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
June 27, 2011	Dohan + Company CPA, Steven H. Dohan, CPA, Nancy L. Brown, CPA, and Erez Bahar, CA Carol Fox Foelak, Administrative Law Judge Release No. 420, 34-64970, AAER-3306 See Also: Finality Order, Release No. 34-64970
June 27, 2011	Peter L. Jensen and Thomas C. Tekulve, Jr. Release No. LR-22014, AAER-3301 See Also: SEC Complaint
June 22, 2011	Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.;James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Release No. 34-64720, IA-3218, IC-29704, AAER-3296
June 21, 2011	Paul R. Allen Release No. LR-22007, AAER-3295 See Also: SEC Complaint
June 16, 2011	Farkas; Brown; Kissick; Kelly Release No. LR-22002, AAER-3294
June 14, 2011	Huntington Bancshares, Inc.; Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA Release No. 34-64668, AAER-3291
June 14, 2011	Laurence D. Cohen (CPA) Release No. 34-64670, AAER-3293
June 14, 2011	Gregory Pasko, CPA Release No. 34-64669, AAER-3292
June 8, 2011	Edwin Reese Davis, Jr. CPA Release No. 34-64621, AAER-3290
June 7, 2011	Mark C. Schwartzhoff Release No. 34-64613, AAER-3289
June 6, 2011	Livingston & Haynes, P.C., Kevin F. Howley, CPA and William W. Wood, CPA Release No. 34-64607, AAER-3288
June 3, 2011	Michael C. Pattison, CPA Cameron Elliot, Administrative Law Judge Release No. 34-64598, AAER-3287
June 2, 2011	Carl W. Jasper, CPA Release No. 34-64588, AAER-3286
May 23, 2011	John Scullin Release No. 34-64535, AAER-3285
May 13, 2011	Thor Industries, Inc., and Mark C. Schwartzhoff Release No. LR-21966, AAER-3280 See Also: SEC Complaint
May 13, 2011	Peter DiSessa Release No. 34-64497, AAER-3282
May 13, 2011	George B. Doherty Release No. 34-64496, AAER-3281
May 13, 2011	GSI Group, Inc. Release No. 34-64498, AAER-3283
May 11, 2011	Michael Baker Corporation, John Scullin and Dennis Higgins Release No. LR-21962, AAER-3279 See Also: SEC Complaint
May 11, 2011	Michael Higgins, CPA Release No. 34-64471, AAER-3278
May 4, 2011	Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas Release No. LR-21957, AAER-3276 See Also: SEC Complaint
May 3, 2011	Aron R. Carr, CPA Release No. 34-64382, AAER-3275
May 3, 2011	Rockwell Automation, Inc. Release No. 34-64380, AAER-3274
April 21, 2011	Terry M. Phillips Release No. LR-21941, AAER-3273
April 20, 2011	Duane Martin and Gary Trump Release No. LR-21939, AAER-3272
April 19, 2011	Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling Release No. LR-21938, AAER-3271
April 14, 2011	Rebecca Lynn Higgins Release No. LR-21930, AAER-3270 See Also: SEC Complaint
April 11, 2011	Brian D. Fox Release No. LR-21926, AAER-3284 See Also: SEC Complaint
April 8, 2011	Johnson & Johnson Release No. LR-21922, AAER-3261 See Also: SEC Complaint
April 8, 2011	Kempisty & Company, Certified Public Accountants, P.C., Philip C. Kempisty, CPA, and John Anthony Rubino, CPA Release No. 34-64289A, AAER-3269A
April 8, 2011	Todd D. Chisholm, CPA Release No. 34-64279, AAER-3266
