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



Accounting and Auditing Enforcement Releases Archive: 2007

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.

Additional Archives

2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999

Fourth Quarter | Third Quarter | Second Quarter | First Quarter


Release No. Date Action
Fourth Quarter
AAER-2762 Dec. 31, 2007 Joseph F. Apuzzo
Other Release No.: LR-20418
See also: Complaint in this matter
AAER-2761 Dec. 27, 2007 Richard E. Sellers, CPA, and Lester Rex Andersen, CPA
Other Release No.: 34-57053
AAER-2760 Dec. 21, 2007 Lucent Technologies Inc.
Other Release No.: LR-20414
See also: Complaint in this matter
AAER-2759 Dec. 20, 2007 Gregory B. Tayler, CA
Other Release No.: 34-57008
AAER-2758 Dec. 19, 2007 Santo C. Maggio
Other Release No.: LR-20405
See also: Complaint in this matter
AAER-2757 Dec. 12, 2007 Michael J. Nolan
Other Release No.: LR-20396
See also: Complaint in this matter
AAER-2756 Dec. 11, 2007 Anthony P. Dolanski
Other Release No.: 34-56942
AAER-2755 Dec. 11, 2007 Thomas J. Saiz, and Calderon, Jaham & Osborn, An Accountancy Corporation
Other Release No.: LR-20394
See also: Complaint in this matter
AAER-2754 Dec. 6, 2007 William W. McGuire, M.D.
Other Release No.: LR-20387
See also: Complaint in this matter
AAER-2753 Nov. 26, 2007 Joseph J. Monterosso and Luis E. Vargas
Other Release No.: LR-20371
See also: Complaint in this matter
AAER-2752 Nov. 26, 2007 Chancellor Corporation, et. al.
Other Release No.: LR-20370
AAER-2751 Nov. 26, 2007 Michael J. Pietrzak and Maurice W. Furlong
Other Release No.: LR-20369
See also: Complaint in this matter
AAER-2750 Nov. 8, 2007 James N. Stanard, Martin J. Merritt and Michael W. Cash
Other Release No.: LR-20360
AAER-2749 Nov. 6, 2007 Warren Martin, CPA
Other Release No.: 34-56755
AAER-2748 Oct. 30, 2007 Ramoil Management Ltd. et al.
Other Release No.: LR-20350
AAER-2747 Oct. 25, 2007 Fred Gold, CPA
Other Release No.: 34-56705
AAER-2746 Oct. 25, 2007 David H. Brooks
Other Release No.: LR-20345
See also: Complaint in this matter
AAER-2745 Oct. 19, 2007 Fred Gold, et al
Other Release No.: LR-20342
AAER-2744 Oct. 18, 2007 MQ Associates, Inc.
Other Release No.: 34-56674
AAER-2743 Oct. 18, 2007 Thomas C. Gentry, C.P.A.
Other Release No.: 34-56673
AAER-2742 Oct. 17, 2007 Cedric Kushner Promotions, Inc., et al.
Other Release No.: LR-20337
AAER-2741 Oct. 17, 2007 Urs Kamber, Stephan Husi and Richard Jon May
Other Release No.: LR-20336
See also: Complaint in this matter
AAER-2740 Oct. 15, 2007 Nortel Networks Corporation and Nortel Networks Limited
Other Release No.: LR-20333
See also: Complaint in this matter
AAER-2739 Oct. 2, 2007 Robert D. Doty, Jr. and Gene S. Foster, et al.
Other Release No.: LR-20320
Third Quarter
AAER-2738 Sep. 28, 2007 Jamie Olis, CPA
Other Release No.: 34-56578
AAER-2737 Sep. 28, 2007 Gene S. Foster
Other Release No.: 34-56577
AAER-2736 Sep. 28, 2007 Robert D. Doty, Jr.
