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. 27, 2004	Frank D. Edwards, CA Release No. 34-50931, AAER-2156
Dec. 27, 2004	Laurence D. Cohen (CPA) Release No. 34-50932, AAER-2157
Dec. 22, 2004	Keith M. Roberts Release No. 34-50918, AAER-2155
Dec. 17, 2004	Jack D. Weiss Release No. LR-19002, AAER-2153
Dec. 17, 2004	Martin Julien Marks Release No. LR-19004, AAER-2154
Dec. 15, 2004	R. Geoffrey Layne, James S. Sholeff, Dale Boeth, and Shawn Mcghee Release No. LR-18999, AAER-2152
Dec. 15, 2004	Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA Release No. 34-50861, AAER-2151
Dec. 8, 2004	Richard Rambahal, et al. Release No. LR-18995, AAER-2150
Dec. 2, 2004	John Paul Orr, Michael J. Frank, Albert M. Abbood, Darrell Edquist, David C. Kirkpatrick, David N. Bixler, Thomas L. Taylor and Randall M. Stone Release No. LR-18989, AAER-2147
Dec. 2, 2004	Thomas L. Taylor Release No. 34-50783, AAER-2148
Nov. 30, 2004	American International Group, Inc. Release No. LR-18985, AAER-2145
Nov. 30, 2004	Evan S. Collins Release No. LR-18986, AAER-2146
Nov. 29, 2004	Charles A. Dairaghi, C.P.A. Release No. 34-50744, AAER-2143
Nov. 29, 2004	Bruce D. Oakes Release No. 34-50743, AAER-2142
Nov. 29, 2004	Kenneth L. Rubin, CPA and Michael W. Lewis, CPA Robert G. Mahony, Administrative Law Judge Release No. 34-50745, AAER-2144 See Also: the Order in this matter
Nov. 24, 2004	Paul H. Bristow and Nikhil Sinha Release No. LR-18981A, AAER-2141A
Nov. 23, 2004	Daniel S. Lezak Release No. 34-50729, AAER-2149 PDF version See Also: PDF version
Nov. 19, 2004	Paul H. Bristow and Nikhil Sinha Release No. LR-18981, AAER-2141
Nov. 19, 2004	eFunds Corporation Release No. 34-50706, AAER-2139
Nov. 19, 2004	Gary Moe and ID Integration Release No. 34-50705, AAER-2138
Nov. 19, 2004	Jerry K. Lester Release No. 34-50707, AAER-2140
Nov. 19, 2004	Robotic Vision Systems, Inc. Release No. 34-50704, AAER-2137
Nov. 15, 2004	Conrad M. Black, et al. Release No. LR-18969, AAER-2136
Nov. 15, 2004	Wesley H. Colwell, CPA, Release No. 34-50664, AAER-2135
Nov. 15, 2004	Fischer Imaging Corporation Release No. 33-8503, 34-50663, AAER-2134
Nov. 10, 2004	Steven Woghin, Esq. Release No. 34-50653, AAER-2133
Nov. 4, 2004	Morgan Stanley Release No. 34-50632, AAER-2132
Nov. 2, 2004	David Rivard; David Kaplan Release No. LR-18954, AAER-2131
Oct. 27, 2004	David Kaplan, CPA Release No. 34-50597, AAER-2129
Oct. 27, 2004	David Rivard, CPA Release No. 34-50598, AAER-2130
Oct. 25, 2004	Kenneth K. Livesay, et al. Release No. LR-18941, AAER-2128
Oct. 21, 2004	Qwest Communications International Inc. Release No. LR-18936, AAER-2127
Oct. 20, 2004	John Mervyn Nabors and Eric J. McCracken Release No. LR-18935, AAER-2126
Oct. 20, 2004	KPMG LLP, Bryan E. Palbaum, CPA, John M. Wong, CPA, Kenneth B. Janeski, CPA, David A. Hori, CPA Release No. 34-50564, AAER-2125
Oct. 13, 2004	Ture Roland Fahlin Release No. LR-18929, AAER-2124
Oct. 13, 2004	Ture Roland Fahlin Release No. 34-50519, AAER-2123
Oct. 12, 2004	Soulfood Concepts, Inc. and Markova Campbell Release No. LR-18928, AAER-2122
