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 Respondents
James H. Roberts
Release No. 34-95609, AAER-4325
Jigisha Desai
Release No. 34-95611, AAER-4327
The Bancorp, Inc.
Release No. 34-95589, AAER-4323
See Also: Administrative Summary
Farber Hass Hurley LLP; Michel Abedian, CPA; and Michael Hurley, CPA
Release No. 34-95593, AAER-4324
See Also: Administrative Summary
Ronald D. Paul
Release No. LR-25471, AAER-4322
See Also: SEC Complaint
Eagle Bancorp, Inc.
Release No. 33-11092, 34-95505, AAER-4321
Frank Okunak, CPA
Release No. 34-95451, AAER-4320
Brian K. Hutchison
Release No. LR-25463, AAER-4319
See Also: Complaint , Administrative Proceedings Release
Surgalign Holdings, Inc. and Robert P. Jordheim
Release No. 33-11088, 34-95415, AAER-4318
See Also: Complaint
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision)
Release No. 34-95413, AAER-4317
Steven J. Sheinfeld, CPA
Release No. 34-95223, AAER-4315
Arcangelo Loberto, CPA and CA
Release No. 34-95224, AAER-4316
voxeljet AG and Rudolf Franz
Release No. 34-95193, AAER-4314
See Also: Administrative Summary
Ernst & Young LLP
Release No. 34-95167, AAER-4313
Lijuan "Sandra" Hao, CPA
Release No. 34-95076, AAER-4312
See Also: Administrative Summary
CohnReznick LLP
Release No. 34-95066, AAER-4309
Steven C. Avis, CPA, and Steven W. Hurd, CPA
Release No. 34-95071, AAER-4311
Stephen M. Wyss, CPA, Stephen H. Jackson, CPA and Robert G. Hilbert, CPA
Release No. 34-95067, AAER-4310
Stephen G. Waldis
Release No. 34-95054, AAER-4307
Marc Bandini
Release No. 34-95051, AAER-4304
John Murdock
Release No. 34-95053, AAER-4306
Clayton "Charlie" Thomas
Release No. 34-95050, AAER-4303
Ronald Prague, Esq.
Release No. 34-95055, AAER-4308
Daniel Ives
Release No. 34-95052, AAER-4305
Synchronoss Technologies, Inc.
Release No. 34-95049, AAER-4302
PMB Helin Donovan, LLP, Christopher Bauer, CPA and Jeffrey Jamieson, CPA
Release No. 34-94976, AAER-4301
Douglas A. Richardson, CPA
Release No. 34-94906, AAER-4300
Eric A. Alexander, CPA
Release No. 34-94858, AAER-4299
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision)
Release No. 34-94854, AAER-4298
Carl Iberger
Release No. 34-94786, AAER-4297
Brian Dee Matlock, CPA
Release No. 34-94757, AAER-4295
Rollins, Inc. and Paul Edward Northen
Release No. 33-11052, 34-94742, AAER-4294
Mark Loman
Release No. LR-25364, AAER-4293
See Also: Administrative Proceedings Release
Mark Loman, CPA
Release No. 34-94714, AAER-4292
See Also: Litigation Release
Stockman Kast Ryan & Co. LLP. Ellen S. Fisher, CPA; Kast, David H., CPA
Release No. 34-94570, IA-5989, AAER-4291
See Also: Administrative Summary
Carl W. Jasper, CPA
Release No. 34-94493, AAER-4290
Shelby L. Lackey, CPA
Release No. 34-94426, AAER-4289
Halpern & Associates LLC Barbara Halpern, CPA
Release No. 34-94410, AAER-4288
See Also: Administrative Summary
Frazer Frost LLP Woo, Susan, CPA Suen, Miranda, CPA
Release No. 34-94318, AAER-4287
Baxter International Inc., Jeffrey Schaible, Scott Bohaboy
Release No. 33-11033, 34-94295, AAER-4284
Baxter International Inc., Jeffrey Schaible, Scott Bohaboy
Release No. 33-11032, 34-94294, AAER-4283
Baxter International Inc., Jeffrey Schaible, Scott Bohaboy
Release No. 33-11034, 34-94296, AAER-4285
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Stay Order)
Release No. 34-94266, IA-5968, AAER-4282
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision)
Release No. 34-94160, AAER-4281
Nathaniel Brown
Release No. 34-94108, AAER-4280
Wolf, Jennifer F., CPA
Release No. 34-94099, AAER-4279
Vicent C. Petrescu and Aka Vincen Petrescu, CPA
Release No. 34-93884, AAER-4278
Sequential Brands Group, Inc.
Release No. LR-25289, AAER-4277
WEX Inc.
Release No. 34-93753, AAER-4275
See Also: Administrative Summary
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Stay Order)
Release No. 34-93756, IA-5922, AAER-4276
Alan C. Greenwell, CPA
Release No. 34-93750, AAER-4272
See Also: Administrative Summary
Scott D. Clark, CPA
Release No. 34-93752, AAER-4274
See Also: Administrative Summary
Adam D. Bering, Esq.
