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
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	Cumulus Media Inc. et al. Release No. LR-18504, AAER-1922
Dec. 12, 2003	Stoffer et al. Release No. LR-18503, AAER-1923
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	Axeda Systems Inc., Jason C. Liu and Stewart C. Adams Release No. 34-48783, AAER-1913
Nov. 13, 2003	Gateway, Inc. Release No. 33-8338, AAER-1911
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	David W. Delainey Release No. LR-18435, AAER-1907
Oct. 30, 2003	Sport-Haley, Inc., Robert G. Tomlinson, Steve S. Auger, Kenneth R. LeCrone Release No. LR-18437, AAER-1908
Oct. 22, 2003	Rodney R. Proto and Earl E. DeFrates, Bruce E. Snyder, Jr. Release No. LR-18422, AAER-1904
Oct. 22, 2003	Victor Herman, CPA Release No. 34-48682, AAER-1906
Oct. 22, 2003	Anne H. Long, CPA Release No. 34-48679, AAER-1905
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	Laurence M. Simon, CPA Release No. 34-48580, AAER-1885
Oct. 1, 2003	Richard Fiedelman, CPA Release No. 34-48578, AAER-1884
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	Loren D. Pfau Release No. LR-18374, AAER-1878
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. 33-8295, 34-48559, AAER-1879
Sept. 26, 2003	Analytical Surveys, Inc. Release No. 34-48549, AAER-1875
Sept. 25, 2003	Thomas C. Trauger and Michael Mullen Release No. 34-48543, AAER-1872
Sept. 25, 2003	Oliver Flanagan Release No. 34-48542, AAER-1871
Sept. 25, 2003	Akorn, Inc. Release No. 34-48546, AAER-1873
Sept. 25, 2003	Stephen Scott Lowber, CPA Release No. 34-48537, AAER-1870
Sept. 24, 2003	Christine B. Hoberg Release No. 34-48536, AAER-1869
Sept. 23, 2003	Jeffrey R. Anderson and Scott H. Miller Release No. LR-18358, AAER-1868
Sept. 22, 2003	Richard I. Berger and Bonnie K. Metz Release No. LR-18357, AAER-1867
Sept. 18, 2003	Sophia M. Kabler Release No. LR-18355, AAER-1864
Sept. 16, 2003	Jeffrey A. Conway, CPA Release No. 34-48492, AAER-1863
Sept. 11, 2003	Christine B. Hoberg Release No. LR-18343, AAER-1860
Sept. 11, 2003	Stephen D. Price Release No. LR-18345, AAER-1862
Sept. 11, 2003	Brightpoint, Inc., American International Group, Inc., Phillip Bounsall, John Delaney and Timothy Harcharik Release No. LR-18340, AAER-1858
Sept. 11, 2003	Stephen D. Price Release No. 34-48485, AAER-1861
Sept. 11, 2003	Louis Lucullo Release No. 34-48476, AAER-1856
Sept. 11, 2003	Nvidia Corporation Release No. 34-48480, AAER-1859
Sept. 11, 2003	Phillip Bounsall Release No. 34-48475, AAER-1855
Sept. 11, 2003	American International Group, Inc. Release No. 34-48477, AAER-1857
Sept. 11, 2003	Brightpoint, Inc. Release No. 33-8284, 34-48474, AAER-1854
Sept. 10, 2003	Citigroup, Inc. Release No. LR-18335, AAER-1852
Sept. 10, 2003	Michael Martin and Malcolm McVay Release No. LR-18339, AAER-1853
Sept. 9, 2003	Lawrence Borowiak Release No. LR-18332, AAER-1851
Sept. 8, 2003	Vincent Steckler Release No. LR-18327, AAER-1850
Aug. 25, 2003	Solucorp Industries Ltd., et al. Release No. LR-18306, AAER-1849
Aug. 20, 2003	Carroll A. Wallace, C.P.A. Rel. No. AAER-1846 See Order (public://migration/litigation/opinions/34-50480.htm) Release No. 34-48372, AAER-1846
Aug. 18, 2003	Rica Foods et. al. Release No. LR-18293, AAER-1844
Aug. 18, 2003	John J. Canepa, CPA Release No. 34-48224A, AAER-1819A
Aug. 14, 2003	Peregrine Systems, Inc. Release No. LR-18290, AAER-1845
Aug. 14, 2003	Peter Bromberg, C.P.A. Release No. 34-48337, AAER-1842
Aug. 14, 2003	Gary L. Atnip C.P.A. Release No. 34-48341, AAER-1843
Aug. 13, 2003	Steven L. Hunt, Esq. Release No. 34-48330, AAER-1840
Aug. 13, 2003	Richard P. Scalzo, C.P.A. Release No. 34-48328, AAER-1839
Aug. 12, 2003	Morris Weissman Release No. LR-18283, AAER-1836
Aug. 12, 2003	Robert W. Armstrong, III Carol Fox Foelak, Administrative Law Judge Release No. 34-48326, AAER-1838
Aug. 12, 2003	Robert W. Armstrong, III Carol Fox Foelak, Administrative Law Judge Release No. 34-48325, AAER-1837
Aug. 8, 2003	Warren Martin, CPA Release No. 34-48311, AAER-1835
Aug. 7, 2003	David Andrew Hilton and Stephen Scott Lowber Release No. LR-18276, AAER-1833
Aug. 7, 2003	WorldCom, Inc. Release No. LR-18277, AAER-1834
Aug. 7, 2003	Cutter & Buck Inc. Release No. 34-48296, AAER-1832
Aug. 6, 2003	Oliver Hilsenrath and David S. Klarman Release No. LR-18275, AAER-1831
Aug. 5, 2003	Alexander H. Edwards, III Release No. LR-18271, AAER-1828
Aug. 5, 2003	SRI/Surgical Express, Inc., Wayne R. Peterson, and James T. Boosales Release No. 34-48282, AAER-1829
July 30, 2003	Richardson, et al. Release No. LR-18263, AAER-1826

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