Other Release No.: 34-56576, 33-8855
AAER-2735 Sep. 28, 2007 Helen C. Sharkey, CPA
Other Release No.: 34-56575
AAER-2734 Sep. 28, 2007 Walter Cercavschi, CPA
Other Release No.: 34-56574
AAER-2733 Sep. 27, 2007 Bruce D. Kay, CPA
Other Release No.: 34-56562
AAER-2732 Sep. 27, 2007 Robert J. Gagalis, CPA
Other Release No.: 34-56561
AAER-2731 Sep. 27, 2007 Hor Chong (David) Boey, CPA
Other Release No.: 34-56560
AAER-2730 Sep. 27, 2007 Tidewater Inc., and James Keith Lousteau, CPA
Other Release No.: 34-56557
AAER-2729 Sep. 27, 2007 Robert C. Dean
Other Release No.: 33-8850
AAER-2728 Sep. 27, 2007 Federal Home Loan Mortgage Corporation, et al.
Other Release No.: LR-20304
See also: Complaint in this matter; Administrative Proceeding 33-8850
AAER-2727 Sep. 26, 2007 Bristow Group Inc.
Other Release No.: 34-56533
AAER-2726 Sep. 25, 2007 Chandramowli Srinivasan
Other Release No.: LR-20296
See also: Complaint in this matter; Administrative Proceeding 34-56519
AAER-2725 Sep. 25, 2007 Electronic Data Systems Corporation
Other Release No.: 34-56519
Note: See also Litigation Release No. 20296
AAER-2724 Sep. 20, 2007 James M. Materna (CPA)
Other Release No.: 34-56486
AAER-2723 Sep. 20, 2007 John R. Holtzhauser (CPA)
Other Release No.: 34-56485
AAER-2722 Sep. 20, 2007 Paul R. Venesky (CPA)
Other Release No.: 34-56484
AAER-2721 Sep. 19, 2007 Press C. Southworth, CPA
Other Release No.: 34-56470
AAER-2720 Sep. 19, 2007 Robert M. Harbrecht, CPA and Brian R. Spires, CPA
Other Release No.: 34-56469
AAER-2719 Sep. 17, 2007 Linda Jones and Leslie H. Knox
Other Release No.: LR-20285
AAER-2718 Sep. 14, 2007 Barry M. Budilov
Other Release No.: 34-56445
AAER-2717 Sep. 13, 2007 Ferro Corporation and Anthony J. Maikut
Other Release No.: 34-56438
AAER-2716 Sep. 13, 2007 Richard E. Sellers, CPA, and Lester Rex Andersen, CPA
Other Release No.: 34-56436
Note: See also the Order in this matter
AAER-2715 Sep. 13, 2007 Story & Company, P.C. and Brian L. Story, CPA
Other Release No.: 34-56435
Note: See also the Order in this matter
AAER-2714 Sep. 13, 2007 Schuhalter Coughlin & Suozzo PC and Edward J. Suozzo, CPA
Other Release No.: 34-56434
Note: See also the Order in this matter
AAER-2713 Sep. 13, 2007 Michael Deutchman, CPA
Other Release No.: 34-56433
Note: See also the Order in this matter
AAER-2712 Sep. 13, 2007 Jay J. Shapiro, CPA, P.C. and Jay J. Shapiro, CPA
Other Release No.: 34-56432
Note: See also the Order in this matter
AAER-2711 Sep. 13, 2007 Halt, Buzas & Powell, Ltd., Wayne A. Powell, CPA, and Steven R. Halt, CPA
Other Release No.: 34-56431
Note: See also the Order in this matter
AAER-2710 Sep. 13, 2007 Frederick A. Kaden & Co. and Frederick A. Kaden, CPA
Other Release No.: 34-56430
Note: See also the Order in this matter
AAER-2709 Sep. 13, 2007 Choi Dow Ian Hong & Lee Accountancy Corporation and Ernest E. Dow, CPA
Other Release No.: 34-56429
Note: See also the Order in this matter
AAER-2708 Sep. 13, 2007 Carl S. Sanko, CPA
Other Release No.: 34-56428
Note: See also the Order in this matter
AAER-2707 Sep. 13, 2007 Banker & Co. and Jitendra S. Banker
Other Release No.: 34-56427
Note: See also the Order in this matter