April 8, 2011	Yatin Dilip Mody, CPA Release No. 34-64272, AAER-3263
April 8, 2011	Kentucky Energy, Inc., Eugene Chiaramonte, III and Clear Mountain Associates, LLC Release No. 34-64288, AAER-3268
April 8, 2011	Jeffery Q. Johnson, CPA and Steven M. Hanni, CPA Release No. 34-64278, AAER-3265
April 8, 2011	Nicole Rae Kaplan, CPA Release No. 34-64271, AAER-3262
April 8, 2011	Chisholm, Bierwolf, Nilson & Morrill, LLC Release No. 34-64280, AAER-3267
April 8, 2011	Troy F. Nilson, CPA Release No. 34-64277, AAER-3264
April 5, 2011	Satyam Computer Services Limited d/b/a Mahindra Satyam Release No. LR-21915, AAER-3258 See Also: SEC Complaint
April 5, 2011	Michael C. Pattison, CPA Cameron Elliot, Administrative Law Judge Release No. 34-64190, AAER-3260
April 5, 2011	Marc E. Bercoon Release No. 34-64185, AAER-3259
April 5, 2011	Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta Release No. 34-64184, AAER-3257
April 1, 2011	Joseph J. Monterosso, et. al. Release No. LR-21913, AAER-3256
March 24, 2011	Ball Corporation Release No. 34-64123, AAER-3255
March 18, 2011	International Business Machines Corporation Release No. LR-21889, AAER-3254 See Also: SEC Complaint
March 11, 2011	Carl W. Jasper, CPA Release No. 34-64077, AAER-3253
March 9, 2011	Fernando J. Espuelas et al. Release No. LR-21880, AAER-3252
March 8, 2011	Sujata Sachdeva Release No. 34-64049, AAER-3251
March 4, 2011	Ian J. McCarthy Release No. LR-21873, AAER-3250
March 3, 2011	S. Blair Abernathy, CPA Release No. 34-64025, AAER-3249
Feb. 28, 2011	DHB Industries, Inc. n/k/a Point Blank Solutions, Inc.; Jerome Krantz, Cary Chasin, and Gary Nadelman Release No. LR-21867, AAER-3247
Feb. 28, 2011	KPMG Australia Release No. 34-63987, AAER-3248
Feb. 25, 2011	Scott Wilkinson, CPA Release No. 34-63982, AAER-3246
Feb. 22, 2011	Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA Release No. 34-63940, AAER-3245
Feb. 18, 2011	Joanne Kline Release No. 34-63928, AAER-3244
Feb. 11, 2011	Michael W. Perry and A. Scott Keys; and S. Blair Abernathy Release No. LR-21853, AAER-3277 See Also: SEC Complaint vs. Perry and Keys , SEC Complaint vs. Abernathy
Feb. 11, 2011	Dale G. Rasmussen, Esq. Release No. 34-63896, AAER-3243
Feb. 9, 2011	Arthrocare Corporation Release No. 34-63883, AAER-3242
Feb. 9, 2011	Rodney B. Johnson Release No. 34-63879, AAER-3241
Feb. 3, 2011	David E. Watson, CPA Release No. 34-63833, AAER-3240
Feb. 2, 2011	Louis E. Rivelli, et al. Release No. LR-21835, AAER-3238
Feb. 2, 2011	Deerfield Capital Corp. and Danielle Valkner, CPA Release No. 34-63818, AAER-3237
Feb. 2, 2011	Eric A. Holzer, CPA Release No. 34-63822, AAER-3239
Jan. 31, 2011	Maxwell Technologies Inc. Release No. LR-21832, AAER-3236 See Also: SEC Complaint
Jan. 24, 2011	Paul W. Jennings Release No. LR-21822, AAER-3235 See Also: SEC Complaint
Jan. 20, 2011	NutraCea, et al. Release No. LR-21819, AAER-3234 See Also: SEC Complaint
Jan. 20, 2011	Eric J. Bur, CPA Release No. 34-63743, AAER-3233
