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
Feb. 16, 2021	Edward T. Kelly, CPA Release No. 34-91131, AAER-4203
Feb. 2, 2021	Joseph Jackson and Colm Callan Release No. 33-10925, 34-91042, AAER-4202
Jan. 8, 2021	Deutsche Bank AG Release No. 34-90875, AAER-4201 See Also: Administrative Summary
Dec. 17, 2020	Mancera, et al. Release No. 34-90699, AAER-4198 See Also: Administrative Summary
Dec. 17, 2020	Jason Boling, CPA Release No. 34-90716, AAER-4200 See Also: Administrative Summary
Dec. 17, 2020	Laksha Bohra Release No. 34-90696, AAER-4197
Dec. 17, 2020	Apex Global Brands Inc. Release No. 33-10907, 34-90714, AAER-4199 See Also: Administrative Summary
Dec. 14, 2020	Belden Inc. and Dennis Wiser, CPA Release No. 33-10903, 34-90664, AAER-4196 See Also: Administrative Summary
Dec. 10, 2020	Mark E. Watson III Release No. 34-90630, AAER-4195 See Also: Administrative Summary
Dec. 9, 2020	General Electric Company Release No. 33-10899, 34-90620, AAER-4194
Nov. 6, 2020	Frank G. Mueller Release No. 34-90369, AAER-4193
Oct. 29, 2020	Steven L. Henning, CPA Release No. 34-90281, AAER-4192
Oct. 22, 2020	The Goldman Sachs Group, Inc. Release No. 34-90243, AAER-4191 See Also: Press Release No. 2020-265
Oct. 15, 2020	Andeavor LLC Release No. 34-90208, AAER-4190
Oct. 14, 2020	Allen Garner Release No. 34-90168, AAER-4188
Oct. 14, 2020	Daniel O'Neal Release No. 34-90167, AAER-4187
Oct. 14, 2020	James DePalma, CPA Release No. 34-90166, AAER-4186
Oct. 14, 2020	J&F Investimentos, S.A., JBS, S.A., Joesley Batista, Wesley Batista Release No. 34-90170, AAER-4189
Oct. 5, 2020	Hill International, Inc. et al. Release No. LR-24939, AAER-4185
Oct. 5, 2020	Nicholas Tornello, CPA Release No. 34-90089, AAER-4184
Sept. 30, 2020	BGC Partners, Inc. Release No. 33-10867, 34-90050, AAER-4181 See Also: Administrative Summary
Sept. 30, 2020	HP Inc. Release No. 33-10868, 34-90060, AAER-4183
Sept. 30, 2020	Hilton Worldwide Holdings Inc. Release No. 34-90052, AAER-4182
Sept. 29, 2020	Stephen Harrison Release No. 33-10862, 34-90044, AAER-4179
Sept. 29, 2020	Andrew Rooke Release No. 33-10861, 34-90043, AAER-4178
Sept. 29, 2020	Michael Schneider, CPA Release No. 33-10863, 34-90045, AAER-4180
Sept. 29, 2020	Manitex International, Inc. Release No. 33-10860, 34-90042, AAER-4177
Sept. 28, 2020	Raymon Holmdahl, CPA and Kanako Matsumoto, CPA Release No. 34-90025, AAER-4176
Sept. 28, 2020	Interface, Inc., et al. Release No. 33-10854, 34-90018, AAER-4175
Sept. 28, 2020	Fulton Financial Corporation Release No. 34-90017, AAER-4174
Sept. 25, 2020	Aeon Global Health Corp. Release No. 34-90003, AAER-4171 See Also: Administrative Summary
Sept. 25, 2020	Lam D. Ha, CPA Release No. 34-90010, AAER-4173 See Also: Administrative Summary
Sept. 25, 2020	James L. Thompson, CPA Release No. 34-90008, AAER-4172 See Also: Administrative Summary
Sept. 24, 2020	Revolution Lighting Technologies, Inc., et al. Release No. LR-24915, AAER-4170 See Also: SEC Complaint
Sept. 24, 2020	Power Solutions International, Inc. Release No. 34-89984, AAER-4169
Sept. 21, 2020	Steven L. Jenkins, CPA Release No. 34-89936, AAER-4168 See Also: Administrative Summary
Sept. 14, 2020	Henry Seth Brock, CPA Release No. 34-89861, AAER-4167
Sept. 4, 2020	SQN Capital Management, LLC Release No. IA-5573, AAER-4166 See Also: Administrative Summary
Aug. 28, 2020	Herbalife Nutrition Ltd. Release No. 34-89704, AAER-4165
Aug. 26, 2020	BorgWarner Inc. Release No. 34-89677, AAER-4164
Aug. 25, 2020	Super Micro Computer, Inc. Release No. 33-10822, 34-89656, AAER-4161
Aug. 25, 2020	Howard Hideshima Release No. 34-89657, AAER-4162
Aug. 25, 2020	Charles Liang Release No. 34-89658, AAER-4163
Aug. 14, 2020	Mark P. Frissora Release No. LR-24869, AAER-4160 See Also: SEC Complaint
Aug. 13, 2020	Brian Dee Matlock, CPA Release No. 34-89552, AAER-4159 See Also: Administrative Summary
Aug. 6, 2020	World Acceptance Corporation Release No. 34-89489, AAER-4158
Aug. 5, 2020	Dittman, Scott M., CPA Release No. 33-10816, AAER-4157
Aug. 4, 2020	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. 34-89475, AAER-4156
July 31, 2020	Valeant Pharmaceuticals International, Inc. and n/k/a Bausch Health Companies Inc. Release No. 33-10809, 34-89442, AAER-4153
July 31, 2020	Tanya R. Carro, CPA Release No. 33-10812, 34-89445, AAER-4155
July 31, 2020	J. Michael Pearson Release No. 33-10810, 34-89443, AAER-4154