AAER-2706 Sep. 13, 2007 William E. Costello, CPA
Other Release No.: 34-56426
AAER-2705 Sep. 13, 2007 United Financial CPA PC and Anowar Hossain, CPA
Other Release No.: 34-56425
AAER-2704 Sep. 13, 2007 Sanford H. Feibusch, CPA, PC and Sanford H. Feibusch, CPA
Other Release No.: 34-56424
AAER-2703 Sep. 13, 2007 Reed & Taylor, CPAs, P.C. and Robert E. Reed, CPA
Other Release No.: 34-56423
AAER-2702 Sep. 13, 2007 Randy Simpson, CPA, P.C. and Randy R. Simpson, CPA
Other Release No.: 34-56422
AAER-2701 Sep. 13, 2007 Preferred Accounting Services, Inc. and Ana Costales, CPA
Other Release No.: 34-56421
AAER-2700 Sep. 13, 2007 Norman Stumacher, CPA
Other Release No.: 34-56420
AAER-2699 Sep. 13, 2007 Milner and Brock, CPA's and Stephen D. Milner, CPA
Other Release No.: 34-56419
AAER-2698 Sep. 13, 2007 Michael C. Lingerman, CPA
Other Release No.: 34-56418
AAER-2697 Sep. 13, 2007 McNeal, Williamson & Co. and Daniel L. Williamson, CPA
Other Release No.: 34-56417
AAER-2696 Sep. 13, 2007 Joseph Mao, CPA
Other Release No.: 34-56416
AAER-2695 Sep. 13, 2007 Isaac Gordon, CPA
Other Release No.: 34-56415
AAER-2694 Sep. 13, 2007 Henry Schiffer, CPA, An Accountancy Corporation and Henry Schiffer, CPA
Other Release No.: 34-56414
AAER-2693 Sep. 13, 2007 Henry L. Creel Co., Inc. and Henry L. Creel, CPA
Other Release No.: 34-56413
AAER-2692 Sep. 13, 2007 Harvey S. Weingard, CPA
Other Release No.: 34-56412
AAER-2691 Sep. 13, 2007 F.X. Duffy & Co., Inc. and Kevin P. Duffy, CPA
Other Release No.: 34-56411
AAER-2690 Sep. 13, 2007 Forbush & Associates and Daniel J. Forbush, CPA
Other Release No.: 34-56410
AAER-2689 Sep. 13, 2007 David M. Winings, CPA, An Accountancy Corporation and David M. Winings, CPA
Other Release No.: 34-56409
AAER-2688 Sep. 13, 2007 Darilek, Butler & Co., P.C. and Robert F. Darilek, CPA
Other Release No.: 34-56408
AAER-2687 Sep. 13, 2007 Dan Clasby & Company and Daniel E. Clasby, CPA
Other Release No.: 34-56407
AAER-2686 Sep. 13, 2007 Charles R. Hunt, CPA, PA and Charles R. Hunt, CPA
Other Release No.: 34-56406
AAER-2685 Sep. 13, 2007 Charles J. Birnberg, CPA
Other Release No.: 34-56405
AAER-2684 Sep. 13, 2007 Bujan & Associates, Ltd. and Frank Bujan, CPA
Other Release No.: 34-56404
AAER-2683 Sep. 13, 2007 Bruce Redlin, CPA
Other Release No.: 34-56403
AAER-2682 Sep. 13, 2007 Bray & Associates CPA's, LLC and Arnold D. Bray, CPA
Other Release No.: 34-56402
AAER-2681 Sep. 13, 2007 Beutel Accountancy Corporation and Todd W. Beutel, CPA
Other Release No.: 34-56401
AAER-2680 Sep. 13, 2007 Berger, Apple & Associates, Ltd. and Mitchell S. Seifert, CPA
Other Release No.: 34-56400
AAER-2679 Sep. 13, 2007 Beckman Kirkland & Whitney; James M. Kirkland, CPA; and Robert J. Whitney, CPA
Other Release No.: 34-56399
AAER-2678 Sep. 13, 2007 Andrew M. Smith, CPA
Other Release No.: 34-56398
AAER-2677 Sep. 12, 2007 David Heyman, CPA
Other Release No.: 34-56395
AAER-2676 Sep. 12, 2007 Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly, MaryAnne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor
Other Release No.: LR-20275
See also: Complaint in this matter
AAER-2675 Sep. 6, 2007 Dean A. Nichols