Jan. 20, 2011	Dohan + Company CPA, Steven H. Dohan, CPA, Nancy L. Brown, CPA, and Erez Bahar, CA Carol Fox Foelak, Administrative Law Judge Release No. 34-63740, AAER-3232
Jan. 14, 2011	Joseph D. Radcliffe and Michael J. Radcliffe Release No. LR-21814, AAER-3231
Jan. 13, 2011	Sujata Sachdeva, et. al. Release No. LR-21810, AAER-3230
Jan. 12, 2011	NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur; Stephen M. Kovzan Release No. LR-21809, AAER-3229 See Also: and Bur , SEC Complaint vs. Kovzan
Jan. 11, 2011	Michael R. Drogin Release No. LR-21804, AAER-3228 See Also: SEC Complaint
Jan. 11, 2011	Michael R. Drogin, CPA Release No. 34-63690, AAER-3227
Jan. 10, 2011	Hudson Highland Group, Inc. Release No. 34-63688, AAER-3226
Jan. 7, 2011	Carl W. Jasper, CPA Release No. 34-63674, AAER-3224
Jan. 7, 2011	Eric Sieracki (CPA) Release No. 34-63682, AAER-3225
Jan. 6, 2011	Joseph M. Braas and Michael J. Schlager Release No. LR-21797, AAER-3223 See Also: SEC Complaint
Dec. 22, 2010	James M. Schneider, CPA Release No. 34-63600, AAER-3222
Dec. 20, 2010	Joseph M. Elles Release No. LR-21784, AAER-3219 See Also: SEC Complaint
Dec. 20, 2010	Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA Release No. 33-9166, AAER-3221
Dec. 20, 2010	Milan Belans (CPA) Release No. 34-63578, AAER-3220
Dec. 16, 2010	Alvin L. Dahl, CPA Release No. 34-63560, AAER-3218
Dec. 10, 2010	Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan Release No. LR-21769, AAER-3217 See Also: SEC Complaint
Dec. 8, 2010	Paul R. Beckwith (CPA) Release No. 34-63473, AAER-3216
Nov. 23, 2010	Jacob (“Kobi”) Alexander, et al. Release No. LR-21753, AAER-3215
Nov. 22, 2010	Catherine Rozanski (CPA) Release No. 34-63356, AAER-3214
Nov. 10, 2010	LocatePlus Holdings Corporation Release No. LR-21735, AAER-3213 See Also: SEC Complaint
Nov. 9, 2010	Duane Martin and Gary Trump Release No. LR-21733, AAER-3212
Nov. 5, 2010	Randall D. Imhoff (CPA) Release No. 34-63263, AAER-3209
Nov. 5, 2010	Leslie L. Jackson, CPA Release No. 34-63265, AAER-3211
Nov. 5, 2010	Nicholas A. R. Dunning, ACA Release No. 34-63262, AAER-3208
Nov. 5, 2010	Robert W. Davis (CPA) Release No. 34-63264, AAER-3210
Nov. 4, 2010	Tidewater Inc. Release No. LR-21729, AAER-3207 See Also: SEC Complaint
Nov. 4, 2010	GlobalSantaFe Corp. Release No. LR-21724, AAER-3201 See Also: SEC Complaint
Nov. 4, 2010	Panalpina, Inc. Release No. LR-21727, AAER-3205 See Also: SEC Complaint
Nov. 4, 2010	Transocean Inc. Release No. LR-21725, AAER-3202 See Also: SEC Complaint
Nov. 4, 2010	Noble Corporation Release No. LR-21728, AAER-3206 See Also: SEC Complaint
Nov. 4, 2010	Pride International, Inc. Release No. LR-21726, AAER-3203 See Also: SEC Complaint
Nov. 4, 2010	Royal Dutch Shell plc and Shell International Exploration and Production Inc. Release No. 34-63243, AAER-3204
Oct. 22, 2010	Gately & Associates, LLC and James P. Gately, CPA (Order Terminating Stay) Release No. 34-63167, AAER-3200
Oct. 21, 2010	Office Depot, Inc. Release No. LR-21703, AAER-3199

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Accounting and Auditing Enforcement