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

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

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Fourth Quarter

AAER-4191 Oct. 22, 2020 The Goldman Sachs Group, Inc.
Other Release No.: 34-90243
AAER-4190 Oct. 15, 2020 Andeavor LLC
Other Release No.: 34-90208
AAER-4189 Oct. 14, 2020 J&F Investimentos, S.A., JBS, S.A., Joesley Batista, Wesley Batista
Other Release No.: 34-90170
AAER-4188 Oct. 14, 2020 Allen Garner
Other Release No.: 34-90168
AAER-4187 Oct. 14, 2020 Daniel O'Neal
Other Release No.: 34-90167
AAER-4186 Oct. 14, 2020 James DePalma, CPA
Other Release No.: 34-90166
AAER-4185 Oct. 5, 2020 Hill International, Inc. et al.
Other Release No.: LR-24939
AAER-4184 Oct. 5, 2020 Nicholas Tornello, CPA
Other Release No.: 34-90089

Third Quarter

AAER-4183 Sep. 30, 2020 HP Inc.
Other Release Nos.: 33-10868, 34-90060
AAER-4182 Sep. 30, 2020 Hilton Worldwide Holdings Inc.
Other Release No.: 34-90052
AAER-4181 Sep. 30, 2020 BGC Partners, Inc.
Other Release Nos.: 33-10867, 34-90050, 34-90050
AAER-4180 Sep. 29, 2020 Michael Schneider, CPA
Other Release Nos.: 33-10863, 34-90045
AAER-4179 Sep. 29, 2020 Stephen Harrison
Other Release Nos.: 33-10862, 34-90044
AAER-4178 Sep. 29, 2020 Andrew Rooke
Other Release Nos.: 33-10861, 34-90043
AAER-4177 Sep. 29, 2020 Manitex International, Inc.
Other Release Nos.: 33-10860, 34-90042
AAER-4176 Sep. 28, 2020 Kanako Matsumoto, CPA
Other Release No.: 34-90025
AAER-4175 Sep. 28, 2020 Interface, Inc., et al.
Other Release Nos.: 34-90017, 34-90018, 34-90018
AAER-4174 Sep. 28, 2020 Fulton Financial Corporation
Other Release No.: 34-90017
AAER-4173 Sep. 25, 2020 Lam D. Ha, CPA
Other Release No.: 34-90010
AAER-4172 Sep. 25, 2020 James L. Thompson, CPA
Other Release No.: 34-90008
AAER-4171 Sep. 25, 2020 Aeon Global Health Corp.
Other Release No.: 34-90003
AAER-4170 Sep. 24, 2020 Revolution Lighting Technologies, Inc., et al.
Other Release No.: LR-24915
AAER-4169 Sep. 24, 2020 Power Solutions International, Inc.
Other Release No.: 34-89984
AAER-4168 Sep. 21, 2020 Steven L. Jenkins, CPA
Other Release No.: 34-89936
AAER-4167 Sep. 14, 2020 Henry Seth Brock, CPA
Other Release No.: 34-89861
AAER-4166 Sep. 4, 2020 SQN Capital Management, LLC
Other Release No.: IA-5573
AAER-4165 Aug. 28, 2020 Herbalife Nutrition Ltd.
Other Release No.: 34-89704
AAER-4164 Aug. 26, 2020 BorgWarner Inc.
Other Release No.: 34-89677
AAER-4163 Aug. 25, 2020 Charles Liang
Other Release No.: 34-89658
AAER-4162 Aug. 25, 2020 Howard Hideshima
Other Release Nos.: 33-10822, 34-89656, 34-89656
AAER-4161 Aug. 25, 2020 Super Micro Computer, Inc.
Other Release Nos.: 33-10822, 34-89656, 34-89656
AAER-4160 Aug. 14, 2020 Mark P. Frissora
Other Release No.: 34-89569
AAER-4159 Aug. 13, 2020 Brian Dee Matlock, CPA
Other Release No.: 34-89552
AAER-4158 Aug. 6, 2020 World Acceptance Corporation
Other Release No.: 34-89489
AAER-4157 Aug. 5, 2020 Scott M. Dittman, CPA
Other Release No.: 33-10816
AAER-4156 Aug. 4, 2020 Tommy Shek, CPA
Other Release No.: 34-89475
AAER-4155 Jul. 31, 2020 Tanya R. Carro, CPA
Other Release Nos.: 33-10812, 34-89445
AAER-4154 Jul. 31, 2020 J. Michael Pearson
Other Release Nos.: 33-10810, 34-89443
AAER-4153 Jul. 31, 2020 Valeant Pharmaceuticals International, Inc. and n/k/a Bausch Health Companies Inc.
Other Release Nos.: 33-10809, 34-89442
AAER-4152 Jul. 15, 2020 Paul J. Konigsberg
Other Release No.: 34-89326
AAER-4151 Jul. 2, 2020 Alexion Pharmaceuticals, Inc.
Other Release Nos.: 34-89214

