SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Corporation Finance 
Enforcement 
Investment Mgmt. 
Econ. & Risk Analysis 
Trading and Markets 


Accounting and Auditing Enforcement Releases

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.

Search

Additional Archives

2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999

Second Quarter | First Quarter

Release No. Date Action
Second Quarter
AAER-3464 Jun. 14, 2013 Rosenberg Rich Baker Berman & Company and Brian Zucker, CPA
Other Release No.: 34-69765
AAER-3463 Jun. 7, 2013 China Natural Gas, Inc. and Qinan Ji
Other Release No.: LR-22719
AAER-3462 Jun. 3, 2013 PACCAR Inc, et al.
Other Release No.: LR-22711
AAER-3461 May 29, 2013 Total, S.A.
Other Release No.: 34-69654
AAER-3460 May 28, 2013 Stormy L. Dean
Other Release No.: 34-69645
AAER-3459 May 28, 2013 Rajnish K. Das
Other Release No.: 34-69644
AAER-3456 Apr. 24, 2013 Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa
Other Release No.: 34-69442
AAER-3454 Apr. 16, 2013 Parker Drilling Company
Other Release No.: LR-22672
AAER-3453 Apr. 9, 2013 James C. Fields, CPA
Other Release No.: 34-69353
AAER-3452 Apr. 5, 2013 Koninklijke Philips Electronics N.V.
Other Release No.: 34-69327
AAER-3451 Apr. 4, 2013 Colleen Erin Kelly Bishop (CPA)
Other Release No.: 34-69306
AAER-3450 Apr. 2, 2013 Eric J. Bur, CPA
Other Release No.: 34-69277
First Quarter
AAER-3449 Mar. 22, 2013 Joseph Grendys et al.
Other Release No.: LR-22657
AAER-3448 Mar. 5, 2013 Peak Wealth Opportunities, LLC, and David W. Dube, CPA
Other Release Nos.: 34-69036, IA-3562, IC-30414,
AAER-3447 Feb. 28, 2013 Keyuan Petrochemicals, Inc. and Aichun Li
Other Release No.: LR-22627
AAER-3446 Feb. 26, 2013 Fernando J. Espuelas et al.
Other Release No.: LR-22624
AAER-3445 Feb. 19, 2013 Michael Lowther, CPA
Other Release No.: 34-68949
AAER-3444 Feb. 6, 2013 Joseph J. Repko, CPA
Other Release No.: 34-68845
AAER-3443 Jan. 29, 2013 Lisa B. Hovan, CPA
Other Release No.: 34-68756; IA-3539
AAER-3442 Jan. 29, 2013 Brian D. Fox
Other Release No.: 34-68754
AAER-3441 Jan. 15, 2013 Kevin A. Howard, CPA
Other Release No.: 34-68661
AAER-3440 Jan. 11, 2013 Eric Ashman, CPA
Other Release No.: 34-68628
AAER-3439 Jan. 11, 2013 Volt Information Sciences, Inc. and Debra L. Hobbs and Jack J. Egan, Jr.
Other Release No.: LR-22589
AAER-3438 Jan. 9, 2013 Jimmie Dean Jones, CPA
Other Release No.: 34-68611
AAER-3437 Jan. 9, 2013 Edward J. Woodard, Jr., Cynthia A. Sabol, CPA and Stephen G. Fields
Other Release No.: LR-22587
AAER-3436 Jan. 9, 2013 John J. Aesoph, CPA, and Darren M. Bennett, CPA
Other Release No.: 34-68605
AAER-3435 Jan. 4, 2013 Kenneth J. Abod, CPA
Other Release No.: 34-68591

 

http://www.sec.gov/divisions/enforce/friactions.shtml
Contact | Employment | Links | FOIA | Forms | Privacy Policy
Modified: 06/14/2013