarding Correspondence) Release No. 34-85250, AAER-4027
March 1, 2019	Arthur Viola Release No. 34-85234, AAER-4025 See Also: Administrative Summary
March 1, 2019	DLL CPAS, LLC and Debra Lee Lindaman, CPA Release No. 34-85233, AAER-4024 See Also: Administrative Summary
March 1, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Order) Release No. 34-85237, AAER-4026
Feb. 21, 2019	David Pruitt, CPA (Order Denying Motion to Amend the Order Instituting Proceedings) Release No. 34-85171, AAER-4023
Feb. 15, 2019	Cognizant Technology Solutions Corporation Release No. 34-85149, AAER-4021
Feb. 15, 2019	Jeffrey M. Mattich Release No. 34-85159, AAER-4022
Feb. 13, 2019	Deloitte Touche Tohmatsu LLC, Futomichi Amano and Yuji Itagaki Release No. 34-85115, AAER-4020
Feb. 8, 2019	Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. 34-85081, AAER-4019
Jan. 29, 2019	Lifeway Foods, Inc. Release No. 34-84995, AAER-4016
Jan. 29, 2019	Digital Turbine, Inc. Release No. 34-84998, AAER-4018
Jan. 29, 2019	CytoDyn Inc. Release No. 34-84994, AAER-4015
Jan. 29, 2019	Grupo Simec S.A.B. de C.V. Release No. 34-84996, AAER-4017
Jan. 14, 2019	LBB & Associates Ltd., LLP Lopez, Carlos, CPA Release No. 34-84983, AAER-4014 See Also: Administrative Summary
Jan. 9, 2019	Katz, Sapper & Miller, LLP and Scott C. Price, CPA Release No. 34-84980, IA-5100, AAER-4013
Dec. 31, 2018	Hertz Global Holdings, Inc. and the Hertz Corporation Release No. 33-10601, 34-84979, AAER-4012 See Also: Administrative Summary
Dec. 26, 2018	ADT Inc. Release No. 34-84956, AAER-4009
Dec. 26, 2018	Polycom, Inc. Release No. 34-84978, AAER-4011 See Also: Administrative Summary
Dec. 26, 2018	Centrais Elétricas Brasileiras S.A. Release No. 34-84973, AAER-4010 See Also: Administrative Summary
Dec. 21, 2018	Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-84912, AAER-4006
Dec. 21, 2018	Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-84911, AAER-4005
Dec. 21, 2018	Mitchell J. Rubin, CPA and Michael Bernstein, CPA Release No. 34-84921, AAER-4008
Dec. 21, 2018	Crowe Horwath LLP, Joseph C. Macina, CPA and Kevin V. Wydra, CPA Release No. 34-84920, AAER-4007
Dec. 18, 2018	Takeshi "Tyrone" Uonaga Release No. 34-84850, AAER-4004

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Accounting and Auditing Enforcement