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
Oct. 26, 2017	Harold J. Swart, Jr. Release No. 34-81954, AAER-3903
Oct. 19, 2017	Mayank Gupta, CPA Release No. 34-81911, AAER-3902
Oct. 19, 2017	Jeffrey W. Tomz, CPA Release No. 34-81908, AAER-3901
Sept. 27, 2017	Robert K. Stewart, CPA Release No. 34-81740, AAER-3900
Sept. 21, 2017	Paritz & Company, P.A., et al. Release No. 34-81678, AAER-3899 See Also: Administrative Summary
Sept. 21, 2017	Telia Company AB Release No. 34-81669, AAER-3898
Sept. 20, 2017	Joseph H. Craft, CPA Release No. 34-81664, AAER-3897
Sept. 14, 2017	Thomas C. Tekulve, Jr., CPA Release No. 34-81619, AAER-3896
Sept. 8, 2017	John R. Holtzhauser, CPA Release No. 34-81559, AAER-3895
Sept. 7, 2017	Adrian D. Beamish, CPA (Corrected) Release No. 34-81542, AAER-3892
Sept. 7, 2017	Brian K. Rabinovitz, CPA Release No. 34-81546, AAER-3894
Sept. 7, 2017	Waldemar Grab Release No. 34-81544, AAER-3893
Aug. 22, 2017	Matthew Gamsey, CPA Release No. 34-81452, AAER-3891
Aug. 22, 2017	Edward Dimaria Release No. 34-81451, AAER-3890
Aug. 15, 2017	KPMG LLP and John Riordan, CPA Release No. 34-81396, AAER-3888
Aug. 15, 2017	Lisa Pavelka McAlister, CPA Release No. 34-81397, AAER-3889
Aug. 8, 2017	Michelle L. Helterbran Cochran, CPA (Order Scheduling Briefs) Release No. 34-81349, AAER-3887
Aug. 1, 2017	Michael S. Shore Release No. 33-10396, 34-81277, AAER-3886
July 28, 2017	Lynn Tilton; Patriarch Partners, et al. (Order Denying Motion to Stay Administrative Proceeding) Release No. IA-4735, IC-32765, AAER-3885
July 27, 2017	Halliburton Company and Jeannot Lorenz Release No. 34-81222, AAER-3884
July 19, 2017	Enviso Capital, LLC, Ryan Bowers and Jeffrey Laberge, CPA Release No. 34-81173, IA-4731, IC-32737, AAER-3883 See Also: Administrative Summary
July 5, 2017	Ryan Petersen Release No. LR-23874, AAER-3882
June 21, 2017	Jay Mac Rust and Christopher K. Brenner Release No. LR-23865, AAER-3881
June 21, 2017	Christopher K. Brenner, Esq. (CPA) Release No. 34-80991, AAER-3880 See Also: Litigation Release
June 19, 2017	Mark C. Northrop, CPA Release No. 33-10371, 34-80963, IA-4717, AAER-3879
June 15, 2017	Hall, David S., P.C. d/b/a the Hall Group CPAs Hall, David S., CPA Cochran, Michelle L. Helterbran, CPA Cisneros, Susan A. Release No. 34-80949, AAER-3878
June 15, 2017	Eric W. Kirchner and Richard G. Rodick Release No. 34-80947, AAER-3877 See Also: Administrative Summary
June 14, 2017	Richardson Edward, Jr., CPA Richardson Edward, Jr. Release No. 34-80918, AAER-3876 See Also: Administrative Summary
June 12, 2017	Hanmer, Lisa, CPA Release No. 34-80904, AAER-3875
June 9, 2017	Michael B. Hayford, et al. Release No. 33-10369, 34-80901, AAER-3874
June 7, 2017	Dan (“Alice”) Zhang, CPA, Release No. 34-80872, AAER-3873 See Also: Administrative Summary
June 1, 2017	David R. Humphrey, CPA Release No. 33-10368, 34-80839, AAER-3872
May 23, 2017	Hanmer, Lisa, CPA Release No. 34-80750, AAER-3871
May 23, 2017	Daniel Millmann, CPA Release No. 34-80749, AAER-3870
