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
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	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. 25, 2003	Thomas C. Trauger and Michael Mullen Release No. 34-48543, AAER-1872
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	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. 11, 2003	Stephen D. Price Release No. 34-48485, AAER-1861
Sept. 11, 2003	Louis Lucullo Release No. 34-48476, AAER-1856
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	Gary L. Atnip C.P.A. Release No. 34-48341, AAER-1843
Aug. 14, 2003	Peter Bromberg, C.P.A. Release No. 34-48337, AAER-1842
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. 34-48325, AAER-1837
Aug. 12, 2003	Robert W. Armstrong, III Carol Fox Foelak, Administrative Law Judge Release No. 34-48326, AAER-1838
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
July 30, 2003	David S. Pearl, Esq. Release No. 34-48257, AAER-1827
July 29, 2003	Jay P. Gilbertson, C.P.A. Release No. 34-48248, AAER-1825
July 29, 2003	Philip L. Pascale, CPA Lillian A. McEwen, Administrative Law Judge Release No. 33-8259, 34-48247, AAER-1824
July 29, 2003	Michael J. Marrie, CPA and Brian L. Berry, CPA Rel. No.: AAER-1823 Release No. 34-48246, AAER-1823
July 28, 2003	J.P. Morgan Chase & Co. Release No. LR-18252, AAER-1820
July 28, 2003	Citigroup, Inc. Release No. 34-48230, AAER-1821
July 28, 2003	Barry C. Scutillo Rel. No.: AAER-1822 Release No. 34-48238, AAER-1822
July 24, 2003	John J. Canepa, CPA Release No. 34-48224, AAER-1819
July 23, 2003	RSA Security, Inc. Release No. 34-48214, AAER-1817
July 22, 2003	Jay Gilbertson, Albert Bergonzi and Dominick Derosa Release No. LR-18242, AAER-1818
July 22, 2003	Rent-Way, Inc., et al. Release No. LR-18241, AAER-1816
July 17, 2003	Arsin Corporation and Danis Yadegar-Mooshiabadi Release No. 34-48192, AAER-1815
July 16, 2003	Xaibe, Inc. and Lowell Nicholas Release No. 34-48182, AAER-1814
July 14, 2003	Carnegie International Corporation, et al. Release No. LR-18229, AAER-1813
July 7, 2003	WorldCom Inc. Release No. LR-18219, AAER-1811
July 7, 2003	Barry D. Romeril and Gregory B. Tayler Release No. 34-48134, AAER-1812
July 2, 2003	WorldCom Inc. Release No. LR-18210, AAER-1810
June 30, 2003	Peregrine Systems, Inc. Release No. LR-18205, AAER-1808
June 25, 2003	Robert C. Cloyd Release No. LR-18201, AAER-1806
June 25, 2003	Robert C. Cloyd Release No. 34-48085, AAER-1807
June 20, 2003	Henry C. Yuen and Elsie M. Leung Release No. LR-18199, AAER-1805
June 19, 2003	Alexander Ajemian, et al. Release No. LR-18195, AAER-1804
June 19, 2003	Robert Korkuc Release No. LR-18194, AAER-1803
June 16, 2003	Steven S. Spitzer Release No. LR-18191, AAER-1802
June 12, 2003	Terry W. Davis Release No. LR-18189, AAER-1801
June 12, 2003	Gene S. Foster, Jamie Olis and Helen C. Sharkey Release No. LR-18188, AAER-1800
June 6, 2003	Arthur A. Goodwin and William J. Burke Release No. LR-18180, AAER-1799
June 6, 2003	Debra D. Valice Release No. 34-47997, AAER-1798
June 5, 2003	Paul A. Allaire, G. Richard Thoman, Barry D. Romeril, Philip D. Fishbach, Daniel S. Marchibroda and Gregory B. Tayler Release No. LR-18174, AAER-1796
June 4, 2003	Charles W. McCall Release No. LR-18170, AAER-1792
June 4, 2003	Ramiro M. Fernandez-Moris, Daniel S. Lezak, and Ramiro Rafael ("Ray") Fernandez Release No. LR-18171, AAER-1793
June 4, 2003	Marc Rabinowitz, CPA Release No. 34-47979, AAER-1794
June 4, 2003	Kenneth Wilchfort, CPA Release No. 34-47981, AAER-1795
May 30, 2003	Umesh Malhotra, Paul Chopra, and David Manigault AAER Release No. LR-18162, AAER-1791
May 30, 2003	Umesh Malhotra Release No. 34-47947, AAER-1790
May 22, 2003	David R. Behanna, CPA Release No. 34-47907, AAER-1789
May 22, 2003	Philip G. Hirsch, CPA Release No. 34-47901, AAER-1788
May 22, 2003	PricewaterhouseCoopers LLP Release No. 34-47900, AAER-1787
May 21, 2003	Minuteman International, Inc., Gregory J. Rau, Thomas J. Nolan, and David L. Markison Release No. 34-47894, AAER-1786
May 19, 2003	WorldCom Inc. Release No. LR-18147, AAER-1785
May 16, 2003	Stephen L. Holden, Scott P. Skooglund, Kuldershan S. Padda, and Stephan C. Beal Release No. LR-18142, AAER-1784
May 15, 2003	Adam Gilburne Release No. LR-18139, AAER-1783
May 14, 2003	Gary L. Monroe, William J. Rauwerkink, John R. Messinger and Robert T. Bassman Release No. LR-18136, AAER-1781
May 14, 2003	Zimmerman Sign Companyand Jeffrey P. Johnson, CPA Release No. 34-47860, AAER-1782
May 12, 2003	Keith Pietila et al. Release No. LR-18131, AAER-1779
May 12, 2003	Reliant Resources, Inc. and Reliant Energy, Inc. Release No. 33-8232, 34-47828, AAER-1780
May 8, 2003	Eagle Building Technologies, Inc. and Anthony Damato Release No. LR-18127, AAER-1778
May 7, 2003	Andrx Corp. Release No. LR-18126, AAER-1777
May 7, 2003	Eddy L. Patterson Release No. LR-18125, AAER-1776
May 7, 2003	Nesco, Inc. Release No. 34-47808, AAER-1775
May 6, 2003	Andrx Corporation and Scott Lodin Release No. 34-47803, AAER-1773
May 6, 2003	Timothy E. Nolan Release No. 34-47802, AAER-1772
May 6, 2003	Michael R. Drogin, CPA Release No. 34-47804, AAER-1774
May 1, 2003	Kevin A. Howard, Michael W. Krautz, Kenneth D. Rice, Joseph Hirko, Kevin P. Hannon, Rex T. Shelby, and F. Scott Yeager Release No. LR-18122, AAER-1771
April 30, 2003	Lawrence O'Shaughnessy, Gary H. Klein, Gary K. Levi and Mark Tucker; Neil R. Cole Release No. LR-18120, AAER-1766
April 30, 2003	David M. Golden Release No. 33-8227, 34-47771, AAER-1769

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