July 15, 2020	Paul J. Konigsberg Release No. 34-89326, AAER-4152
July 2, 2020	Alexion Pharmaceuticals, Inc. Release No. 34-89214, AAER-4151
June 25, 2020	Novartis AG Release No. 34-89149, AAER-4150
June 23, 2020	Vereit, Inc. Release No. 33-10793, 34-89133, AAER-4149 See Also: Administrative Summary
June 18, 2020	PLS, CPA, et al. (Order) Release No. 34-89099, AAER-4148
June 5, 2020	Jana Faith Kiena, CPA Release No. 34-89023, AAER-4147 See Also: Administrative Summary
June 4, 2020	Argo Group International Holdings, Ltd. Release No. 34-89009, AAER-4146
June 3, 2020	Christopher D. Larson (CPA) Release No. 34-88998, AAER-4145
May 22, 2020	TSP Capital Management Group, LLC Release No. IA-5508, AAER-4144 See Also: Administrative Summary
May 18, 2020	Timothy Daly, CPA Release No. 34-88895, AAER-4141
May 18, 2020	John Donovan, CPA Release No. 34-88897, AAER-4143
May 18, 2020	Michael Bellach, CPA Release No. 34-88896, AAER-4142
May 12, 2020	TCA Fund Management Group Corp. and TCA Global Credit Fund GP, Ltd. Release No. LR-24815, AAER-4140
May 11, 2020	PLS, CPA, et al. (Order) Release No. 34-88851, AAER-4139
May 5, 2020	Jeffery A. Curran, CA Release No. 34-88808, AAER-4138
May 1, 2020	Todd H. Takeyasu, CA Release No. 34-88791, AAER-4134
May 1, 2020	PLS, CPA, et al. (Order Regarding Service) Release No. 34-88796, AAER-4136
April 28, 2020	Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab Release No. LR-24809, AAER-4133 See Also: SEC Complaint
April 28, 2020	William M. Aisenberg, CPA (Corrected) Release No. 34-88763, AAER-4132
April 28, 2020	Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. Release No. 34-88762, AAER-4132
April 24, 2020	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. 34-88739, AAER-4131 See Also: Administrative Summary
April 22, 2020	Robert J. Jesenik Release No. IA-5482, AAER-4126
April 22, 2020	Brian L. Ferdinand Release No. 33-10775, 34-88720, AAER-4127
April 22, 2020	Brian M. Storms Release No. 34-88724, AAER-4129
April 22, 2020	N. Scott Gillis, CPA Release No. IA-5484, AAER-4126
April 22, 2020	Kenneth D. Shifrin, CPA Release No. 34-88723, AAER-4128
April 22, 2020	Berman & Company, P.A., and Elliot Berman CPA, Berman, Elliot R., CPA Berman & Company, P.A. Release No. 34-88731, AAER-4130
April 17, 2020	James Arthur Young III Release No. 34-88680, IA-5481, AAER-4125
April 17, 2020	Eni S.p.A. Release No. 34-88679, AAER-4124 See Also: Administrative Summary
April 17, 2020	Brian Robert Sodi, CPA Release No. 34-88686, AAER-4125
April 16, 2020	Frazer Frost LLP Woo, Susan, CPA Suen, Miranda, CPA Release No. 34-88659, AAER-4123
April 15, 2020	Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP Release No. 34-88653, AAER-4122
April 8, 2020	Jeffrey D. Cordes et al. Release No. LR-24792, AAER-4121 See Also: SEC Complaint
March 20, 2020	Ronald Emma, CPA Release No. 34-88432, AAER-4120
March 12, 2020	David G. Dreslin, CPA Release No. 34-88377, AAER-4119
Feb. 28, 2020	Cardinal Health, Inc. Release No. 34-88303, AAER-4118
Feb. 26, 2020	RSM US LLP (f/k/a/ Mcgladrey LLP) Release No. 34-88287, AAER-4117 See Also: Administrative Summary
Feb. 6, 2020	LBB & Associates Ltd., LLP Lopez, Carlos, CPA Release No. 34-88140, AAER-4116 See Also: Administrative Summary
Jan. 27, 2020	Steven M. Des Champs, CPA Release No. 34-88048, AAER-4115
Jan. 16, 2020	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus, CPA (Corrected Order Granting Petitions for Review and Scheduling Briefs) Release No. 34-88001, AAER-4114
Jan. 15, 2020	Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA Release No. 34-87969, AAER-4112
Jan. 15, 2020	Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA Release No. 34-87970, AAER-4113
Jan. 3, 2020	Robert A. Karmann, CPA Release No. 34-87884, AAER-4111
Dec. 20, 2019	Quantum Corporation Release No. 34-87812, AAER-4110 See Also: Administrative Summary
Dec. 16, 2019	Tim Leissner Release No. 34-87750, IA-5418, IC-33715, AAER-4108
Dec. 12, 2019	Stonemor Partners L.P. and Stonemor GP LLC Release No. 34-87732, AAER-4107 See Also: Administrative Summary
Dec. 5, 2019	Warren Clamen, CPA Release No. 33-10730, 34-87661, AAER-4105
Dec. 5, 2019	Jatindar Kapur, CPA Release No. 33-10731, 34-87670, AAER-4106 See Also: Administrative Summary
Dec. 4, 2019	Raymon Holmdahl, CPA and Kanako Matsumoto, CPA Release No. 34-87657, AAER-4104

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