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Accounting and Auditing Enforcement Releases Archive: 2013

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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Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Release No. Date Action
Fourth Quarter
AAER-3524 Dec. 30, 2013 John J. Aesoph, CPA, and Darren M. Bennett, CPA (Order Granting Extension)
Other Release Nos.: 34-71205
AAER-3523 Dec. 24, 2013 Kevin Brennan, CPA
Other Release No.: 34-71185
AAER-3522 Dec. 23, 2013 Clinton Ronald Greenman, CPA
Other Release No.: 34-71174
AAER-3521 Dec. 20, 2013 Thomas D. Melvin, CPA
Other Release No.: 34-71161
AAER-3520 Dec. 20, 2013 John Kinross-Kennedy, CPA
Other Release No.: 34-71154
AAER-3519 Dec. 18, 2013 James Vincent Poti, CPA
Other Release No.: 34-71117
AAER-3518 Dec. 12, 2013 Rodney A. Smith, Michael Santicchia, CPA, and Stephen D. Cheaney, CPA
Other Release Nos.: IA-3738, 34-71070
AAER-3517 Dec. 12, 2013 Michael H. Taber, CPA
Other Release No.: LR-22887
AAER-3516 Dec. 12, 2013 GLG Partners, Inc. and GLG Partners, L.P.
Other Release No.: 34-71050
AAER-3515 Dec. 11, 2013 Craig Toll, CPA,
Other Release No.: 34-71031
AAER-3514 Dec. 4, 2013 Fifth Third Bancorp and Daniel Poston
Other Release Nos.: 33-9490, 34-70983
AAER-3513 Nov. 21, 2013 R. Gordon Jones, CPA
Other Release No.: LR-22875
AAER-3512 Nov. 6, 2013 Sherb & Co., LLP, et al.
Other Release No.: 34-70823
AAER-3511 Oct. 29, 2013 Ronald Baldwin, Jr. CPA
Other Release No.: 34-70767
AAER-3510 Oct. 28, 2013 Paul V. Greene
Other Release No.: LR-22856
AAER-3509 Oct. 22, 2013 Diebold, Inc.
Other Release No.: LR-22849
AAER-3508 Oct. 17, 2013 JBI, Inc., John Bordynuik and Ronald Baldwin, Jr.
Other Release No.: LR-22847
AAER-3507 Oct. 10, 2013 Mark S. Cupo (CPA)
Other Release No.: 34-70659
AAER-3506 Oct. 10, 2013 John Lazorchak (CPA)
Other Release No.: 34-70658
AAER-3505 Oct. 2, 2013 Jing Xie
Other Release No.: 34-70602
Third Quarter
AAER-3504 Sep. 30, 2013 China Ruitai International Holdings Co., Ltd., et al.
Other Release No.: 34-70579
AAER-3503 Sep. 30, 2013 Wilfred W. Hanson, CPA
Other Release No.: 34-70567
AAER-3502 Sep. 30, 2013 John Kinross-Kennedy, CPA
Other Release No.: 34-70566
AAER-3501 Sep. 30, 2013 Malcolm L. Pollard, CPA and Malcolm L. Pollard, Inc.
Other Release No.: 34-70564
AAER-3500 Sep. 30, 2013 Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA
Other Release No.: 34-70562
AAER-3499 Sep. 30, 2013 Michael McGrath, CPA
Other Release No.: 34-70561
AAER-3498 Sep. 30, 2013 John W. Jacobsen, CPA
Other Release No.: 34-70557
AAER-3497 Sep. 30, 2013 Rick D. Snow, CPA
Other Release No.: 34-70553
AAER-3496 Sep. 27, 2013 Scott London, CPA
Other Release No.: 34-70549
AAER-3495 Sep. 27, 2013 Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan
Other Release No.: LR-22825
AAER-3494 Sep. 27, 2013 Universal Travel Group, Jiangping Jiang and Jing Xie