Other Release No.: 34-56366
AAER-2674 Sep. 5, 2007 Saks Incorporated
Other Release No.: LR-20266
See also: Complaint in this matter
AAER-2673 Aug. 30, 2007 Integrated Electrical Services, Inc., Herbert R. Allen, Richard L. China, Thomas E. Stalvey, Ernest P. Breaux, James M. Calcote, and J. Carl Cannon
Other Release No.: LR-20261
See also: Administrative Proceeding 34-56341
AAER-2672 Aug. 30, 2007 David A. Miller, CPA
Other Release No.: 34-56341
AAER-2671 Aug. 30, 2007 David R. Decker, CPA
Other Release No.: 34-56340
AAER-2670 Aug. 29, 2007 Ilona Kay Collins
Other Release No.: 34-56334
AAER-2669 Aug. 22, 2007 Kenneth W. DiFonzo, CPA
Other Release No.: 34-56301
AAER-2668 Aug. 13, 2007 Kevin Hall, CPA, and Rosemary Meyer, CPA
Other Release No.: 34-56242
AAER-2667 Aug. 9, 2007 Jerry Kent Castleman, CPA
Other Release No.: 34-56230
AAER-2666 Aug. 9, 2007 Thomas Fisher, Kathleen Halloran, and George Behrens
Other Release No.: LR-20233
See also: Complaint in this matter
AAER-2665 Aug. 8, 2007 Gershon Tannenbaum and Jay M. Vermonty
Other Release No.: LR-20231
AAER-2664 Aug. 7, 2007 First BanCorp
Other Release No.: LR-20227
See also: Complaint in this matter
AAER-2663 Aug. 6, 2007 Jerry K. Castleman and Kathleen M. Lynn
Other Release No.: LR-20225
AAER-2662 Aug. 1, 2007 Carole D. Argo
Other Release No.: LR-20221
See also: Complaint in this matter
AAER-2661 Aug. 1, 2007 Integrated Silicon Solution, Inc. and Gary L. Fischer
Other Release No.: LR-20219
See also: Complaint in this matter
AAER-2660 Jul. 31, 2007 Aspen Technology, Inc.
Other Release Nos.: 34-56170, 33-8827
AAER-2659 Jul. 30, 2007 Dean A. Nichols
Other Release No.: LR-20217
AAER-2658 Jul. 26, 2007 Delta & Pine Land Company and Turk Deltapine, Inc.
Other Release No.: 34-56138
AAER-2657 Jul. 26, 2007 Delta & Pine Land Company and Turk Deltapine, Inc.
Other Release No.: LR-20214
See also: Complaint in this matter; Administrative Proceeding 34-56138
AAER-2656 Jul. 26, 2007 Patrick E. Chew, CPA
Other Release No.: 34-56137
AAER-2655 Jul. 26, 2007 Anne M. Pember
Other Release No.: 34-56136
AAER-2654 Jul. 26, 2007 Cardinal Health, Inc.
Other Release No.: LR-20212
See also: Complaint in this matter
AAER-2653 Jul. 25, 2007 Robert J. Therrien
Other Release No.: LR-20210
See also: Complaint in this matter
AAER-2652 Jul. 25, 2007 ConAgra Foods, Inc.
Other Release No.: LR-20206
See also: Complaint in this matter
AAER-2651 Jul. 24, 2007 Ayal Rosenthal, CPA
Other Release No.: 34-56123
AAER-2650 Jul. 24, 2007 John C. Charters and Richard E. Fresia
Other Release No.: LR-20204
See also Complaint in this matter:Fresia
AAER-2649 Jul. 19, 2007 David C. Drummond, John P. Hayes, and Patrick E. Murphy, and Patrick T. Chew
Other Release No.: LR-20202
AAER-2648 Jul. 19, 2007 David C. Drummond, John P. Hayes, and Patrick E. Murphy
Other Release No.:
AAER-2647 Jul. 19, 2007 Ernst & Young Chartered Accountants and Denis O'Hogan
Other Release No.: 34-56104
AAER-2646 Jul. 18, 2007 Jeffrey McMahon, CPA
Other Release No.: 34-56097
AAER-2645 Jul. 17, 2007 Ronald Renjilian
Other Release No.: 34-56083
AAER-2644 Jul. 17, 2007 Quovadx, Inc.
