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

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

Third Quarter | Second Quarter | First Quarter

Third Quarter

AAER-3993 Nov. 9, 2018 Pyxus International, Inc.
Other Release No.: 34-84562
AAER-3992 Oct. 12, 2018 Richard J. Bertuglia, CPA, John W. Green, CPA and Lev Nagdimov, CPA
Other Release No.: 34-84419
AAER-3991 Sep. 28, 2018 Mota Group, Inc. and Mota "Michael" Faro
Other Release No.: 33-10564
AAER-3990 Sep. 28, 2018 Stryker Corporation
Other Release Nos.: 34-84308
AAER-3989 Sep. 27, 2018 Petroleo Brasileiro S.A. - Petrobras
Other Release Nos.: 33-10561, 34-84295
AAER-3988 Sep. 26, 2018 Dhru Desai
Other Release No.: 34-84291
AAER-3987 Sep. 25, 2018 Lichter, Yu and Associates, Inc., et al.
Other Release No.: 34-84281
AAER-3986 Sep. 21, 2018 James Douglas Miller
Other Release No.: LR-24282
AAER-3985 Sep. 21, 2018 Infrax Systems, Inc.
Other Release No.: 34-84263
AAER-3984 Sep. 21, 2018 First Hartford Corporation
Other Release No.: 34-84262
AAER-3983 Sep. 21, 2018 Dasan Zhone Solutions, Inc.
Other Release No.: 34-84261
AAER-3982 Sep. 21, 2018 Cool Technologies, Inc.
Other Release No.: 34-84260
AAER-3981 Sep. 21, 2018 Cardiff Lexington Corporation (f/k/a Cardiff International, Inc.)
Other Release No.: 34-84258
AAER-3980 Sep. 21, 2018 Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr
Other Release No.: 33-10558
AAER-3979 Sep. 21, 2018 Dennis W. Hamilton, CPA
Other Release No.: 34-84252
AAER-3978 Sep. 21, 2018 Primoris Services Corporation
Other Release No.: 34-84251
AAER-3977 Sep. 20, 2018 Barrett Business Services, Inc. and Mark Cannon, CPA
Other Release Nos.: 33-10557, 34-84233
AAER-3976 Sep. 19, 2018 Bronson L. Quon, CPA
Other Release No.: 34-84207
AAER-3975 Sep. 19, 2018 Robert Torino
Other Release No.: 34-84206
AAER-3974 Sep. 19, 2018 Nasir Shakouri
Other Release No.: 34-84205
AAER-3973 Sep. 19, 2018 Karen Bruton, CPA
Other Release No.: 34-84198
AAER-3972 Sep. 14, 2018 Jennifer F. Wolf, CPA
Other Release No.: 34-84131
AAER-3971 Sep. 12, 2018 Adam C. Wasserman
Other Release No.: LR-24265
AAER-3970 Sep. 13, 2018 Holthouse Carlin & Van Trigt LLP
Other Release Nos.: 34-84118, IA-5008
AAER-3969 Sep. 7, 2018 Sarah E. Adams, CPA
Other Release No.: 34-84055
AAER-3968 Sep. 6, 2018 Joohyun Bahn and a/k/a Dennis Bahn
Other Release No.: 34-84054
AAER-3967 Sep. 4, 2018 John Pierrard
Other Release No.: 34-84024
AAER-3966 Sep. 4, 2018 Joanne K. Viard, CPA
Other Release No.: 34-84023
AAER-3965 Sep. 4, 2018 Michael J. Kipp
Other Release No.: 34-84022
AAER-3964 Sep. 4, 2018 Sanofi
Other Release No.: 34-84017
AAER-3963 Aug. 30, 2018 Philip R. Jacoby, Jr.
Other Release No.: 34-84010
AAER-3962 Aug. 29, 2018 David Michael Naylor, CPA
Other Release No.: 34-83993
AAER-3961 Aug. 27, 2018 Legg Mason, Inc.
Other Release No.: 34-83948
AAER-3960 Aug. 20, 2018 Joseph Jennings, CPA
Other Release No.: 34-83889
AAER-3959 Aug. 17, 2018 Daniel H. Glick, CPA
Other Release No.: 34-83883
AAER-3958 Aug. 16, 2018 Citigroup Inc.
Other Release No.: 34-83858
AAER-3957 Aug. 15, 2018 Lauren Zarsky, CPA
Other Release No.: 34-83854
AAER-3956 Aug. 8, 2018 Robert J. Brehl, CPA
Other Release No.: 34-83807
AAER-3955 Aug. 8, 2018 Daniel M. Fitzpatrick, CPA
Other Release No.: 34-83806
AAER-3954 Aug. 8, 2018 Kevin M. Modany, CPA
Other Release No.: 34-83805
AAER-3953 Aug. 3, 2018 Kurt J. Bordian, CPA
Other Release No.: 34-83772
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
AAER-3933 Apr. 9, 2018 Philip John James, et al.
Other Release No.: 33-10478, 34-83017

First Quarter

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