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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.

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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-3350 Dec. 23, 2011 Craig On, CPA
Other Release No.: 34-66051
AAER-3349 Dec. 21, 2011 Eric Jon Strasser
Other Release No.: 34-66024
AAER-3348 Dec. 20, 2011 Aon Corporation
Other Release No.: LR-22203
AAER-3347 Dec. 16, 2011 Stuart W. Fuhlendorf,
Other Release No.: 34-65996
AAER-3346 Dec. 16, 2011 Stuart W. Fuhlendorf
Other Release No.: LR-22199
AAER-3345 Dec. 15, 2011 Juan Carlos Guillén Zerpa
Other Release No.: 34-65985
AAER-3344 Dec. 14, 2011 Kempisty & Company, Certified Public Accountants, P.C., Philip C. Kempisty, CPA, and John Anthony Rubino, CPA
Other Release No.: 34-65950
AAER-3343 Dec. 13, 2011 Michael Resnick et al.
Other Release No.: LR-22192
AAER-3342 Dec. 13, 2011 Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel and Bernd Regendantz
Other Release No.: LR-22190
See also: SEC Complaint
AAER-3341 Dec. 2, 2011 Nancy S.W. Chu et al.
Other Release No.: LR-22174
AAER-3340 Nov. 16, 2011 J.T. Battenberg, III and Paul Free
Other Release No.: LR-22156
AAER-3339 Dec. 5, 2011 Mark A. Konyndyk, CPA
Other Release No.: 34-65882
AAER-3338 Nov. 16, 2011 Paul Free, CPA
Other Release No.: 34-65759
AAER-3337 Nov. 16, 2011 Martha W. Vlcek, CPA
Other Release No.: 34-65755
AAER-3336 Nov. 16, 2011 Steven M. Des Champs, CPA
Other Release No.: 34-65754
AAER-3335 Nov. 7, 2011 Fernando J. Espuelas et al.
AAER-3334 Nov. 3, 2011 Ran H. Furman
Other Release No.: 34-65680
AAER-3332 Oct. 25, 2011 William J. Tennant, CPA
Other Release No.: 34-65621
AAER-3331 Oct. 25, 2011 Anthony J. Cuti, CPA
Other Release No.: 34-65620
AAER-3330 Oct. 24, 2011 Koss Corporation and Michael J. Koss
Other Release No.: LR-22138
See also: SEC Complaint
AAER-3329 Oct. 20, 2011 Michael G. Horsey, CPA
Other Release No.: 34-65600
AAER-3328 Oct. 13, 2011 Watts Water Technologies, Inc. and Leesen Chang
Other Release No.: 34-65555
AAER-3327 Oct. 11, 2011 Thomas S. Wu, Ebrahim Shabudin, Thomas T. Yu, and Craig S. On
Other Release No.: LR-22121
See also: SEC Complaint
AAER-3326 Oct. 6, 2011 Christopher Sells and Timothy Murawski
Other Release No.: LR-22116
See also: SEC Complaint
AAER-3325 Oct. 3, 2011 Thomas Y. Jimenez (CPA)
Other Release No.: 34-65466
Third Quarter
AAER-3324 Sep. 29, 2011 John Michael Kelly, Steven E. Rindner, Joseph A. Ripp, and Mark Wovsaniker
Other Release No.: LR-22109
AAER-3323 Sep. 27, 2011 LPB Capital d/b/a Family Office Group, LLC and Gary J. Pappas
Other Release Nos.: 34-65409, IA-3290
AAER-3322 Sep. 21, 2011 Larry Lee Crawford (CPA)
Other Release No.: 34-65377
AAER-3321 Sep. 16, 2011 Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA
Other Release No.: LR-22095
AAER-3320 Sep. 14, 2011 Wayne A. Pratt, CPA
Other Release No.: 34-65340
AAER-3319 Sep. 8, 2011 Deloitte Touche Tohmatsu CPA Ltd.