May 1, 2017	MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA Release No. 33-10352, 34-80564, AAER-3869
April 28, 2017	Pruitt, David, CPA Release No. 34-80548, AAER-3868
April 28, 2017	Mark Wentlent Release No. 34-80547, AAER-3867
April 21, 2017	Mark McKinnies, CPA Release No. 34-80507, AAER-3866
April 10, 2017	Galena Biopharma, Inc. and Mark J. Ahn Release No. 33-10337, 34-80407, AAER-3865
April 4, 2017	William Joseph Kouser Jr., CPA and Ryan James Dougherty, CPA Release No. 34-80370, AAER-3864
March 14, 2017	Nima Hedayati Release No. 34-80238, AAER-3863
March 10, 2017	Nasir N. Shakouri, Robert S. Torino, Bronson L. Quon, John S. Hong and Jonathan K. Skarie Release No. LR-23775, AAER-3861 See Also: SEC Complaint
March 3, 2017	Desarrolladora Homex S.A.B. de C.V Release No. LR-23765, AAER-3862 See Also: SEC Complaint
Feb. 24, 2017	Richardson Edward, Jr., CPA Richardson Edward, Jr. Release No. 34-80103, AAER-3860
Feb. 3, 2017	Ixia and Victor Alston Release No. LR-23741, AAER-3859 See Also: SEC Complaint
Feb. 3, 2017	Ixia and Victor Alston Release No. 33-10302, 34-79971, AAER-3858
Jan. 31, 2017	Aronson, David A., CPA Release No. 34-79903, AAER-3857
Jan. 26, 2017	Anderson Bradshaw PLLC, et al. Release No. 34-79880, AAER-3856
Jan. 23, 2017	Donald P. Jones, CPA Release No. 34-79856, AAER-3854
Jan. 23, 2017	Shelly R. McGuire, CPA Release No. 34-79855, AAER-3853
Jan. 23, 2017	Overseas Shipholding Group, Inc. and Myles Robert Itkin Release No. 33-10286, 34-79857, AAER-3855
Jan. 19, 2017	HomeStreet, Inc. and Darrell Van Amen Release No. 34-79844, AAER-3852
Jan. 18, 2017	MDC Partners Inc. Release No. 33-10283, 34-79823, AAER-3849
Jan. 18, 2017	Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan Release No. 34-79820, AAER-3848
Jan. 18, 2017	Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan Release No. 33-10282, 34-79817, AAER-3846
Jan. 18, 2017	Orthofix International N.V. Release No. 34-79828, AAER-3851
Jan. 18, 2017	Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan Release No. 34-79819, AAER-3847
Jan. 18, 2017	Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan Release No. 33-10281, 34-79815, AAER-3845
Jan. 18, 2017	General Motors Company Release No. 34-79825, AAER-3850
Jan. 12, 2017	Biomet, Inc. Release No. 34-79780, AAER-3843
Jan. 11, 2017	L3 Technologies, Inc. Release No. 34-79772, AAER-3844
Jan. 10, 2017	Larry Lee Crawford (CPA) Release No. 34-79765, AAER-3842
Jan. 6, 2017	Cadbury Limited and Mondelez International, Inc. Release No. 34-79753, AAER-3841 See Also: Administrative Summary
Dec. 29, 2016	General Cable Corporation Release No. 34-79702, AAER-3840
Dec. 27, 2016	Philip Greifeld Release No. 34-79691, AAER-3838
Dec. 27, 2016	David A. Loppert Release No. 34-79698, AAER-3839
Dec. 22, 2016	Badree Komandur, et al. Release No. 34-79669, AAER-3837 See Also: Administrative Summary
Dec. 22, 2016	Badree Komandur, et al. Release No. 34-79668, AAER-3836 See Also: Administrative Summary
Dec. 21, 2016	Jack Henry & Associates, Inc. Release No. 34-79650, AAER-3835 See Also: Administrative Summary