Other Release Nos.: 34-56082, 33-8825
AAER-2643 Jul. 18, 2007 OM Group, Inc.
Other Release Nos.: 34-56089, 33-8826
AAER-2642 Jul. 18, 2007 James M. Materna, John R. Holtzhauser, and Paul R. Venesky
Other Release No.: LR-20199
See also: Complaint in this matter; Administrative Proceeding 33-8826
AAER-2641 Jul. 18, 2007 Lorine Sweeney and Gary Scherping; Ilona Kay Collin; David Eric Nesvisky; Robert Allen Diehl; Madhavan Sivathanu Pillai
Other Release No.: LR-20197
See also: Complaints in this matter Sweeney and Scherping; Collins; Nesvisky; Diehl; Pillai
See also: Administrative Proceedings 33-8825; 34-56083; 34-56084
AAER-2640 Jul. 17, 2007 Jay D. Bolding (CPA)
Other Release No.: 34-56087
AAER-2639 Jul. 17, 2007 Paul Anthony Davis
Other Release No.: 34-56084
AAER-2638 Jul. 16, 2007 Richard R. Hylland, CPA
Other Release No.: 34-56080
AAER-2637 Jul. 16, 2007 Kurt D. Whitesel, CPA
Other Release No.: 34-56079
AAER-2636 Jul. 16, 2007 Kipp D. Orme, CPA
Other Release No.: 34-56078
AAER-2635 Jul. 13, 2007 Paul Kearney
Other Release No.: 34-56074
AAER-2634 Jul. 13, 2007 B. J. Thomas
Other Release No.: 34-56066
AAER-2633 Jul. 12, 2007 Michael F. Shanahan, Sr., et al.
See also: Complaint in this matter
Other Release No.: LR-20193
AAER-2632 Jul. 9, 2007 Brightpoint, Inc., American International Group, Inc., Phillip Bounsall, John Delaney and Timothy Harcharik
Other Release No.: LR-20185
AAER-2631 Jul. 2, 2007 Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully and Douglas S. Newton
Other Release No.: LR-20178
See also: Complaint in this matter
AAER-2630 Jul. 2, 2007 Chancellor Corporation, et al.
Other Release No.: LR-20177
Second Quarter
AAER-2629 Jun. 29, 2007 James P. O'Donnell, Jay D. Bolding and Debra L. Keith; Kenneth W. DiFonzo; Dwight J. Goslee and Harry J. Hill
Other Release No.: LR-20176
AAER-2628 Jun. 29, 2007 Dwight J. Goslee and Harry J. Hill
Other Release No.: 34-55996
AAER-2627 Jun. 29, 2007 Kevin Hall, CPA and Rosemary Meyer, CPA
Other Release No.: 34-55987
AAER-2626 Jun. 29, 2007 CVS Caremark Corporation, Philip C. Galbo, and Larry Solberg
Other Release Nos.: 33-8815, 34-55982
AAER-2625 Jun. 29, 2007 Michael W. Sulfridge
Other Release No.: LR-20173
See also: Complaint in this matter
AAER-2624 Jun. 25, 2007 Kevin B. Collins
Other Release No.: LR-20166
See also: Complaint in this matter; Administrative Proceeding Rel. No. 34-55954
AAER-2623 Jun. 25, 2007 International Business Machines Corporation
Note: See also Litigation Release No. 20166
Other Release No.: 34-55954
AAER-2622 Jun. 22, 2007 Forman, et al.