Other Release No.: LR-22088
AAER-3318 Sep. 6, 2011 Ran H. Furman, CPA
Other Release No.: 34-65271
AAER-3317 Sep. 2, 2011 Leland G. Orr
Other Release No.: 34-65260
AAER-3316 Sep. 2, 2011 Travis W. Vrbas
Other Release No.: 34-65254
AAER-3315 Aug. 31, 2011 James Li, Thomas Chow, Roger Kao, and Wayne A. Pratt
Other Release No.: LR-22075
See also: SEC Complaint
AAER-3314 Aug. 30, 2011 James O'Leary
Other Release No.: LR-22074
See also: SEC Complaint
AAER-3313 Aug. 15, 2011 Michael Strauss, Stephen Hozie and Robert Bernstein
Other Release No.: LR-22067
AAER-3312 Aug. 5, 2011 Steven Scoppetuolo, CPA
Other Release No.: 34-65051
AAER-3311 Aug. 4, 2011 Karlheinz Redekopp
Other Release No.: LR-22060
AAER-3310 Aug. 4, 2011 Karlheinz Redekopp, CGA
Other Release No.: 34-65030
AAER-3309 Aug. 2, 2011 Jordan H. Mintz
Other Release No.: 34-65012
AAER-3308 Jul. 29, 2011 James E. Koenig
Other Release No.: LR-22054
AAER-3307 Jul. 27, 2011 Diageo plc
Other Release No.: 34-64978
AAER-3306 Jul. 26, 2011 Erez Bahar, CA
Other Release No.: 34-64970
AAER-3305 Jul. 21, 2011 John N. Irwin, CPA
Other Release No.: 34-64941
AAER-3304 Jul. 18, 2011 Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas
Other Release No.: LR-22046
AAER-3303 Jul. 14, 2011 Joseph F. Sofo, CPA
Other Release Nos.: 33-9237, IA-3239
AAER-3302 Jul. 13, 2011 Armor Holdings, Inc.
Other Release No.: LR-22037
See also: SEC Complaint
AAER-3301 Jun. 27, 2011 Peter L. Jensen and Thomas C. Tekulve, Jr.
Other Release No.: LR-22014
See also: SEC Complaint
AAER-3300 Jul. 6, 2011 Lawrence Collins, CPA
Other Release No.: 34-64808
AAER-3299 Jul. 5, 2011 John Raffle, David Applegate and Kathy Raffle
AAER-3298 Jul. 1, 2011 Fernando J. Espuelas et al.
Second Quarter
AAER-3297 Jun. 30, 2011 LaBarge, Inc.
Other Release No.: 34-64776
AAER-3296 Jun. 22, 2011 Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA
Other Release Nos.: 34-64720, IA-3218, IC-29704
AAER-3295 Jun. 21, 2011 Paul R. Allen
Other Release No.: LR-22007
See also: SEC Complaint
AAER-3294 Jun. 16, 2011 Farkas; Brown; Kissick; Kelly
Other Release No.: LR-22002
AAER-3293 Jun. 14, 2011 Laurence D. Cohen, CPA
Other Release No.: 34-64670
AAER-3292 Jun. 14, 2011 Gregory Pasko, CPA
Other Release No.: 34-64669
AAER-3291 Jun. 14, 2011 John Van Fleet, CPA
Other Release No.: 34-64668
AAER-3290 Jun. 8, 2011 Edwin Reese Davis, Jr. CPA
Other Release No.: 34-64621
AAER-3289 Jun. 7, 2011 Mark C. Schwartzhoff
Other Release No.: 34-64613
AAER-3288 Jun. 6, 2011 Livingston & Haynes, P.C., Kevin F. Howley, CPA and William W. Wood, CPA
Other Release No.: 34-64607
AAER-3287 Jun. 3, 2011 Michael C. Pattison, CPA
Other Release No.: 34-64598
AAER-3286 Jun. 2, 2011 Carl W. Jasper, CPA
Other Release No.: 34-64588
AAER-3285 May 23, 2011 John Scullin
Other Release No.: 34-64535
AAER-3284 Apr. 11, 2011 Brian D. Fox
Other Release No.: LR-21926
See also: SEC Complaint
AAER-3283 May 13, 2011 GSI Group, Inc.
