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
Mobile TeleSystems PJSC
Release No. 34-85261, AAER-4028
Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA (Notice Regarding Correspondence)
Release No. 34-85250, AAER-4027
Arthur Viola
Release No. 34-85234, AAER-4025
See Also: Administrative Summary
DLL CPAS, LLC and Debra Lee Lindaman, CPA
Release No. 34-85233, AAER-4024
See Also: Administrative Summary
Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Order)
Release No. 34-85237, AAER-4026
David Pruitt, CPA (Order Denying Motion to Amend the Order Instituting Proceedings)
Release No. 34-85171, AAER-4023
Cognizant Technology Solutions Corporation
Release No. 34-85149, AAER-4021
Jeffrey M. Mattich
Release No. 34-85159, AAER-4022
Deloitte Touche Tohmatsu LLC, Futomichi Amano and Yuji Itagaki
Release No. 34-85115, AAER-4020
Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA
Release No. 34-85081, AAER-4019
Lifeway Foods, Inc.
Release No. 34-84995, AAER-4016
Digital Turbine, Inc.
Release No. 34-84998, AAER-4018
CytoDyn Inc.
Release No. 34-84994, AAER-4015
Grupo Simec S.A.B. de C.V.
Release No. 34-84996, AAER-4017
LBB & Associates Ltd., LLP Lopez, Carlos, CPA
Release No. 34-84983, AAER-4014
See Also: Administrative Summary
Katz, Sapper & Miller, LLP and Scott C. Price, CPA
Release No. 34-84980, IA-5100, AAER-4013
Hertz Global Holdings, Inc. and the Hertz Corporation
Release No. 33-10601, 34-84979, AAER-4012
See Also: Administrative Summary
ADT Inc.
Release No. 34-84956, AAER-4009
Polycom, Inc.
Release No. 34-84978, AAER-4011
See Also: Administrative Summary
Centrais Elétricas Brasileiras S.A.
Release No. 34-84973, AAER-4010
See Also: Administrative Summary
Aesoph, John J., CPA Bennett, Darren M., CPA
Release No. 34-84912, AAER-4006
Aesoph, John J., CPA Bennett, Darren M., CPA
Release No. 34-84911, AAER-4005
Mitchell J. Rubin, CPA and Michael Bernstein, CPA
Release No. 34-84921, AAER-4008
Crowe Horwath LLP, Joseph C. Macina, CPA and Kevin V. Wydra, CPA
Release No. 34-84920, AAER-4007
Paul A. Margis
Release No. 34-84849, AAER-4003
Takeshi "Tyrone" Uonaga
Release No. 34-84850, AAER-4004
Santander Consumer USA Holdings Inc.
Release No. 34-84829, AAER-4002
See Also: Administrative Summary
Lotus Bio-Technology Development Corporation
Release No. 34-84785, AAER-4001
Auscrete Corporation
Release No. 34-84782, AAER-3998
Frontier Oilfield Services, Inc.
Release No. 34-84784, AAER-4000
The Hain Celestial Group, Inc.
Release No. 34-84781, AAER-3997
Eastgate Biotech Corporation
Release No. 34-84783, AAER-3999
Agria Corporation
Release No. 34-84763, AAER-3996
KCAP Financial, Inc.
Release No. 34-84718, IC-33314, AAER-3995
See Also: Administrative Summary
Vantage Drilling International
Release No. 34-84617, AAER-3994
See Also: Administrative Summary
Pyxus International, Inc.
Release No. 34-84562, AAER-3993
See Also: Administrative Summary
Richard J. Bertuglia, CPA, John W. Green, CPA and Lev Nagdimov, CPA
Release No. 34-84419, AAER-3992
See Also: Administrative Summary
Stryker Corporation
Release No. 34-84308, AAER-3990
Mota Group, Inc. and Mota "Michael" Faro
Release No. 33-10564, AAER-3991
See Also: Administrative Summary
Petróleo Brasilerio and S.A. - Petrobras
Release No. 33-10561, 34-84205, AAER-3989
Dhru Desai
Release No. 34-84291, AAER-3988
Lichter, Yu and Associates, Inc., et al.
Release No. 34-84281, AAER-3987
James Douglas Miller
Release No. LR-24282, AAER-3986
See Also: SEC Complaint
Cardiff Lexington Corporation (f/k/a Cardiff International, Inc.)
Release No. 34-84258, AAER-3981
Primoris Services Corporation
Release No. 34-84251, AAER-3978
See Also: Administrative Summary
Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr
Release No. 33-10558, AAER-3980
See Also: Administrative Summary
Dennis W. Hamilton, CPA
Release No. 34-84252, AAER-3979
First Hartford Corporation
Release No. 34-84262, AAER-3984
Dasan Zhone Solutions, Inc.