Other Release No.: LR-20164
See also: Complaint in this matter
AAER-2621 Jun. 22, 2007 Graham
Other Release No.: LR-20163
See also: Complaint in this matter
AAER-2620 Jun. 20, 2007 Cambrex Corporation
Other Release No.: 34-55933
AAER-2619 Jun. 20, 2007 Jeffrey McMahon
Other Release No.: LR-20159
See also: Complaint in this matter
AAER-2618 Jun. 20, 2007 Allied Capital Corporation
Other Release No.: 34-55931
AAER-2617 Jun. 18, 2007 Tom Shanahan and Clem Hannon
Other Release No.: LR-20156
See also: Complaint in this matter
AAER-2616 Jun. 5, 2007 International Business Machines Corporation
Other Release No.: 34-55858
AAER-2615 Jun. 8, 2007 Raymond L. Mathiasen, CPA
Other Release No.: 34-55887
AAER-2614 Jun. 1, 2007 Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, James J. Kozlowski and Frank T. Noyes
Other Release No.: LR-20138
See also: Complaint in this matter; Administrative Proceeding No. 34-55842
AAER-2613 Jun. 1, 2007 Robin R. Szeliga
Other Release No.: 34-55842
AAER-2612 May 23, 2007 Arthur A. Goodwin
Other Release No.: LR-20126
AAER-2611 May 23, 2007 The BISYS Group, Inc.
Other Release No.: LR-20125
See also: Complaint in this matter
AAER-2610 May 22, 2007 Gerald H. Levine and Marie A. Levine
Other Release No.: LR-20124
AAER-2609 May 14, 2007 Gayle Spence Luacaw
Other Release No.: LR-20114
AAER-2608 May 10, 2007 Penthouse International, Inc., Charles Samel and Jason Galanis
Other Release No.: LR-20110
AAER-2607 May 8, 2007 Motorola, Inc.
Other Release No.: 34-55725
AAER-2606 May 3, 2007 Gary V. Morris
Other Release No.: LR-20104
AAER-2605 May 2, 2007 Terry M. Phillips
Other Release No.: 34-55696
AAER-2604 May 2, 2007 Capitol Distributing, LLC and Terry M. Phillips
Other Release No.: LR-20100, 34-55696
See also: Complaint in this matter, Administrative Proceeding
AAER-2603 Apr. 30, 2007 Richard D. Power, Edward Federman, and Richard J. "Skip" Heger
Other Release No.: LR-20096
AAER-2602 Apr. 26, 2007 Baker Hughes Incorporated and Roy Fearnley
Other Release No.: LR-20094
See also: Complaint in this matter
AAER-2601 Apr. 25, 2007 Merle D. Lewis, Richard R. Hylland, Kipp D. Orme, and Kurt D. Whitesel
Other Release No.: LR-20091
AAER-2600 Apr. 25, 2007 Cosmo Corigliano, Anne M. Pember, Casper Sabatino, and Kevin T. Kearney, Defendants, and Agnes T. Corigliano, Carleton H. Pember IV, and Mary Louise Scully, Relief Defendants
Other Release No.: LR-20089
AAER-2599 Apr. 23, 2007 Richard M. Scrushy
Other Release No.: LR-20084
AAER-2598 Apr. 20, 2007 Bernard Shinder
Other Release No.: LR-20083
AAER-2597 Apr. 19, 2007 Sanjay Kumar and Stephen Richards
Other Release No.: LR-20082
AAER-2596 Apr. 12, 2007 Lesley Don Cole (CPA)
Other Release No.: 34-55623
AAER-2595 Apr. 12, 2007 Jimmy Lynn Bradley
Other Release No.: 34-55622
AAER-2594 Apr. 9, 2007 Lindsey P. Vinson
Other Release No.: 34-55603
AAER-2593 Apr. 5, 2007 Myron F. Olesnyckyj, Esq.
Other Release No.: 34-55587
AAER-2592 Apr. 3, 2007 Jimmy Lynn Bradley and Lesley Don Cole
Other Release No.: LR-20068
See also: Complaint in this matter
AAER-2591 Apr. 2, 2007 Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen
Other Release No.: LR-20067
See also: Complaint in this matter
AAER-2590 Apr. 2, 2007 Danny Edward Moudy
Other Release No.: 34-55568
AAER-2589 Apr. 2, 2007 Martin E. Kenney, Jr.
Other Release No.: LR-20064
See also: Amended Complaint in this matter
First Quarter
AAER-2588 Mar. 29, 2007 Atlas Air Worldwide Holdings, Inc.
