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 descending	Respondents
Nov. 23, 2016	Stephen Hozie Release No. 34-79397, AAER-3832
Nov. 21, 2016	Grassi & Co., CPAs and P.C. Release No. 34-79368, IA-4572, AAER-3826 See Also: Administrative Summary
Nov. 21, 2016	PMB Helin Donovan, LLP, Christopher Bauer, CPA and Jeffrey Jamieson, CPA Release No. 34-79364, AAER-3825
Nov. 21, 2016	Gary R. Purwin, CPA Release No. 34-79369, IA-4573, AAER-3827
Nov. 17, 2016	JP Morgan Chase & Co. Release No. 34-79335, AAER-3824
Nov. 15, 2016	Christopher Egan Release No. 33-10256, AAER-3823 See Also: Administrative Summary
Nov. 7, 2016	Powersecure International, Inc. Release No. 34-79256, AAER-3822
Oct. 31, 2016	Beamish, Adrian D., CPA Release No. 34-79193, AAER-3820
Oct. 31, 2016	Domenick F. Consolo, CPA and PKF O'Connor Davies, LLP Release No. 33-10242, 34-79196, AAER-3821
Oct. 27, 2016	BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan Kelly A., CPA Bedwell, Robert P., CPA Release No. 34-79176, AAER-3819
Oct. 24, 2016	David S. Hall, P.C. d/b/a the Hall Group CPAs, et al. Release No. 34-79147, AAER-3818
Oct. 21, 2016	Julianne M. Chandler Release No. 34-79137, AAER-3817
Oct. 20, 2016	FMC Technologies, Inc., Jeffrey Favret, CPA and Steven K. Croft, CPA Release No. 34-79127, AAER-3816
Oct. 19, 2016	Aronson, David A., CPA Release No. 34-79120, AAER-3815
Oct. 18, 2016	Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Release No. 34-79109, AAER-3814
Sept. 30, 2016	Steven M. Brazile, CPA Release No. 34-79021, AAER-3813 See Also: Administrative Summary
Sept. 30, 2016	GlaxoSmithKline plc Release No. 34-79005, AAER-3810 See Also: Administrative Summary
Sept. 30, 2016	Steven M. Brazile, CPA Release No. 34-79020, IA-4544, AAER-3812 See Also: Administrative Summary
Sept. 30, 2016	D'Arelli Pruzansky, et al. Release No. 34-79004, AAER-3809
Sept. 30, 2016	Alan Ritter, CPA Release No. 34-79019, AAER-3811 See Also: Administrative Summary
Sept. 28, 2016	Anheuser-Busch InBev SA/NV Release No. 34-78957, AAER-3808
Sept. 27, 2016	Weatherford International PLC, et al. Release No. 33-10221, 34-78944, AAER-3806
Sept. 27, 2016	Orrstown Financial Services, Inc., et al. Release No. 33-10222, 34-78947, AAER-3807 See Also: Administrative Summary
Sept. 21, 2016	Robert A. Waegelein, CPA Release No. 34-78897, AAER-3805 See Also: Administrative Summary
Sept. 21, 2016	Park National Corporation Release No. 34-78896, AAER-3804 See Also: Administrative Summary
Sept. 19, 2016	Ernst & Young LLP and Gregory S. Bednar, CPA Release No. 34-78872, AAER-3802
Sept. 19, 2016	Ernst & Young LLP, et al. Release No. 34-78873, AAER-3803
Sept. 16, 2016	Dittman, Scott M., CPA Release No. 33-10211, 34-78864, AAER-3801
Sept. 13, 2016	Portugal Telecom, et al. Release No. 34-78824, AAER-3799
Sept. 13, 2016	Jun Ping Zhang Release No. 34-78825, AAER-3800 See Also: Administrative Summary
Aug. 30, 2016	AstraZeneca PLC Release No. 34-78730, AAER-3798 See Also: Administrative Summary
Aug. 29, 2016	Thomas Dulek, CPA Release No. 34-78711, AAER-3797 See Also: Administrative Summary