Other Release No.: 34-64498
AAER-3282 May 13, 2011 Peter DiSessa
Other Release No.: 34-64497
AAER-3281 May 13, 2011 George B. Doherty
Other Release No.: 34-64496
AAER-3280 May 13, 2011 Thor Industries, Inc., and Mark C. Schwartzhoff
Other Release No.: LR-21966
See also: SEC Complaint
AAER-3279 May 11, 2011 Michael Baker Corporation, John Scullin and Dennis Higgins
Other Release No.: LR-21962
See also: SEC Complaint
AAER-3278 May 11, 2011 Michael Higgins, CPA
Other Release No.: 34-64471
AAER-3277 Feb. 11, 2011 Michael W. Perry and A. Scott Keys; and S. Blair Abernathy
Other Release No.: LR-21853
See also: SEC Complaint vs. Perry and Keys; SEC Complaint vs. Abernathy
AAER-3276 May 4, 2011 Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas
Other Release No.: LR-21957
See also: SEC Complaint
AAER-3275 May 3, 2011 Aron R. Carr, CPA
Other Release No.: 34-64382
AAER-3274 May 3, 2011 Rockwell Automation, Inc.
Other Release No.: 34-64380
AAER-3273 Apr. 21, 2011 Southpeak Interactive Corporation and Patrice K. Strachan
Other Release No.: LR-21941
AAER-3272 Apr. 20, 2011 Duane Martin and Gary Trump
Other Release No.: LR-21939
AAER-3271 Apr. 19, 2011 Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling
Other Release No.: LR-21938
AAER-3270 Apr. 14, 2011 Rebecca Lynn Higgins
Other Release No.: LR-21930
See also: SEC Complaint
AAER-3269A Apr. 8, 2011 Kempisty & Company, CPAs, P.C., Philip C. Kempisty, CPA and John Anthony Rubino, CPA
Other Release No.: 34-64289A
AAER-3268 Apr. 8, 2011 Kentucky Energy, Inc., Eugene Chiaramonte, III and Clear Mountain Associates, LLC
Other Release No.: 34-64288
AAER-3267 Apr. 8, 2011 Chisholm, Bierwolf, Nilson & Morrill, LLC
Other Release No.: 34-64280
AAER-3266 Apr. 8, 2011 Todd D. Chisholm, CPA
Other Release No.: 34-64279
AAER-3265 Apr. 8, 2011 Jeffery Q. Johnson, CPA and Steven M. Hanni, CPA
Other Release No.: 34-64278
AAER-3264 Apr. 8, 2011 Troy F. Nilson, CPA
Other Release No.: 34-64277
AAER-3263 Apr. 8, 2011 Yatin Dilip Mody, CPA
Other Release No.: 34-64272
AAER-3262 Apr. 8, 2011 Nicole Rae Kaplan, CPA
Other Release No.: 34-64271
AAER-3261 Apr. 8, 2011 Johnson & Johnson
Other Release No.: LR-21922
See also: SEC Complaint
AAER-3260 Apr. 5, 2011 Michael C. Pattison, CPA
Other Release No.: 34-64190
AAER-3259 Apr. 5, 2011 Marc E. Bercoon
Other Release No.: 34-64185
AAER-3258 Apr. 5, 2011 Satyam Computer Services Limited d/b/a Mahindra Satyam
Other Release No.: LR-21915
See also: SEC Complaint
AAER-3257 Apr. 5, 2011 Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta
Other Release No.: 34-64184
AAER-3256 Apr. 1, 2011 Joseph J. Monterosso, et. al.
Other Release No.: LR-21913
First Quarter
AAER-3255 Mar. 24, 2011 Ball Corporation
Other Release No.: 34-64123
AAER-3254 Mar. 18, 2011 International Business Machines Corporation
Other Release No.: LR-21889
See also: SEC Complaint
AAER-3253 Mar. 11, 2011 Carl W. Jasper, CPA
Other Release No.: 34-64077
AAER-3252 Mar. 9, 2011 Fernando J. Espuelas et al.