Release No. 34-84261, AAER-3983
Infrax Systems, Inc.
Release No. 34-84263, AAER-3985
Cool Technologies, Inc.
Release No. 34-84260, AAER-3982
Barrett Business Services, Inc. and Mark Cannon, CPA
Release No. 33-10557, 34-84233, AAER-3977
Bruton, Karen, CPA
Release No. 34-84198, AAER-3973
Robert Torino
Release No. 34-84206, AAER-3975
Nasir Shakouri
Release No. 34-84205, AAER-3974
Bronson L. Quon, CPA
Release No. 34-84207, AAER-3976
Wolf, Jennifer F., CPA
Release No. 34-84131, AAER-3972
Holthouse Carlin & Van Trigt LLP
Release No. 34-84118, IA-5008, AAER-3970
See Also: Administrative Summary
Adam C. Wasserman
Release No. LR-24265, AAER-3971
See Also: SEC Complaint
Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
Release No. 34-84055, AAER-3969
Joohyun Bahn and a/k/a Dennis Bahn
Release No. 34-84054, AAER-3968
John Pierrard
Release No. 34-84024, AAER-3967
Sanofi
Release No. 34-84017, AAER-3964
Joanne K. Viard, CPA
Release No. 34-84023, AAER-3966
Michael J. Kipp
Release No. 34-84022, AAER-3965
Philip R. Jacoby, Jr.
Release No. 34-84010, AAER-3963
David Michael Naylor, CPA
Release No. 34-83993, AAER-3962
Legg Mason, Inc.
Release No. 34-83948, AAER-3961
Joseph Jennings, CPA
Release No. 34-83889, AAER-3960
See Also: Administrative Summary
Daniel H. Glick, CPA
Release No. 34-83883, AAER-3959
Citigroup Inc.
Release No. 34-83858, AAER-3958
Lauren Zarsky, CPA
Release No. 34-83854, AAER-3957
Ernst & Young LLP, et al.
Release No. 34-83807, AAER-3956
Daniel M. Fitzpatrick, CPA
Release No. 34-83806, AAER-3955
Kevin M. Modany, CPA
Release No. 34-83805, AAER-3954
Kurt J. Bordian, CPA
Release No. 34-83772, AAER-3953
Jay C. Lake, CPA
Release No. 33-10519, 34-83655, AAER-3952
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No. 34-83622, AAER-3951
Patrick J. Gray
Release No. 34-83620, AAER-3950
Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA
Release No. 33-10517, 34-83612, AAER-3949
See Also: Administrative Summary
Credit Suisse Group AG
Release No. 34-83593, AAER-3948
Axesstel, Inc., et al.
Release No. LR-24181, AAER-3945
See Also: SEC Complaint
Beam Inc., n/k/a Beam Suntory Inc.
Release No. 34-83575, AAER-3944
See Also: Administrative Summary
The Dow Chemical Company
Release No. 34-83581, AAER-3947
See Also: Administrative Summary
KBR, Inc.
Release No. 33-10516, 34-83578, AAER-3946
RSM US LLP
Release No. 34-83428, AAER-3943
See Also: Administrative Summary
Michael J. Mona, Jr.
Release No. 34-83391, AAER-3942
Winter, Kloman, Moter & Repp, S.C., et al.
Release No. 34-83168, IA-4906, AAER-3939
Philip A. Pendergraft, et al.
Release No. 34-83169, AAER-3940 , AAER-3940
David T. Leboe, CPA
Release No. 34-83170, AAER-3941
Panasonic Corporation
Release No. 34-83128, AAER-3938
Altaba Inc. and f/d/b/a Yahoo! Inc.
Release No. 33-10485, 34-83096, AAER-3937
The Dun & Bradstreet Corporation
Release No. 34-83088, AAER-3936
See Also: Administrative Summary
Medifirst Solutions, Inc. and Bruce J. Schoengood
Release No. 34-83067, AAER-3935
See Also: Administrative Summary
Li, Company, PC and Tony Zhicong Li, CPA
Release No. 33-10482, 34-83036, AAER-3934
Philip John James, CA and Kevin Silverwood, CA
Release No. 33-10478, 34-83017, AAER-3933
Maxwell Technologies, Inc., et al.
Release No. 33-10472, 34-82950, AAER-3932
Akorn, Inc., Timothy Dick, and David Hebeda
Release No. LR-24082, AAER-3931
See Also: SEC Complaint
Kinross Gold Corporation
Release No. 34-82946, AAER-3930
KPMG Inc.
Release No. 34-82860, AAER-3927
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