Other Release No.: 34-55556
AAER-2587 Mar. 29, 2007 Amber Schatz, CPA
Other Release No.: 34-55554
AAER-2586 Mar. 29, 2007 David McQuillin
Other Release No.: LR-20059
AAER-2585 Mar. 28, 2007 Edward S. Pliner, CPA
Other Release No.: 34-55551
AAER-2584 Mar. 28, 2007 Jordan H. Mintz and Rex R. Rogers
Other Release No.: LR-20058
See also: Complaint in this matter
AAER-2583 Mar. 27, 2007 Myron F. Olesnyckyj
Other Release No.: LR-20056
AAER-2582 Mar. 16, 2007 Conrad M. Black, F. David Radler and Hollinger Inc.
Other Release No.: LR-20043
AAER-2581 Mar. 26, 2007 Collins & Aikman Corporation, David A. Stockman, J. Michael Stepp, Gerald E. Jones, David R. Cosgrove, John G. Galante, Elkin B. McCallum, Paul C. Barnaba, Christopher M. Williams and Thomas V. Gougherty
Other Release No.: LR-20055
See also: Complaint in this matter
AAER-2580 Mar. 26, 2007 Ernst & Young LLP
Other Release No.: 34-55523
AAER-2579 Intentionally omitted
AAER-2578 Mar. 15, 2007 Franklyn A. Caine
Other Release Nos.: 34-55476, 33-8790
AAER-2577 Mar. 15, 2007 Franklyn A. Caine, Edward S. Pliner, and James E. Gray
Other Release Nos.: LR-20041
See also:
Complaint: Franklyn A. Caine
Complaint: Edward S. Pliner
Complaint: James E. Gray
AAER-2576 Mar. 12, 2007 Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and MaryAnne E. Pahapill (a.k.a. Mary Anne Poland)
Other Release No.: LR-20036
See also: Complaint in this matter
AAER-2575 Mar. 9, 2007 C. Burt Duren
Other Release No.: 34-55434
AAER-2574 Mar. 9, 2007 Steven J. Landmann
Other Release No.: 34-55432
AAER-2573 Mar. 7, 2007 NorthWestern Corporation
Other Release No.: 34-55416
AAER-2572 Mar. 6, 2007 Charles Michael Martin
Other Release No.: LR-20029
See also: Complaint in this matter
AAER-2571 Intentionally omitted
AAER-2570 Mar. 2, 2007 John Paul Orr
Other Release No.: 34-55384
AAER-2569 Mar. 2, 2007 David C. Kirkpatrick
Other Release No.: 34-55383
AAER-2568 Mar. 1, 2007 Leonard M. Snyder, H. Dane Reynolds, C. Burt Duren, and Carey Johnson
Other Release No.: LR-20025
AAER-2567 Feb. 28, 2007 Kent H. Roberts
Other Release No.: LR-20020
See also: Complaint in this matter
AAER-2566 Feb. 27, 2007 Robert A. Ness, Jr.
Other Release No.: 34-55359
AAER-2565 Feb. 26, 2007 Matthew E. Kopsky and Ronald W. Davis
Other Release No.: LR-20019
See also: Complaint in this matter
AAER-2564 Feb. 21, 2007 Anthony L. Hurley
Other Release No.: 34-55324
AAER-2563 Feb. 21, 2007 Bennett Environmental, Inc., John A. Bennett, Robert P.G. Griffiths and Richard L. Stern
Other Release No.: LR-20009
AAER-2562 Feb. 21, 2007 Veritas Software Corporation
Other Release No.: LR-20008
See also: Complaint in this matter
AAER-2561 Feb. 16, 2007 Keith G. Baxter, et. al.
Other Release No.: LR-20006
AAER-2560 Feb. 16, 2007 Richard A. Causey, CPA
Other Release No.: 34-55310
AAER-2559 Feb. 15, 2007 Gregory A. Brady, et al.
Other Release No.: LR-20005
AAER-2558 Feb. 15, 2007 Myron F. Olesnyckyj
Other Release No.: LR-20004
See also: Complaint in this matter
AAER-2557 Feb. 14, 2007 Ryan Ashley Brant
Other Release No.: LR-20003
See also: Complaint in this matter
AAER-2556 Feb. 13, 2007 Patel et al.
