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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.

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Third Quarter | Second Quarter | First Quarter

Release No. Date Action
Third Quarter
AAER-3680 Aug. 31, 2015 Johnson Lambert LLP and Bradley Scott Diericx, CPA
Other Release No.: 34-75795
AAER-3679 Aug. 18, 2015 The Bank of New York Mellon Corporation
Other Release No.: 34-75720
AAER-3678 Aug. 12, 2015 Vicente E. Garcia
Other Release No.: 34-75684
AAER-3677 Aug. 11, 2015 Vineet Kalucha, CA
Other Release Nos.: 34-75667, IA-4167
AAER-3676 Aug. 11, 2015 Jeffrey L. Lamson, CPA
Other Release No.: 34-75666
AAER-3675 Aug. 7, 2015 Dawn M. Schlegel, CPA
Other Release No.: 34-75645
AAER-3674 Aug. 6, 2015 Wesley N. Stark, CPA and StarkSchenkein, LLP
Other Release Nos.: 34-75627, IA-4162
AAER-3673 Aug. 6, 2015 Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-75622, 33-9881
AAER-3672 Jul. 30, 2015 Christopher Edwards, CA
Other Release No.: 34-75563
AAER-3671 Jul. 21, 2015 Thomas S. Wu and Thomas T. Yu
Other Release Nos.: LR-23309
AAER-3670 Jul. 8, 2015 Vero Capital Management, LLC, et al.
Other Release Nos.: 34-75401, IA-4138, IC-31710
AAER-3669 Jul. 7, 2015 Bryce Walker, CA and Spence Walker, CA, CPA
Other Release No.: 34-75382
Second Quarter
AAER-3668 Jul. 1, 2015 Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton
Other Release Nos.: IC-31703, 34-75343
AAER-3667 Jun. 30, 2015 Jonathan D. Davey, CPA
Other Release No.: 34-75337
AAER-3666 Jun. 30, 2015 Jonathan D. Davey, CPA
Other Release No.: IA-4134
AAER-3665 Jun. 25, 2015 Michael S. Wilson, CPA and Cotterman-Wilson CPAs, Inc.
Other Release Nos.: IA-4130, 34-75298
AAER-3664 Jun. 17, 2015 George Joseph Palathinkal, CPA
Other Release No.: IA-4120
AAER-3663 Jun. 15, 2015 Keith E. Rode, CPA
Other Release Nos.: IA-4113, 34-75171
AAER-3662 Jun. 5, 2015 Computer Sciences Corporation, et al.
Other Release Nos.: 34-75110, 33-9804
AAER-3661 Jun. 4, 2015 David Rivard
Other Release No.: LR-23277
AAER-3660 Jun. 1, 2015 First Bancorp, Anna Hollers and Teresa Nixon (Corrected Order)
Other Release No.: 34-75086
AAER-3659 Jun. 1, 2015 Dickson Lee, CPA
Other Release Nos.: 34-75088, 33-9799
AAER-3658 May 21, 2015 Mayer Hoffman McCann, P.C.
Other Release No.: 34-75028
AAER-3657 May 20, 2015 Renrui Tang
Other Release No.: 34-75014
AAER-3656 May 15, 2015 Thomas A. Neely, Jr.
Other Release Nos.: 34-74976, 33-9772
AAER-3655 May 7, 2015 Gruber & Company LLC and Edward Randall Gruber (CPA)
Other Release No.: 34-74904
AAER-3654 Apr. 29, 2015 Simon Lesser, CPA, CA
Other Release Nos.: IA-4072, IC-31585, 34-74827
AAER-3653 Apr. 27, 2015 Robert Asti
Other Release No.: LR-23247
AAER-3652 Apr. 27, 2015 Donald J. Torbert, CPA, Nicole S. Stokes and CPA.
Other Release Nos.: 34-74816, 34-74816
