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.

Additional Archives

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Third Quarter | Second Quarter | First Quarter

Third Quarter

AAER-3952 Jul. 17, 2018 Jay C. Lake, CPA
Other Release Nos.: 33-10519, 34-83655
AAER-3951 Jul. 12, 2018 Anton & Chia, LLP, et al.
Other Release No.: 34-83622
AAER-3950 Jul. 12, 2018 Patrick J. Gray
Other Release No.: 34-83620
AAER-3949 Jul. 10, 2018 Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA
Other Release Nos.: 33-10517, 34-83612
AAER-3948 Jul. 5, 2018 Credit Suisse Group AG
Other Release No.: 34-83593
AAER-3947 Jul. 2, 2018 The Dow Chemical Company
Other Release No.: 34-83581
AAER-3946 Jul. 2, 2018 KBR, Inc.
Other Release Nos.: 33-10516, 34-83578
AAER-3945 Jul. 2, 2018 Axesstel, Inc., et al.
Other Release No.: LR-24181
AAER-3944 Jul. 2, 2018 Beam Inc., n/k/a Beam Suntory Inc.
Other Release No.: 34-83575

Second Quarter

AAER-3943 Jun. 14, 2018 RSM US LLP
Other Release No.: 34-83428
AAER-3942 Jun. 6, 2018 Michael J. Mona, Jr.
Other Release No.: 34-83391
AAER-3941 May 4, 2018 David T. Leboe, CPA
Other Release No.: 34-83170
AAER-3940 May 4, 2018 Kevin W. McAleer, CPA
Other Release Nos.: 34-83169
AAER-3939 May 4, 2018 Winter, Kloman, Moter & Repp, S.C., et al.
Other Release Nos.: 34-83168, IA-4906
AAER-3938 Apr. 30, 2018 Panasonic Corporation
Other Release No.: 34-83128
AAER-3937 Apr. 24, 2018 Altaba Inc. and f/d/b/a Yahoo! Inc.
Other Release No.: 33-10485
AAER-3936 Apr. 23, 2018 The Dun & Bradstreet Corporation
Other Release No.: 34-83088
AAER-3935 Apr. 19, 2018 Medifirst Solutions, Inc. and Bruce J. Schoengood
Other Release No.: 34-83067
AAER-3934 Apr. 12, 2018 Li, Company, PC and Tony Zhicong Li, CPA
Other Release No.: 33-10482

First Quarter

AAER-3933 Apr. 9, 2018 Philip John James, et al.
Other Release No.: 33-10478, 34-83017
AAER-3932 Mar. 27, 2018 Maxwell Technologies, Inc., et al.
Other Release No.: 33-10472
AAER-3931 Mar. 26, 2018 Akorn, Inc., Timothy Dick, and David Hebeda
Other Release No.: LR-24082
AAER-3930 Mar. 26, 2018 Kinross Gold Corporation
Other Release No.: 34-82946
AAER-3929 Mar. 13, 2018 KPMG
Other Release No.: 34-82862
AAER-3928 Mar. 13, 2018 Deloitte & Touche Chartered Accountants
Other Release No.: 34-82861
AAER-3927 Mar. 13, 2018 KPMG Inc.
Other Release No.: 34-82860
AAER-3926 Mar. 13, 2018 BDO Canada LLP (f/k/a BDO Dunwoody LLP)
Other Release No.: 34-82859
AAER-3925 Mar. 9, 2018 Elbit Imaging Ltd.
Other Release No.: 34-82849
AAER-3924 Feb. 21, 2018 Alan Weinberg, CPA and Weinberg & Baer LLC
Other Release No.: 34-82744
AAER-3923 Feb. 16, 2018 Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al.
Other Release No.: LR-24051
See also SEC Complaints: Sharone Perlstein et al., Jonathan Strum, Alan Weinberg and Weinberg & Baer LLC
AAER-3922 Feb. 16, 2018 Simcha Baer, CPA
Other Release No.: 34-82736
AAER-3921 Feb. 14, 2018 Brian S. Block, CPA
Other Release No.: LR-24046
AAER-3920 Feb. 14, 2018 Brian S. Block, CPA
Other Release No.: 34-82710
AAER-3919 Jan. 22, 2018 Brian Sweet, CPA
Other Release No.: 34-82557
AAER-3918 Jan. 22, 2018 Cynthia Holder, CPA, et al.
Other Release No.: 34-82556
AAER-3917 Jan. 19, 2018 Justin Samuel Cary, CPA
Other Release No.: 34-82554