Other Release No.: LR-22823
AAER-3493 Sep. 26, 2013 Mercantile Bancorp, Inc.
Other Release No.: LR-22817
AAER-3492 Sep. 25, 2013 Troy Lyndon and Ronald Zaucha
Other Release No.: LR-22813
AAER-3491 Sep. 24, 2013 Owen Mark Williams, CPA
Other Release No.: 34-70492
AAER-3490 Sep. 19, 2013 JPMorgan Chase & Co.
Other Release No.: 34-70458
AAER-3489 Sep. 18, 2013 Brendan N. Connors, CPA
Other Release No.: 34-70450
AAER-3488 Sep. 18, 2013 Marc G. Nochimson, CPA
Other Release No.: 34-70449
AAER-3487 Sep. 18, 2013 Medifast, Inc.
Other Release No.: 34-70448
AAER-3486 Sep. 18, 2013 Imaging Diagnostic Systems, Inc., Linda Grable, and Allan Schwartz
Other Release No.: LR-22801
AAER-3485 Sep. 18, 2013 Imperial Petroleum, Inc., et al.
Other Release No.: LR-22800
AAER-3478 Sep. 11, 2013 True North Finance Corp., et al.
Other Release No.: LR-22796
AAER-3477 Aug. 22, 2013 Thomas S. Wu, Ebrahim Shabudin, and Thomas T. Yu
Other Release No.: LR-22786
AAER-3476 Aug. 14, 2013 Javier Martin-Artajo and Julien G. Grout
Other Release No.: LR-22779
AAER-3475 Aug. 14, 2013 Anchor Bancorp Wisconsin, Inc., et al.
Other Release No.: LR-22778
AAER-3474 Aug. 8, 2013 Michael H. Taber, CPA
Other Release No.: LR-22773
AAER-3473 Jul. 30, 2013 Subramanian Krishnan (CPA)
Other Release No.: 34-70074
AAER-3484 Jul. 22, 2013 China Intelligent Lighting and Electronics, Inc. et al.
Other Release No.: LR-22755
AAER-3472 Jul. 8, 2013 Aichun Li, CPA
Other Release No.: 34-69945
AAER-3471 Jul. 2, 2013 Subramanian Krishnan
Other Release No.: LR-22741
AAER-3470 Jul. 2, 2013 James M. Schneider (Order Denying Motion or in the Alternative Application to Modify Commission Order Imposing Remedial Sanction)
Other Release No.: 34-69922
AAER-3483 Jul. 1, 2013 Fuqi International, Inc. and Yu Kwai Chong
Other Release No.: LR-22739
Second Quarter
AAER-3469 Jun. 28, 2013 Brian D. Fox
Other Release No.: 34-69886
AAER-3468 Jun. 28, 2013 LPB Capital d/b/a Family Office Group, LLC and Gary J. Pappas
Other Release Nos.: IA-3619, 34-69885
AAER-3467 Jun. 27, 2013 Jerry L. Burdick, CPA
Other Release Nos.: AAER-2870, 34-58441
AAER-3466 Jun. 27, 2013 JBI, Inc., John Bordynuik and Ronald Baldwin, Jr.
Other Release No.: LR-22735
AAER-3465 Jun. 26, 2013 Bruce W. Tomlinson, CPA
Other Release No.: 34-69860
AAER-3479 Jun. 20, 2013 China MediaExpress Holdings, Inc. and Zheng Cheng
Other Release No.: LR-22731
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-3482 May 15, 2013 RINO International Corporation, Dejun "David" Zou, and Jianping "Amy" Qiu
Other Release No.: LR-22699
AAER-3458 May 8, 2013 Subaye, Inc. and James T. Crane
Other Release No.: LR-22698
See also: SEC Complaint
AAER-3457 Apr. 26, 2013 John Michael Kelly, et al.
Other Release No.: LR-22688
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

 

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Modified: 01/08/2021