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 Respondents
Vicent C. Petrescu and Aka Vincen Petrescu, CPA
Release No. 34-93884, AAER-4278
Sequential Brands Group, Inc.
Release No. LR-25289, AAER-4277
WEX Inc.
Release No. 34-93753, AAER-4275
See Also: Administrative Summary
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Stay Order)
Release No. 34-93756, IA-5922, AAER-4276
Adam D. Bering, Esq.
Release No. 34-93749, AAER-4271
See Also: Administrative Summary
Philip S. Hurak, Esq.
Release No. 34-93751, AAER-4273
See Also: Administrative Summary
Alan C. Greenwell, CPA
Release No. 34-93750, AAER-4272
See Also: Administrative Summary
Scott D. Clark, CPA
Release No. 34-93752, AAER-4274
See Also: Administrative Summary
Monsanto Company, et al.
Release No. 34-93682, AAER-4270
ProPetro Holding Corp. and Dale Redman
Release No. 33-11008, 34-93645, AAER-4268
Shannon D. Doyle
Release No. 34-93647, AAER-4269
William Wright, CPA
Release No. 34-93568, AAER-4267
Douglas A. Roth
Release No. 34-93548, AAER-4266
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No. 34-93544, AAER-4265
Amyris, Inc.
Release No. 34-93341, AAER-4264
See Also: Administrative Summary
Robert D. Press
Release No. 33-10991, 34-93200, IA-5879, IC-34391, AAER-4263
Donna M. Silverman
Release No. 33-10990, IA-5878, AAER-4262
Reyes, Noe Corrales
Release No. 34-93136, AAER-4260
See Also: Administrative Summary
Velasco, Carlos Javier Moctezuma
Release No. 34-93135, AAER-4259
See Also: Administrative Summary
Ravindranathan Raghunathan, CPA and Craig A. Golding, CPA
Release No. 34-93133, AAER-4258
See Also: Administrative Summary
Bátiz, Ramón Lafarga
Release No. 34-93137, AAER-4261
See Also: Administrative Summary
WPP plc
Release No. 34-93117, AAER-4257
Peter Dichiara
Release No. 34-93101, AAER-4256
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order)
Release No. 34-93092, IA-5870, AAER-4255
John M. Williams
Release No. 34-93018, AAER-4254
Richard J. Koch, CPA
Release No. 34-93014, AAER-4253
Badree Komandur, et al.
Release No. 34-93012, AAER-4252
Brian Sweet, CPA (Notice That Initial Decision Has Become Final)
Release No. 34-93005, AAER-4251
Leonard R. Barr
Release No. 34-92944, AAER-4250
Paul L. Chancey, Jr. (Postponement Order)
Release No. 34-92939, AAER-4249
The Kraft Heinz Co. and Eduardo Pelleissone (Corrected)
Release No. 33-10977, 34-92874, AAER-4248
Pareteum Corporation
Release No. 33-10975, 34-92866, AAER-4247
See Also: Administrative Summary
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order)
Release No. 34-92859, IA-5844, AAER-4246
Jonathan Brett Woodard
Release No. 34-92835, AAER-4245
Healthcare Services Group, Inc., John C. Shea, CPA and Derya D. Warner
Release No. 33-10967, 34-92735, AAER-4244
Paul L. Chancey, Jr. (Protective Order)
Release No. 34-92734, AAER-4243
Knauth, Christopher E., CPA
Release No. 34-92675, AAER-4242
See Also: Administrative Summary
Gary S. Klein
Release No. 34-92611, AAER-4241
See Also: Administrative Summary
William G. Stiehl, CPA
Release No. 34-92539, AAER-4238
Ernst & Young LLP, et al.
Release No. 34-92540, AAER-4239
Paul L. Chancey, Jr. (Order)
Release No. 34-92551, AAER-4240
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order)
Release No. 34-92534, IA-5811, AAER-4237
Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA
Release No. 34-92514, AAER-4235
Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA
Release No. 34-92513, AAER-4234
Michael Mortimer
Release No. 34-92507, AAER-4233
Steven A. Splain, CPA
Release No. 34-92503, AAER-4232
Christopher E. Knauth, CPA (Protective Order)
Release No. 34-92482, AAER-4231
Tandy Leather Factory, Inc. and Shannon Greene, CPA
Release No. 34-92455, AAER-4228
Paul L. Chancey, Jr. (Order)
Release No. 34-92460, AAER-4230
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order Regarding Service)
Release No. 34-92458, IA-5784, AAER-4229
Shaun Greenwald, CPA
Release No. 34-92447, AAER-4227
Chancey, Paul L. Jr., CPA
Release No. 34-92378, AAER-4225
See Also: Administrative Summary
Stockman Kast Ryan & Co. LLP. Ellen S. Fisher, CPA; Kast, David H., CPA
Release No. 34-92382, IA-5773, AAER-4226
See Also: Administrative Summary
PLS,, CPA a Professional Corporation Pls a/k/a, CPAS Park, Chang G., CPA Park, a/k/a Changgeun Lee, Joseph Yongyun, CPA Lee, a/k/a Yong Yun Lee, Juchi, CPA Fernandez, a/k/a Juchi Lee Lee, Ju-Chi Lee, Ju Chi Lee, Sue
Release No. 34-92361, AAER-4224
See Also: Administrative Summary
Christopher E. Knauth, CPA (Order)
Release No. 34-92076, AAER-4223
PLS, CPA, et al. (Order)
Release No. 34-91983, AAER-4222
Christopher E. Knauth, CPA (Order)
Release No. 34-91799, AAER-4221
Under Armour, Inc.
Release No. 33-10940, 34-91741, AAER-4220
Rokk3r, Inc.
Release No. 34-91721, AAER-4217
ShiftPixy, Inc.
Release No. 34-91717, AAER-4214
HQDA Elderly Life Network, Inc. (Corrected)
Release No. 34-91723, AAER-4219
Igen Networks Corp.
Release No. 34-91719, AAER-4216
Trutankless, Inc.
Release No. 34-91716, AAER-4213
Daniels Corporate Advisory Company, Inc.
Release No. 34-91722, AAER-4218
Asta Funding, Inc.
Release No. 34-91718, AAER-4215
Fortem Resources, Inc.
Release No. 34-91715, AAER-4212
Christopher E. Knauth, CPA (Order)
Release No. 34-91615, AAER-4211
Martin Silver, CPA
Release No. IA-5723, AAER-4210
Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
Release No. 34-91536, AAER-4208
Christopher E. Knauth, CPA (Order Regarding Service)
Release No. 34-91540, AAER-4209
Knauth, Christopher E., CPA
Release No. 34-91475, AAER-4207
Gregory A. Wahl, CPA Michael Deutchman, CPA and Georgia Chung, CPA (Order Granting Petition for Review and Scheduling Briefs)
Release No. 34-91381, AAER-4206
Christopher L. Stanley, CPA
Release No. 34-91185, AAER-4204
Jennifer M. Stewart, CPA
Release No. 34-91186, AAER-4205
Edward T. Kelly, CPA
Release No. 34-91131, AAER-4203
Joseph Jackson and Colm Callan
Release No. 33-10925, 34-91042, AAER-4202
Deutsche Bank AG
Release No. 34-90875, AAER-4201
See Also: Administrative Summary
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