Release No. 34-93749, AAER-4271
See Also: Administrative Summary
Philip S. Hurak, Esq.
Release No. 34-93751, AAER-4273
See Also: Administrative Summary
Monsanto Company, et al.
Release No. 34-93682, AAER-4270
Shannon D. Doyle
Release No. 34-93647, AAER-4269
ProPetro Holding Corp. and Dale Redman
Release No. 33-11008, 34-93645, AAER-4268
William Wright, CPA
Release No. 34-93568, AAER-4267
Douglas A. Roth
Release No. 34-93548, AAER-4266
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No. 34-93544, AAER-4265
Amyris, Inc.
Release No. 34-93341, AAER-4264
See Also: Administrative Summary
Robert D. Press
Release No. 33-10991, 34-93200, IA-5879, IC-34391, AAER-4263
Donna M. Silverman
Release No. 33-10990, IA-5878, AAER-4262
Ravindranathan Raghunathan, CPA and Craig A. Golding, CPA
Release No. 34-93133, AAER-4258
See Also: Administrative Summary
Reyes, Noe Corrales
Release No. 34-93136, AAER-4260
See Also: Administrative Summary
Velasco, Carlos Javier Moctezuma
Release No. 34-93135, AAER-4259
See Also: Administrative Summary
Bátiz, Ramón Lafarga
Release No. 34-93137, AAER-4261
See Also: Administrative Summary
WPP plc
Release No. 34-93117, AAER-4257
Peter Dichiara
Release No. 34-93101, AAER-4256
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order)
Release No. 34-93092, IA-5870, AAER-4255
John M. Williams
Release No. 34-93018, AAER-4254
Richard J. Koch, CPA
Release No. 34-93014, AAER-4253
Badree Komandur, et al.
Release No. 34-93012, AAER-4252
Brian Sweet, CPA (Notice That Initial Decision Has Become Final)
Release No. 34-93005, AAER-4251
Leonard R. Barr
Release No. 34-92944, AAER-4250
Paul L. Chancey, Jr. (Postponement Order)
Release No. 34-92939, AAER-4249
The Kraft Heinz Co. and Eduardo Pelleissone (Corrected)
Release No. 33-10977, 34-92874, AAER-4248
Pareteum Corporation
Release No. 33-10975, 34-92866, AAER-4247
See Also: Administrative Summary
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order)
Release No. 34-92859, IA-5844, AAER-4246
Jonathan Brett Woodard
Release No. 34-92835, AAER-4245
Healthcare Services Group, Inc., John C. Shea, CPA and Derya D. Warner
Release No. 33-10967, 34-92735, AAER-4244
Paul L. Chancey, Jr. (Protective Order)
Release No. 34-92734, AAER-4243
Knauth, Christopher E., CPA
Release No. 34-92675, AAER-4242
See Also: Administrative Summary
Gary S. Klein
Release No. 34-92611, AAER-4241
See Also: Administrative Summary
Ernst & Young LLP, et al.
Release No. 34-92540, AAER-4239
William G. Stiehl, CPA
Release No. 34-92539, AAER-4238
Paul L. Chancey, Jr. (Order)
Release No. 34-92551, AAER-4240
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order)
Release No. 34-92534, IA-5811, AAER-4237
Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA
Release No. 34-92513, AAER-4234
Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA
Release No. 34-92514, AAER-4235
Steven A. Splain, CPA
Release No. 34-92503, AAER-4232
Michael Mortimer
Release No. 34-92507, AAER-4233
Christopher E. Knauth, CPA (Protective Order)
Release No. 34-92482, AAER-4231
Tandy Leather Factory, Inc. and Shannon Greene, CPA
Release No. 34-92455, AAER-4228
Paul L. Chancey, Jr. (Order)
Release No. 34-92460, AAER-4230
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order Regarding Service)
Release No. 34-92458, IA-5784, AAER-4229
Shaun Greenwald, CPA
Release No. 34-92447, AAER-4227
Stockman Kast Ryan & Co. LLP. Ellen S. Fisher, CPA; Kast, David H., CPA
Release No. 34-92382, IA-5773, AAER-4226
See Also: Administrative Summary
Chancey, Paul L. Jr., CPA
Release No. 34-92378, AAER-4225
See Also: Administrative Summary
PLS,, CPA a Professional Corporation Pls a/k/a, CPAS Park, Chang G., CPA Park, a/k/a Changgeun Lee, Joseph Yongyun, CPA Lee, a/k/a Yong Yun Lee, Juchi, CPA Fernandez, a/k/a Juchi Lee Lee, Ju-Chi Lee, Ju Chi Lee, Sue
Release No. 34-92361, AAER-4224
See Also: Administrative Summary
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