Other Release No.: LR-21880
AAER-3251 Mar. 8, 2011 Sujata Sachdeva
Other Release No.: 34-64049
AAER-3250 Mar. 4, 2011 Ian J. McCarthy
Other Release No.: LR-21873
AAER-3249 Mar. 3, 2011 S. Blair Abernathy, CPA
Other Release No.: 34-64025
AAER-3248 Feb. 28, 2011 KPMG Australia
Other Release No.: 34-63987
AAER-3247 Feb. 28, 2011 DHB Industries, Inc. n/k/a Point Blank Solutions, Inc.; Jerome Krantz, Cary Chasin, and Gary Nadelman
Other Release No.: LR-21867
AAER-3246 Feb. 25, 2011 Scott Wilkinson, CPA
Other Release No.: 34-63982
AAER-3245 Feb. 22, 2011 Benedict P. Rybicki, CPA
Other Release No.: 34-63940
AAER-3244 Feb. 18, 2011 Joanne Kline
Other Release No.: 34-63928
AAER-3243 Feb. 11, 2011 Dale G. Rasmussen, Esq.
Other Release No.: 34-63896
AAER-3242 Feb. 9, 2011 Arthrocare Corporation
Other Release No.: 34-63883
AAER-3241 Feb. 9, 2011 Rodney B. Johnson
Other Release No.: 34-63879
AAER-3240 Feb. 3, 2011 David E. Watson, CPA
Other Release No.: 34-63833
AAER-3239 Feb. 2, 2011 Eric A. Holzer, CPA
Other Release No.: 34-63822
AAER-3238 Feb. 2, 2011 Louis E. Rivelli, et al.
Other Release No.: LR-21835
AAER-3237 Feb. 2, 2011 Deerfield Capital Corp. and Danielle Valkner, CPA
Other Release No.: 34-63818
AAER-3236 Jan. 31, 2011 Maxwell Technologies Inc.
Other Release No.: LR-21832
See also: SEC Complaint
AAER-3235 Jan. 24, 2011 Paul W. Jennings
Other Release No.: LR-21822
See also: SEC Complaint
AAER-3234 Jan. 20, 2011 NutraCea, et al.
Other Release No.: LR-21819
See also: SEC Complaint
AAER-3233 Jan. 20, 2011 Eric J. Bur, CPA
Other Release No.: 34-63743
AAER-3232 Jan. 20, 2011 Dohan + Company CPAs, Steven H. Dohan, CPA, Nancy L. Brown, CPA, and Erez Bahar, CA
Other Release No.: 34-63740
AAER-3231 Jan. 14, 2011 Joseph D. Radcliffe and Michael J. Radcliffe
Other Release No.: LR-21814
AAER-3230 Jan. 13, 2011 Sujata Sachdeva, et. al.
Other Release No.: LR-21810
AAER-3229 Jan. 12, 2011 NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur; Stephen M. Kovzan
Other Release No.: LR-21809
See also: SEC Complaint vs. NIC, Fraser, Herington, and Bur; SEC Complaint vs. Kovzan
AAER-3228 Jan. 11, 2011 Michael R. Drogin
Other Release No.: LR-21804
See also: SEC Complaint
AAER-3227 Jan. 11, 2011 Michael R. Drogin, CPA
Other Release No.: 34-63690
AAER-3226 Jan. 10, 2011 Hudson Highland Group, Inc.
Other Release No.: 34-63688
AAER-3225 Jan. 7, 2011 Eric Sieracki (CPA)
Other Release No.: 34-63682
AAER-3224 Jan. 7, 2011 Carl W. Jasper, CPA
Other Release No.: 34-63674
AAER-3223 Jan. 6, 2011 Joseph M. Braas and Michael J. Schlager
Other Release No.: LR-21797

 

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

Modified: 10/27/2014