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
Timothy Daly, CPA
Release No. 34-103008, AAER-4568
Elliot Maza, Esq., CPA
Release No. 34-103001, AAER-4567
Robert Scott Murray, CPA
Release No. 34-102867, AAER-4566
James G. Herring, Jr.
Release No. 34-102849, AAER-4565
Sean P. Tafaro, CPA
Release No. 34-102847, AAER-4564
Peter J. Magee, CPA
Release No. 34-102749, AAER-4563
Karen J. Smith, CPA
Release No. 33-11364, 34-102332, AAER-4562
Jason M. Boucher, CPA
Release No. 33-11363, 34-102306, AAER-4561
GrubMarket, Inc.
Release No. 33-11354, AAER-4556
Jeffery Q. Johnson, CPA
Release No. 34-102231, IA-6828, AAER-4560
See Also: Administrative Summary
Celsius Holdings, Inc.
Release No. 34-102227, AAER-4559
See Also: Administrative Summary
Singularity Future Technology, Ltd.
Release No. 34-102225, AAER-4557
See Also: Administrative Summary
American Electric Power Company, Inc.
Release No. 33-11356, 34-102226, AAER-4558
See Also: Administrative Summary
DMK Pharmaceuticals Corporation (f/k/a Adamis Pharmaceuticals Corporation) and Robert O. Hopkins
Release No. 33-11353, 34-102195, AAER-4555
See Also: Administrative Summary
Accell Audit & Compliance, PA
Release No. 34-102060, AAER-4554
Christopher Hiestand, CPA
Release No. 34-102047, AAER-4553
Christopher L. Stanley, CPA
Release No. 34-102020, AAER-4552
Deepak Sharma
Release No. 34-101988, AAER-4551
AAR CORP.
Release No. 34-101987, AAER-4550
Davidson & Company LLP, et al.
Release No. 34-101972, AAER-4549
See Also: Administrative Summary
Express, Inc.
Release No. 34-101934, AAER-4548
Becton, Dickinson and Company
Release No. 33-11344, 34-101931, AAER-4547
Lam D. Ha
Release No. 34-101810, AAER-4545
Michael Hurley, CPA
Release No. 34-101804, AAER-4544
Michael Bellach, CPA
Release No. 34-101731, AAER-4543
United Parcel Service, Inc.
Release No. 33-11328, 34-101702, AAER-4542
BIT Mining Ltd.
Release No. 34-101649, AAER-4541
Aldo Piscitello
Release No. 34-101585, AAER-4540
Prager Metis CPAs LLP
Release No. 34-101580, AAER-4539
Prager Metis CPAs LLC
Release No. 34-101579, AAER-4538
Elanco Animal Health Inc.
Release No. 33-11326, 34-101574, AAER-4537
See Also: Administrative Summary
RTX Corporation
Release No. 34-101353, AAER-4534
Robert H. Turner
Release No. 33-11317, 34-101308, AAER-4533
See Also: Administrative Summary
Moog Inc.
Release No. 34-101307, AAER-4532
Olayinka Temitope Oyebola and Olayinka Oyebola & Co. (Chartered Accountants)
Release No. LR-26143, AAER-4531
See Also: SEC Complaint
Jia Roger Qian Wang, CPA, Wang Certified Public Accountant and P.C. (Order Dismissing Proceedings)
Release No. 34-101214, AAER-4530
Edward F. Hackert, CPA (Order Dismissing Proceedings)
Release No. 33-11310, 34-101206, AAER-4528
Alan J. Markowitz (Order Dismissing Proceedings)
Release No. 34-101205, AAER-4527
Jason Jianxun Tang, CPA (Order Terminating Additional Proceedings)
Release No. 34-101204, AAER-4526
Ira S. Viener, CPA (Order Dismissing Proceedings)
Release No. 34-101203, AAER-4525
James Douglas Miller, CPA
Release No. 34-101199, AAER-4524
Matthew C. McMurdo, Esq.
Release No. 34-101119, AAER-4522
See Also: Administrative Summary
Closed Loop Partners, LLC
Release No. IA-6712, AAER-4521
See Also: Administrative Summary
Prager Metis CPAs, LLC
Release No. LR-26112, AAER-4520
See Also: SEC Complaint , Settlement , Judgment , Press Release
FirstEnergy Corp.
Release No. 33-11302, 34-101014, AAER-4519
See Also: Administrative Summary
Hi2 Investment Management, LLC
Release No. IA-6691, AAER-4517
See Also: Administrative Summary
Deere & Company
Release No. 34-100984, AAER-4518
Portland General Electric Company
Release No. 34-100917, AAER-4515
See Also: Administrative Summary
National Energy Services Reunited Corp.
Release No. 34-100845, AAER-4514
See Also: Administrative Summary
SAExploration Holdings, Inc., et al.
Release No. LR-26078, AAER-4513
Ideanomics, Inc. (f/k/a Seven Star Cloud Group, Inc., Alfred Poor, and Federico Tovar)
Release No. 33-11296, 34-100684, AAER-4512
Robert J. Schettino
Release No. 34-100419, AAER-4511
See Also: Administrative Summary
CPI Aerostructures, Inc.