Other Release No.: LR-20001
See also: Complaint in this matter
AAER-2555 Feb. 13, 2007 The Dow Chemical Company
Other Release No.: 34-55281
AAER-2554 Feb. 13, 2007 The Dow Chemical Company
Other Release No.: LR-20000
AAER-2553 Feb. 12, 2007 Enrique (Henry) Fiallo
Other Release No.: LR-19997
See also: Complaint in this matter
AAER-2552 Feb. 9, 2007 Richard A. Causey
Other Release No.: LR-19996
AAER-2551 Feb. 6, 2007 Steven J. Landmann and Gary C. Gerhardt
Other Release No.: LR-19990
See also:
Complaint: Gary C. Gerhardt
Complaint: Steven J. Landmann
AAER-2550 Feb. 6, 2007 RenaissanceRe Holdings Ltd.
Other Release No.: LR-19989
See also: Complaint in this matter
AAER-2549 Jan. 30, 2007 William F. Sorin, Esq.
Other Release No.: 34-55199
AAER-2548 Jan. 29, 2007 MBIA Inc.
Other Release Nos.: 34-55184, 33-8776
AAER-2547 Jan. 29, 2007 MBIA Inc.
Other Release No.: LR-19982
See also: Complaint in this matter; Administrative Proceeding No. 33-8776
AAER-2546 Jan. 23, 2007 Edward A. Kiley, et al.
Other Release No.: LR-19977
AAER-2545 Jan. 23, 2007 Suzanne Brown, CPA
Other Release No.: 34-55149
AAER-2544 Jan. 22, 2007 Gary Bell, Joseph Grendys, Anthony Holohan, and Michael Smith; Carl A. Allen; Donald Childers; John Crowder; Chris Jakubek; John King; Steve LeBarron; Patrick Penderghast; Frank Riggio; and Richard Vecchia
Other Release No.: LR-19975
See also:
Complaint: Gary Bell, Joseph Grendys, Anthony Holohan, and Michael Smith
Complaint: Carl A. Allen
Complaint: Donald Childers
Complaint: John Crowder
Complaint: Chris Jakubek
Complaint: John King
Complaint: Steve LeBarron
Complaint: Patrick Penderghast
Complaint: Frank Riggio
Complaint: Richard Vecchia
AAER-2543 Jan. 19, 2007 Douglas Wachtel (CPA)
Other Release No.: 34-55133
AAER-2542 Jan. 17, 2007 James Charles Blue, Randy Cook and Victor Campbell
Other Release No.: LR-19969
See also: Complaint in this matter
AAER-2541 Jan. 12, 2007 Glenn E. Glasshagel
Other Release No.: 34-55100
AAER-2540 Jan. 12, 2007 Lattice Semiconductor Corp.
Other Release No.: 34-55097
AAER-2539 Jan. 12, 2007 Charles R. Eisenstein
Other Release No.: 34-55094
AAER-2538 Jan. 10, 2007 Stuart A. Nussbaum, CPA
Other Release No.: 34-55077
AAER-2537 Jan. 10, 2007 Jacob (“Kobi”) Alexander, David Kreinberg, and William F. Sorin
Other Release No.: LR-19964
AAER-2536 Jan. 8, 2007 Suzanne Brown
Other Release No.: LR-19961
See also: Complaint in this matter
AAER-2535 Jan. 8, 2007 Jana L. Quam, CPA
Other Release No.: 34-55056
AAER-2534 Jan. 8, 2007 Cary B. Griswold, CPA
Other Release No.: 34-55055
AAER-2533 Jan. 8, 2007 David A. Monaghan, CPA
Other Release No.: 34-55054
AAER-2532 Jan. 8, 2007 Lawrence B. Evans, David L. McQuillin, and Lisa W. Zappala
Other Release No.: LR-19960
See also: Complaint in this matter
AAER-2531 Jan. 3, 2007 David A. Hori, CPA
Other Release No.: 34-55039

 

http://www.sec.gov/divisions/enforce/friactions2007.shtml


Modified: 06/30/2009