Oct. 6, 2004	Stephen P. Gardner, et al. Release No. LR-18919, AAER-2120
Oct. 6, 2004	Safescript Pharmacies, Inc., f/k/a RTIN Holdings, Inc., Curtis A. Swanson, Stanley L. Swanson, R. Stephen Cavender, And Curtis A. Borman Release No. LR-18921, AAER-2121
Sept. 30, 2004	Dean L. Buntrock, Phillip B. Rooney, James E. Koenig, Thomas C. Hau, Herbert A. Getz, and Bruce D. Tobecksen Release No. LR-18913, AAER-2116
Sept. 30, 2004	Jerry S. Chang Release No. LR-18914, AAER-2117
Sept. 30, 2004	Matthew M. Chiang Release No. LR-18915, AAER-2118
Sept. 29, 2004	Marcy Wilson Roke Release No. LR-18910, AAER-2115
Sept. 29, 2004	Donald M. Fitzpatrick and Thomas R. Stitt Release No. LR-18911, AAER-2114
Sept. 28, 2004	Don-Allen Ruttenberg Release No. LR-18908, AAER-2113
Sept. 28, 2004	Michael Martin and Malcolm E. McVay Release No. LR-18904, AAER-2111
Sept. 28, 2004	Jeremy R. Lent, John V. Hashman, Yinzi Cai, Douglas Wachtel and Bruce Rigione Release No. LR-18905, AAER-2112
Sept. 28, 2004	Sushil K. Garg and Garg Data International, Inc. Release No. LR-18903, AAER-2110
Sept. 24, 2004	James T. Dooley, James E. Lorenz, III and John E. Isselmann, Jr. Release No. LR-18896, AAER-2109
Sept. 23, 2004	John E. Isselmann, Jr. Release No. 34-50428, AAER-2108
Sept. 22, 2004	Daniel S. Lezak Release No. 34-50424, AAER-2107
Sept. 16, 2004	A.C.L.N., Ltd.; Abderrazak "ALDO" Labiad; Joseph J.H. Bisschops; Alex De Ridder; Pearlrose Holdings International S.A.; Emerald Sea Marine, Inc.; Scott Investments S.A.; BDO International (Cyprus); Minas Ioannou; Christakis Ioannou (Defendants); and Scandinavian Car Carriers A/S; Pandora Shipping, S.A.; Sergui, Ltd.; Westbound Development Corp.; Maverick Commercial, Inc.; and DCC Limited (Relief Defendants) Release No. LR-18888, AAER-2105
Sept. 15, 2004	Ed Johnson and Merl Holdings Inc.com Release No. LR-18885, AAER-2104
Sept. 15, 2004	McLeodUSA Incorporated Release No. 34-50385, AAER-2103
Sept. 14, 2004	Digital Exchange Systems, Inc., Rosario Coniglio and Steven Schmidt Release No. 33-8483, 34-50366, AAER-2099
Sept. 14, 2004	Dean Foods Company and John D. Robinson, Release No. 33-8486, 34-50368, AAER-2100
Sept. 14, 2004	Fleming Companies, Inc. Release No. 33-8482, 34-50365, AAER-2097
Sept. 14, 2004	Kemps LLC, f/k/a Marigold Foods, LLC, James Green andChristopher Thorpe Release No. 33-8485, 34-50369, AAER-2101
Sept. 10, 2004	Clayton Chan, Gregory Antoniono and Geoffrey Infeld Release No. LR-18880, AAER-2095
Sept. 10, 2004	Michael B. Johnson, Michael Johnson & Co., Llc, David C. Skinner, Jr. And American Television And Film Company F/K/A Winners Internet Network, Inc. Release No. LR-18879, AAER-2096
Sept. 8, 2004	John Gorman and Patrick Gentile Release No. LR-18871, AAER-2094
Sept. 8, 2004	John Gorman and Patrick Gentile Release No. 33-8481, 34-50329, AAER-2093
Sept. 1, 2004	Eric L. Mattson and James W. Harris Release No. LR-18863, AAER-2092
Aug. 31, 2004	Kevin P. Hannon, et al. Release No. LR-18862, AAER-2091