Second Quarter

AAER-4150 Jun. 25, 2020 Novartis AG
Other Release No.: 34-89149
AAER-4149 Jun. 23, 2020 Vereit, Inc.
Other Release Nos.: 33-10793, 34-89133
AAER-4148 Jun. 18, 2020 PLS, CPA, et al.
Other Release No.: 34-89099
AAER-4147 Jun. 5, 2020 Jana Faith Kiena, CPA
Other Release No.: 34-89023
AAER-4146 Jun. 4, 2020 Argo Group International Holdings, Ltd.
Other Release No.: 34-89009
AAER-4145 Jun. 3, 2020 Christopher D. Larson (CPA)
Other Release No.: 34-88998
AAER-4144 May 22, 2020 TSP Capital Management Group, LLC
Other Release No.: IA-5508
AAER-4143 May 18, 2020 John Donovan, CPA
Other Release No.: 34-88895
AAER-4142 May 18, 2020 Michael Bellach, CPA
Other Release No.: 34-88895
AAER-4141 May 18, 2020 Timothy Daly, CPA
Other Release No.: 34-88895
AAER-4140 May 12, 2020 TCA Fund Management Group Corp. and TCA Global Credit Fund GP, Ltd.
Other Release No.: LR-24815
AAER-4139 May 11, 2020 PLS, CPA, et al.
Other Release No.: 34-88851
AAER-4138 May 5, 2020 Jeffery A. Curran, CA
Other Release No.: 34-88808
AAER-4137 May 1, 2020 Jay Phillip Norris, CPA
Other Release No.: 34-88798
AAER-4136 May 1, 2020 PLS, CPA, et al.
Other Release No.: 34-88796
AAER-4135 May 1, 2020 Sara M. Brunnquell, CPA
Other Release No.: 34-88794
AAER-4134 May 1, 2020 Todd H. Takeyasu, CA
Other Release No.: 34-88791
AAER-4133 Apr. 28, 2020 Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab
Other Release No.: LR-24809
AAER-4132 Apr. 28, 2020 William M. Aisenberg, CPA
Other Release No.: 34-88762
AAER-4131 Apr. 24, 2020 PLS, CPA, et al.
Other Release No.: 34-88739
AAER-4130 Apr. 22, 2020 Elliot R. Berman, CPA
Other Release No.: 34-88731
AAER-4129 Apr. 22, 2020 Brian M. Storms
Other Release No.: 34-88724
AAER-4128 Apr. 22, 2020 Kenneth D. Shifrin, CPA
Other Release No.: 34-88723
AAER-4127 Apr. 22, 2020 Brian L. Ferdinand
Other Release Nos.: 33-10775, 34-88720, 34-88720
AAER-4126 Apr. 22, 2020 N. Scott Gillis, CPA
Other Release No.: IA-5482
AAER-4125 Apr. 17, 2020 Brian Robert Sodi, CPA
Other Release No.: 34-88680
AAER-4124 Apr. 17, 2020 Eni S.p.A.
Other Release No.: 34-88679
AAER-4123 Apr. 16, 2020 Miranda Suen, CPA
Other Release No.: 34-88659
AAER-4122 Apr. 15, 2020 Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP
Other Release No.: 34-88653
AAER-4121 Apr. 8, 2020 Jeffrey D. Cordes et al.
Other Release No.: LR-24792

First Quarter

AAER-4120 Mar. 20, 2020 Ronald Emma, CPA
Other Release No.: 34-88432
AAER-4119 Mar. 12, 2020 David G. Dreslin, CPA
Other Release No.: 34-88377
AAER-4118 Feb. 28, 2020 Cardinal Health, Inc.
Other Release No.: 34-88303
AAER-4117 Feb. 26, 2020 RSM US LLP (f/k/a/ Mcgladrey LLP)
Other Release No.: 34-88287
AAER-4116 Jan. 27, 2020 LBB & Associates Ltd., LLP and Carlos Lopez, CPA
Other Release No.: 34-88140
AAER-4115 Jan. 27, 2020 Steven M. Des Champs, CPA
Other Release No.: 34-88048
AAER-4114 Jan. 16, 2020 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus, CPA (Corrected Order Granting Petitions for Review and Scheduling Briefs)
Other Release No.: 34-88001
AAER-4113 Jan. 15, 2020 Jeffrey Wada, CPA
Other Release No.: 34-87970
AAER-4112 Jan. 15, 2020 David Middendorf, CPA
Other Release No.: 34-87969
AAER-4111 Jan. 3, 2020 Robert A. Karmann, CPA
Other Release No.: 34-87884