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.

 Second Quarter |  First Quarter

Additional Archives

2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999

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Release No. Date Respondents

Second Quarter

AAER-4417 Jun. 5, 2023 Cantaloupe, Inc. (Formerly d/b/a USA Technologies, Inc.)
Other Release No.: 33-11202, 34-97651
AAER-4416 Jun. 5, 2023 Maeve M. Duska
Other Release No.: 33-11201, 34-97650
AAER-4415 Jun. 5, 2023 Michael K. Lawlor
Other Release No.: 33-11200, 34-97649
AAER-4414 Jun. 2, 2023 Pending Administrative Proceedings
Other Release No.: 33-11199, 34-97641, IA-6324, IC-34934
AAER-4413 Jun. 2, 2023 Pending Administrative Proceedings
Other Release No.: 33-11198, 34-97640, IA-6323, IC-34933
AAER-4412 Jun 1, 2023 Carl S. Schwartz
Other Release No.: IA-6320
AAER-4411 May 26, 2023 Gartner, Inc.
Other Release No.:  34-97609
AAER-4410 May 25, 2023 Jia Roger Qian Wang, CPA and Wang Certified Public Accountant, P.C. (Order)
Other Release No.: 34-97590
AAER-4409 May 16, 2023 Ramón Lafarga Bátiz
Other Release No.: 34-97512
AAER-4408 May 16, 2023 Noe Corrales Reyes
Other Release No.: 34-97510
AAER-4407 May 16, 2023 Carlos Javier Moctezuma Velasco
Other Release No.: 34-97509
AAER-4406 May 11, 2023 Koninklijke Philips N.V.
Other Release No.: 34-97479
AAER-4405 May 1, 2023 Alan J. Markowitz, CPA (Order)
Other Release No.: 34-97414
AAER-4404 May 1, 2023 Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA
Other Release No.: 34-97413
AAER-4403 Apr. 26, 2023 Frank's International N.V.
Other Release No.: 34-97381
AAER-4402 Apr. 25, 2023 SAExploration Holdings, Inc., et al.
Other Release No.: LR-25700
AAER-4401 Apr. 17, 2023 Martha Patricia Bustos, CPA
Other Release No.: 34-97317
AAER-4400 Apr. 12, 2023 Michael Molen
Other Release Nos.: 34-97292
AAER-4399 Apr. 10, 2023 Bobby Peavler and William Eric Meek
Other Release No.: LR-25690
AAER-4398 Apr. 7, 2023 William Eric Meek
Other Release Nos.: 34-97270
AAER-4397 Apr. 7, 2023 Bobby Peavler
Other Release Nos.: 34-97269
AAER-4396 Apr. 6, 2023 James Fitts, CPA
Other Release No.: 34-97259
AAER-4395 Apr. 4, 2023 Jason Jianxun Tang, CPA
Other Release No.: 34-97246

First Quarter

AAER-4394 Mar. 29, 2023 Spicer Jeffries LLP and Sean P. Tafaro
Other Release No.: 34-97216
AAER-4393 Mar. 28, 2023 Alan J. Markowitz
Other Release No.: 34-97209
AAER-4392 Mar. 21, 2023 Philip R. Jacoby, Jr., et al.
Other Release No.: LR-25671
AAER-4391 Mar. 14, 2023 DXC Technology Company
Other Release Nos.: 33-11166, 34-97140
AAER-4390 Mar. 13, 2023 Evoqua Water Technologies Corp. and Imran Parekh
Other Release No.: LR-25662
AAER-4389 Mar. 10, 2023 Alan J. Markowitz, CPA
Other Release No.: 34-97113
AAER-4388 Mar. 8, 2023 Jia Roger Qian WangJia Roger Qian Wang, et al.
Other Release No.: 34-97074
AAER-4387 Mar. 7, 2023 Andy Chin Fong Chen, CPA
Other Release Nos.: 33-11164, 34-97061
AAER-4386 Mar. 6, 2023 Rio Tinto plc
Other Release No.: 34-97049
AAER-4385 Mar. 6, 2023 Barry D. Loveless, CPA
Other Release No.: 34-97050
AAER-4384 Mar. 6, 2023 Flutter Entertainment and plc as successor-in-interest to The Stars Group, Inc.
Other Release No.: 34-97044
AAER-4383 Mar. 1, 2023 Ramón Lafarga Bátiz
Other Release No.: 34-97007
AAER-4382 Mar. 1, 2023 Carlos Javier Moctezuma Velasco
Other Release No.: 34-97005
AAER-4381 Mar. 1, 2023 Noe Corrales Reye
Other Release No.: 34-97004
AAER-4380 Feb. 28, 2023 Alan J. Markowitz, CPA
Other Release No.: 34-96995
AAER-4379 Feb. 28, 2023 Jia Roger Qian Wang, CPA, and Wang Certified Public Accountant, P.C.
Other Release No.: 34-96994
AAER-4378 Feb. 22, 2023 Alan A. Tucker
Other Release No.: 34-96961
AAER-4377 Feb. 22, 2023 African Gold Acquisition Corp.
Other Release No.: 34-96960
AAER-4376 Feb. 17, 2023 Jia Roger Qian WangJia Roger Qian Wang, et al.
Other Release No.: 34-96949
AAER-4375 Feb. 14, 2023 Roadrunner Transportation Systems, Inc.
Other Release Nos.: 33-11156, 34-96909
AAER-4374 Feb. 8, 2023 Jia Roger Qian Wang, CPA and Wang Certified Public Accountant, P.C.
Other Release No.: 34-96852
AAER-4373 Feb. 7, 2023 Gentex Corporation and Kevin C. Nash
Other Release No.: 34-96819
AAER-4372 Jan. 30, 2023 Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA
Other Release No.: 34-96771
AAER-4371 Jan. 19, 2023 Andy Chin Fong Chen, CPA
Other Release No.: 33-11148. 34-96710
AAER-4370 Jan. 13, 2023 Kurt W. Streams
Other Release No.: 34-96659
AAER-4369 Jan. 12, 2023 Cooper J. Morgenthau
Other Release No.: 34-96652