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
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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 |