Aug. 24, 2016	Lynn Tilton, et al. (Order Denying Petition for Interlocutory Review and Petition to Apply the Commission's Amended Rules of Practice) Release No. IA-4495, IC-32236, AAER-3796
Aug. 17, 2016	Maiher, Jason Release No. 34-78607, AAER-3795 See Also: Administrative Summary
Aug. 11, 2016	Key Energy Services, Inc. Release No. 34-78558, AAER-3794 See Also: Administrative Summary
July 26, 2016	Yi Chen, CPA Release No. 34-78413, AAER-3793 See Also: Administrative Summary
July 25, 2016	LAN Airlines S.A. Release No. 34-78402, AAER-3792
July 22, 2016	EFP Rotenberg, LLP and Nicholas Bottini, CPA Release No. 34-78393, AAER-3790
July 22, 2016	James M. Schneider, CPA Release No. 34-78395, AAER-3791
July 15, 2016	The Phoenix Companies, Inc. Release No. 34-78341, AAER-3789 See Also: Administrative Summary
July 11, 2016	Blair D. Ackman, CPA Release No. 34-78273, IA-4447, AAER-3788
July 8, 2016	Toni Tong Chen, CPA Release No. 34-78270, AAER-3787
June 28, 2016	David Rivard Release No. LR-23585, AAER-3786
June 23, 2016	Quintanilla, Timothy, CPA Release No. 34-78145, AAER-3785
June 21, 2016	Analogic Corporation and Lars Frost Release No. 34-78113, AAER-3784
June 10, 2016	ICON Capital LLC f/k/a ICON Capital Corporation Release No. 34-78030, AAER-3783 See Also: Administrative Summary
June 8, 2016	IEC Electronics Corp., Ronald J. Years, CPA and Donald S. Doody Release No. 34-78017, AAER-3782
June 7, 2016	Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 33-10090, 34-78008, AAER-3779
June 7, 2016	Frazer Frost LLP Woo, Susan, CPA Suen, Miranda, CPA Release No. 33-10092, 34-78010, AAER-3781
June 7, 2016	Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 33-10089, 34-78007, AAER-3778
June 7, 2016	Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 33-10091, 34-78009, AAER-3780
June 6, 2016	Silberstein Ungar PLLC, et al. Release No. 34-77997, AAER-3777 See Also: Administrative Summary
June 1, 2016	Jane E. Starrett, CPA Release No. 33-10085, 34-77967, AAER-3776
May 24, 2016	Swisher Hygiene Inc. Release No. 33-10081, 34-77887, AAER-3775
May 20, 2016	Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-77882, AAER-3774
May 2, 2016	MaloneBailey, LLP and Jay Phillip Norris, CPA Release No. 34-77755, AAER-3773 See Also: Administrative Summary
April 29, 2016	Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA Release No. 34-77745, IA-4380, AAER-3772
April 26, 2016	Hall, David S., P.C. d/b/a the Hall Group CPAs Hall, David S., CPA Cochran, Michelle L. Helterbran, CPA Cisneros, Susan A. Release No. 34-77718, AAER-3771
April 26, 2016	Cabela's Incorporated and Ralph W. Castner, CPA Release No. 34-77717, AAER-3770 See Also: Administrative Summary
April 21, 2016	Timothy Quintanilla, CPA (Order Denying Motion to Lift Temporary Suspension and Directing That a Hearing Be Held) Release No. 34-77683, AAER-3769
April 20, 2016	Laura P. Messenbaugh, CPA Release No. 34-77657, AAER-3768
April 19, 2016	Robert D. Hesselgesser, CPA Release No. 34-77646, AAER-3767
April 19, 2016	Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA Release No. 34-77644, AAER-3765