AAER-3651 Apr. 9, 2015 Michael M. Cohen
Other Release Nos.: 34-74698, 33-9745
AAER-3650 Apr. 9, 2015 AirTouch Communications, Inc., Hideyuki Kanakubo and Jerome Kaiser, CPA
Other Release Nos.: 34-74691, 33-9744
AAER-3649 Apr. 1, 2015 Timothy Edwin Scronce
Other Release Nos.:  34-74626
AAER-3648 Apr. 1, 2015 Michael Hedrick
Other Release Nos.:  34-74625
AAER-3647 Apr. 1, 2015 Marc J. Mize
Other Release No.: 34-74624
First Quarter
AAER-3646 Mar. 31, 2015 Andrew M. Miller
Other Release No.: LR-23225
AAER-3645 Mar. 31, 2015 Polycom, Inc.
Other Release No.: 34-74613
AAER-3644 Mar. 30, 2015 Lynn Tilton, et al.
Other Release Nos.: IC-31539, IA-4053
AAER-3643 Mar. 20, 2015 BDO China Dahua CPA Co., Ltd., et al. (Order Granting the Division of Enforcement's Unopposed Motion to Withdraw Its Petition for Review as to Dahua CPA, Ltd. and Notice That Initial Decision Has Become Final as to Dahua CPA, Ltd.)
Other Release No.: 34-74552
AAER-3642 Mar. 12, 2015 Cynthia A. Sabol, CPA
Other Release No.: 34-74493
AAER-3641 Mar. 2, 2015 Robert W. Elliot
Other Release No.: 34-74401
AAER-3640 Feb. 24, 2015 The Goodyear Tire & Rubber Company
Other Release No.: 34-74356
AAER-3639 Feb. 23, 2015 Halpern & Associates LLC and Barbara Halpern, CPA
Other Release No.: 34-74350
AAER-3638 Feb. 13, 2015 Traci J. Anderson, CPA, Timothy W. Carnahan and Cyios Corporation
Other Release Nos.: 34-74273, 33-9725
AAER-3637 Feb. 11, 2015 Child, Van Wagoner & Bradshaw, PLLC, et al.
Other Release No.: 34-74262
AAER-3636 Feb. 10, 2015 William Slater, CPA and Peter E. Williams, III
Other Release No.: 34-74240
AAER-3635 Feb. 9, 2015 Kevin Morano, CPA
Other Release No.: 34-74235
AAER-3634 Feb. 9, 2015 Jeffrey P. Jorissen, CPA
Other Release No.: 34-74234
AAER-3633 Feb. 9, 2015 Mark V. Sever, CPA
Other Release No.: 34-74233
AAER-3632 Feb. 6, 2015 Marlin R. Brinsky, CPA
Other Release No.: 34-74230
AAER-3631 Feb. 6, 2015 Christopher J. Kelly, ACA
Other Release No.: 34-74229
AAER-3628 Feb. 6, 2015 David Rivard
Other Release No.: LR-23190
AAER-3627 Feb. 6, 2015 BDO China Dahua CPA Co., Ltd., et al.
Other Release No.: 34-74217
AAER-3626 Feb. 4, 2015 Steven Neil, CPA
Other Release No.: 34-74208
AAER-3625 Jan. 30, 2015 Airtouch Communications, Inc., Hideyuki Kanakubo and Jerome Kaiser, CPA
Other Release Nos.: 34-74183, 33-9719
AAER-3624 Jan. 29, 2015 Laurie Bebo and John Buono, CPA
Other Release No.: 34-74177
AAER-3622 Jan. 28, 2015 First National Community Bancorp Inc. and William Lance
Other Release Nos.: 34-74161, 33-9714
AAER-3621 Jan. 27, 2015 Oppenheimer & Co. Inc.
Other Release Nos.: 33-9711, 34-74141
AAER-3620 Jan. 22, 2015 Walid Hatoum
Other Release No.: 34-74112
AAER-3619 Jan. 13, 2015 James T. Crane, CPA
Other Release No.: 34-74039

 

http://www.sec.gov/divisions/enforce/friactions.shtml

Modified: 08/31/2015