Aug. 26, 2004	U.S. Technologies, Inc. And C. Gregory Earls Release No. LR-18857, AAER-2090
Aug. 25, 2004	Aurora Foods, Inc., et al. Release No. LR-18851, AAER-2089
Aug. 25, 2004	Mark E. Koenig Release No. LR-18849, AAER-2088
Aug. 24, 2004	Athena Diaz Release No. LR-18848, AAER-2087
Aug. 24, 2004	Royal Dutch Petroleum Company and The "Shell" Transport and Trading Company, p.l.c. Release No. LR-18844, AAER-2086
Aug. 24, 2004	Royal Dutch Petroleum Company and The "Shell" Transport and Trading Co., p.l.c. Release No. 34-50233, AAER-2085
Aug. 23, 2004	Piranha, Inc., et al. Release No. LR-18842, AAER-2084
Aug. 23, 2004	Kenneth K. Livesay, et al. Release No. LR-18843, AAER-2083
Aug. 20, 2004	Kenneth K. Livesay, CPA Release No. 34-50225, AAER-2082
Aug. 12, 2004	Joseph Casuccio, CPA Release No. 34-50185, AAER-2079
Aug. 11, 2004	Gary L. Seidelman, CPA Release No. 34-50179, AAER-2078
Aug. 10, 2004	Peter C. Boylan Release No. LR-18826, AAER-2081
Aug. 9, 2004	Scott C. Anixter, et al. Release No. LR-18823, AAER-2077
Aug. 6, 2004	Bristol-Myers Squibb Company Release No. LR-18822, AAER-2080
Aug. 5, 2004	Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA Release No. 34-50148, AAER-2076
Aug. 4, 2004	Bristol-Myers Squibb Company Release No. LR-18820, AAER-2075
Aug. 3, 2004	William F. Buettner, Mark D. Kirstein and Amy S. Frazier Release No. LR-18818, AAER-2073
Aug. 3, 2004	Gary V. Morris, Halliburton Company and Robert Charles Muchmore, Jr. Release No. LR-18817, 34-50137, 33-8452, AAER-2074
Aug. 3, 2004	Ronald H. Hoffman Release No. 34-50135, AAER-2071
Aug. 3, 2004	Halliburton Company, and Robert Charles Muchmore, Jr. Release No. 33-8452, 34-50137, AAER-2072
Aug. 2, 2004	William F. Buettner, CPA Release No. 34-50134, AAER-2070
July 30, 2004	Kenneth D. Rice, et al. Release No. LR-18815, AAER-2068
July 29, 2004	Andrew J. Zahn, Philip J. Sexauer, and Cynthia K. Berryman Release No. LR-18809, AAER-2066
July 29, 2004	Timothy J. Buzzelli Release No. 34-50121, AAER-2067
July 28, 2004	Parmalat Finanziaria, S.p.A. Release No. LR-18803, AAER-2065
July 27, 2004	Michael Felicissimo Release No. LR-18800, AAER-2061
July 27, 2004	Michael Scrivo Release No. LR-18801, AAER-2063
July 27, 2004	Leslie Wasser, CPA Release No. 34-50096, AAER-2062
July 27, 2004	Charter Communications, Inc. Release No. 34-50098, AAER-2064
July 23, 2004	WorldCom, Inc. Release No. LR-18789, AAER-2059
July 23, 2004	Church Extension of the Church of God, Inc., United Management Services, Inc., James Perry Grubbs and Shearon Louis Jackson Release No. LR-18790, AAER-2060
July 22, 2004	Raymond A. Saitta, CPA Release No. 33-8450, 34-50062, AAER-2058
July 21, 2004	Mary Beth Stevens and Paul W. Oliver, Jr. Release No. 34-50053, AAER-2057
July 14, 2004	Paul Melvin Henson, Jr. and Lance Turner Fair Release No. LR-18733A, AAER-2028A
July 13, 2004	Ian Schottlaender Release No. LR-18782, AAER-2056
July 12, 2004	Levine, Hughes, and Mithuen, Inc. Release No. LR-18778, AAER-2055

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