Release No. 34-100389, AAER-4510
See Also: Administrative Summary
HF Foods Group Inc.
Release No. 33-11289, 34-100288, AAER-4506
See Also: Administrative Summary
Gregory P. Manning
Release No. 34-100258, AAER-4505
Matthew Gamsey, CPA
Release No. 34-100250, AAER-4504
Tyler Burnett Wilson, Esq.
Release No. 34-100170, AAER-4503
Varun Aggarwal, CPA
Release No. 34-100165, IA-6607, IC-35195, AAER-4502
See Also: Administrative Summary
Nicholas Tornello, CPA
Release No. 34-100101, AAER-4501
BF Borgers CPA PC and Benjamin F. Borgers, CPA
Release No. 33-11283, 34-100053, AAER-4500
Edward F. Hackert, CPA (Order Postponing Proceeding)
Release No. 33-11282, 34-100035, AAER-4499
Mark Korb, CA
Release No. 34-100007, AAER-4498
Gil Friedman
Release No. 34-99930, AAER-4497
Rosenberger et al.
Release No. LR-25972, AAER-4496
Edward F. Hackert (Order Regarding Hearing Date)
Release No. 33-11279, AAER-4495, 34-99835
Evoqua Water Technologies Corp. and Imran Parekh
Release No. LR-25950, AAER-4493
See Also: Final Judgment - Evoqua Water Technologies , Final Judgment - Imran Parekh , Partial Judgment - Imran Parekh
Edward F. Hackert, CPA (Order Granting Motion to Amend the Order Instituting Proceedings)
Release No. 33-11276, 34-99716, AAER-4492
Clark Schaefer Hackett & Co.
Release No. 34-99638, AAER-4491
Lordstown Motors Corp.
Release No. 33-11274, 34-99637, AAER-4490
Wang, Jia Roger Qian, CPA and Wang Certified Public Accountant, P.C.
Release No. 34-99518, AAER-4489
Justin Samuel Cary, CPA
Release No. 34-99492, AAER-4488
Cloopen Group Holding Limited
Release No. 34-99483, AAER-4487
Edward F. Hackert, CPA (Order Regarding Service)
Release No. 33-11268, 34-99461, AAER-4486
Karen Rosenberger and Joanna Lanni
Release No. LR-25934, AAER-4485
See Also: Opinion and Order
Jia Roger Qian Wang and Wang Certified Public Accountant, P.C (Order Extending Briefing Deadlines On Motion for Summary Disposition and Postponing Other Deadlines)
Release No. 34-99448, AAER-4484
Edward F. Hackert, CPA
Release No. 33-11267, 34-99384, AAER-4483
See Also: Administrative Summary
Craig A. Golding, CPA
Release No. 34-99348, AAER-4482
SAP SE
Release No. 34-99308, AAER-4481
Brooge Energy Limited, Nicolaas Lammert Paardenkooper and Lina Saheb
Release No. 33-11260, 34-99228, AAER-4480
Dozy Mmobuosi, et al.
Release No. LR-25915, AAER-4479
See Also: SEC Complaint
Dozy Mmobuosi, et al.
Release No. LR-25913, AAER-4478
See Also: SEC Complaint
Joshua Abrahams, CPA (ORDER MODIFYING POSTPONEMENT ORDER)
Release No. 34-99074, AAER-4477
Daniel L. Rothbaum, CPA
Release No. 33-11255, 34-99033, AAER-4475
SAExploration Holdings, Inc., et al.
Release No. LR-25902, AAER-4474
See Also: SEC Complaint , Amended SEC Complaint , Final Judgment - Brian A. Beatty , Final Judgment - SAExploration Holdings, Inc.
Royal Bank of Canada
Release No. 34-98849, AAER-4473
Marco A. Perez, aka Marc Perez
Release No. 34-98788, AAER-4472
Luther C. Speight, III, CPA and Luther Speight & Company, LLC
Release No. 34-98779, AAER-4471
Jonathan J. Ferrie
Release No. 34-98667, AAER-4470
Newell Brands Inc. and Michael B. Polk
Release No. 33-11251, 34-98629, AAER-4469
Albemarle Corporation
Release No. 34-98622, AAER-4468
Forepont Capital LLC
Release No. IA-6438, AAER-4464
See Also: Administrative Summary
Exelon Corporation and Commonwealth Edison Company
Release No. 33-11248, 34-98616, AAER-4467
TAL Education Group
Release No. 34-98611, AAER-4465
Clear Channel Outdoor Holdings, Inc.
Release No. 34-98615, AAER-4466
Robert Del Prete
Release No. 34-98595, AAER-4463
Stanley Stefanski, CPA
Release No. 33-11245, 34-98577, AAER-4462
Michael D. Messina, CPA
Release No. 34-98499, AAER-4461
See Also: Administrative Summary
David C. Powell
Release No. 34-98492, AAER-4460
See Also: Administrative Summary
GTT Communications, Inc.
Release No. 33-11241, 34-98491, AAER-4459
Alfonse Gregory Giugliano, CPA
Release No. 34-98352, AAER-4458
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