April 19, 2016	Ener1, Inc., et al. Release No. 33-10068, 34-77645, AAER-3766
April 12, 2016	INTL FCStone Inc. Release No. 34-77596, AAER-3764
April 6, 2016	Thakkar CPA, PLLC, et al. Release No. 34-77542, AAER-3763
April 5, 2016	James A. White Release No. 34-77532, AAER-3762
March 30, 2016	Burrill Capital Management, et al. Release No. 34-77473, AAER-3761, IA-4360, IC-32060
March 25, 2016	Berman, Elliot R., CPA Berman & Company, P.A. Release No. 34-77447, AAER-3760 See Also: Administrative Summary
March 23, 2016	Novartis AG Release No. 34-77431, AAER-3759 See Also: Administrative Summary
March 15, 2016	ModusLink Global Solutions, et al. Release No. 33-10055, 34-77372, AAER-3758 See Also: Administrative Summary
March 10, 2016	Wayne Gray, CPA Release No. 34-77343, AAER-3754
March 10, 2016	Magnum Hunter Resources Corporation Release No. 34-77345, AAER-3756
March 10, 2016	Joseph R. Allred, CPA Release No. 34-77342, AAER-3753
March 10, 2016	David S. Krueger, CPA Release No. 34-77344, AAER-3755
March 10, 2016	Ronald D. Ormand Release No. 34-77346, AAER-3757
March 9, 2016	Westlands Water District, Thomas W. Birmingham and Louie David Ciapponi Release No. 33-10053, AAER-3752
March 1, 2016	Qualcomm Incorporated Release No. 34-77261, AAER-3751
Feb. 29, 2016	Keybanc Capital Markets Inc. Release No. 34-77254, AAER-3750
Feb. 25, 2016	Quintanilla, Timothy, CPA Release No. 34-77231, AAER-3748
Feb. 24, 2016	David S. Lee, Esq., CPA Release No. 34-77224, IA-4344, AAER-3747
Feb. 23, 2016	Maiher, Jason Release No. 34-77207, AAER-3746
Feb. 17, 2016	Julieta Favela Barcenas Release No. 34-77162, AAER-3745
Feb. 17, 2016	Donald J. Glidewell, CPA Release No. 34-77161, AAER-3744
Feb. 16, 2016	PTC Inc. Release No. 34-77145, AAER-3743 See Also: Deferred Prosecution Agreement for Yu Kai Yuan
Feb. 11, 2016	Frazer Frost LLP Woo, Susan, CPA Suen, Miranda, CPA Release No. 33-10039, 34-77114, AAER-3742 See Also: Administrative Summary
Feb. 9, 2016	Monsanto Company, et al. Release No. 33-10037, 34-77087, AAER-3741
Feb. 5, 2016	BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan Kelly A., CPA Bedwell, Robert P., CPA Release No. 33-10036, 34-77073, AAER-3740
Feb. 4, 2016	SciClone Pharmaceuticals, Inc. Release No. 34-77058, AAER-3739 See Also: Administrative Summary
Feb. 4, 2016	Ignacio Cueto Plaza Release No. 34-77057, AAER-3738 See Also: Administrative Summary
Feb. 1, 2016	SAP SE Release No. 34-77005, AAER-3736
Jan. 27, 2016	Andrew M. Miller Release No. LR-23454, AAER-3734
Jan. 27, 2016	Lee, Justin Moongyu, Esq., CPA Release No. 34-76978, AAER-3735
Jan. 20, 2016	Ocwen Financial Corp. Release No. 34-76938, AAER-3733
Jan. 12, 2016	Reid A. Hackney, CPA Release No. 34-76879, AAER-3732
Jan. 12, 2016	Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 33-10002, 34-76876, AAER-3731
Dec. 28, 2015	New Stream Capital, LLC, et al. Release No. LR-23440, AAER-3730
Dec. 22, 2015	Spicer Jeffries LLP Release No. 34-76734, AAER-3729
Dec. 16, 2015	Lee Cole, et al. Release No. LR-23431, AAER-3728
Dec. 14, 2015	Charles Loveless, CPA Release No. 34-76633, AAER-3726

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