Dec. 6, 2016	KPMG LLP Release No. 34-79483, AAER-3834 See Also: Administrative Summary
Dec. 2, 2016	United Continental Holdings, Inc. Release No. 34-79454, AAER-3833
Nov. 23, 2016	Michael K. Krohn, CPA Release No. 34-79394, AAER-3829
Nov. 23, 2016	Rosenberg Rich Baker Berman & Company and Brian Zucker, CPA Release No. 34-79396, AAER-3831
Nov. 23, 2016	KMJ Corbin & Company, LLP, Kendall G. Merkley, CPA, and Anthony J. Price, CPA Release No. 34-79393, AAER-3828
Nov. 23, 2016	Mark David Shapiro, CPA Release No. 34-79395, AAER-3830
Nov. 23, 2016	Stephen Hozie Release No. 34-79397, AAER-3832
Nov. 21, 2016	Grassi & Co., CPAs and P.C. Release No. 34-79368, IA-4572, AAER-3826 See Also: Administrative Summary
Nov. 21, 2016	PMB Helin Donovan, LLP, Christopher Bauer, CPA and Jeffrey Jamieson, CPA Release No. 34-79364, AAER-3825
Nov. 21, 2016	Gary R. Purwin, CPA Release No. 34-79369, IA-4573, AAER-3827
Nov. 17, 2016	JP Morgan Chase & Co. Release No. 34-79335, AAER-3824
Nov. 15, 2016	Christopher Egan Release No. 33-10256, AAER-3823 See Also: Administrative Summary
Nov. 7, 2016	Powersecure International, Inc. Release No. 34-79256, AAER-3822
Oct. 31, 2016	Beamish, Adrian D., CPA Release No. 34-79193, AAER-3820
Oct. 31, 2016	Domenick F. Consolo, CPA and PKF O'Connor Davies, LLP Release No. 33-10242, 34-79196, AAER-3821
Oct. 27, 2016	BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan Kelly A., CPA Bedwell, Robert P., CPA Release No. 34-79176, AAER-3819
Oct. 24, 2016	David S. Hall, P.C. d/b/a the Hall Group CPAs, et al. Release No. 34-79147, AAER-3818
Oct. 21, 2016	Julianne M. Chandler Release No. 34-79137, AAER-3817
Oct. 20, 2016	FMC Technologies, Inc., Jeffrey Favret, CPA and Steven K. Croft, CPA Release No. 34-79127, AAER-3816
Oct. 19, 2016	Aronson, David A., CPA Release No. 34-79120, AAER-3815
Oct. 18, 2016	Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Release No. 34-79109, AAER-3814
Sept. 30, 2016	Steven M. Brazile, CPA Release No. 34-79021, AAER-3813 See Also: Administrative Summary
Sept. 30, 2016	GlaxoSmithKline plc Release No. 34-79005, AAER-3810 See Also: Administrative Summary
Sept. 30, 2016	Steven M. Brazile, CPA Release No. 34-79020, IA-4544, AAER-3812 See Also: Administrative Summary
Sept. 30, 2016	D'Arelli Pruzansky, et al. Release No. 34-79004, AAER-3809
Sept. 30, 2016	Alan Ritter, CPA Release No. 34-79019, AAER-3811 See Also: Administrative Summary
Sept. 28, 2016	Anheuser-Busch InBev SA/NV Release No. 34-78957, AAER-3808
Sept. 27, 2016	Weatherford International PLC, et al. Release No. 33-10221, 34-78944, AAER-3806
Sept. 27, 2016	Orrstown Financial Services, Inc., et al. Release No. 33-10222, 34-78947, AAER-3807 See Also: Administrative Summary
Sept. 21, 2016	Robert A. Waegelein, CPA Release No. 34-78897, AAER-3805 See Also: Administrative Summary
Sept. 21, 2016	Park National Corporation Release No. 34-78896, AAER-3804 See Also: Administrative Summary

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Accounting and Auditing Enforcement