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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Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Fourth Quarter

AAER-4100 Oct. 11, 2019 John Busshaus, CPA
Other Release No.: 33-10718
AAER-4099 Oct. 10, 2019 Northwest Biotherapeutics, Inc.
Other Release No.: 34-87281

Third Quarter

AAER-4098 Sep. 30, 2019 Marla P. Manowitz, CPA, Thomas R. Vreeland, CPA and Kenneth J. Gralak, CPA
Other Release No.: 34-87159
AAER-4097 Sep. 30, 2019 Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP
Other Release No.: 34-87157
AAER-4096 Sep. 27, 2019 Mylan N.V.
Other Release Nos.: LR-24621
AAER-4095 Sep. 27, 2019 FCA US LLC and Fiat Chrysler Automobiles N.V.
Other Release Nos.: 33-10706, 34-87134
AAER-4094 Sep. 26, 2019 PPG Industries, Inc.
Other Release Nos.: 33-10701, 34-87129
AAER-4093 Sep. 25, 2019 Michael P. Toups
Other Release No.: 34-87102
AAER-4092 Sep. 24, 2019 Serge Matta
Other Release Nos.: 33-10693, 34-87070
AAER-4091 Sep. 24, 2019 Comscore, Inc.
Other Release Nos.: 33-10692, 34-87069
AAER-4090 Sep. 23, 2019 Subramanian Krishnan, CPA
Other Release No.: 34-87068
AAER-4089 Sep. 23, 2019 Jason Griffith, CPA
Other Release No.: 34-87063
AAER-4088 Sep. 23, 2019 Carlos Ghosn and Gregory L. Kelly
Other Release No.: LR-24606
AAER-4087 Sep. 23, 2019 TechnipFMC plc.
Other Release No.: 34-87055
AAER-4086 Sep. 23, 2019 Nissan Motor Co., Ltd.
Other Release No.: 34-87054
AAER-4085 Sep. 23, 2019 Brandon Sprankle, CPA
Other Release No.: 34-87053
AAER-4084 Sep. 23, 2019 PricewaterhouseCoopers LLP
Other Release No.: 34-87052
AAER-4083 Sep. 20, 2019 Donald F. Mcgraw, Jr.
Other Release No.: 34-87038
AAER-4082 Sep. 20, 2019 James David Hilty
Other Release No.: 34-87037
AAER-4081 Sep. 20, 2019 The Bancorp, Inc.
Other Release No.: 34-87036
AAER-4080 Sep. 20, 2019 Anton & Chia, LLP, et al.
Other Release No.: 34-87033
AAER-4079 Sep. 19, 2019 David R. Gibson
Other Release Nos.: 34-87032, IA-5357
AAER-4078 Sep. 19, 2019 Kevyn N. Rakowski, CPA
Other Release No.: 34-87007
AAER-4077 Sep. 17, 2019 Tom Simeo
Other Release No.: LR-24599
AAER-4076 Sep. 16, 2019 Marvell Technology Group, Ltd.
Other Release Nos.: 33-10684, 34-86971
AAER-4075 Sep. 13, 2019 ED Capital Management, LLC d/b/a Daniloff Capital Management, LLC
and Elliot Daniloff a/k/a Ilya Olegovich Danilov
Other Release No.: IA-5344
AAER-4074 Sep. 13, 2019 Sridhar Thiruvengadam
Other Release No.: 34-86963
AAER-4073 Sep. 11, 2019 Robert D. Hesselgesser, CPA
Other Release No.: 34-86924
AAER-4072 Sep. 9, 2019 Adrian D. Beamish, CPA
Other Release No.: 34-86903.pd
AAER-4071 Sep. 6, 2019 Abner Silva
Other Release Nos.: 33-10681, 34-86900
AAER-4070 Sep. 5, 2019 Daniel Khesin
Other Release Nos.: 33-10680, 34-86889
AAER-4069 Aug. 29, 2019 Juniper Networks, Inc.
Other Release No.: 34-86812
AAER-4068 Aug. 29, 2019 Robin Smyth
Other Release No.: 34-86804
AAER-4067 Aug. 27, 2019 Alan G. Heide, CPA
Other Release No.: 34-86771
AAER-4066 Aug. 27, 2019 RSM US LLP (f/k/a McGladrey LLP)
Other Release No.: 34-86770
AAER-4065 Aug. 22, 2019 Deutsche Bank AG
Other Release No.: 34-86740
AAER-4064 Aug. 21, 2019 Michael Filkoski, CPA and Scott Magnuson, CPA
Other Release No.: 34-86720
AAER-4063 Aug. 7, 2019 Thomas W. Avent, Jr., CPA, Esq.
Other Release No.: 34-86594
AAER-4062 Aug. 5, 2019 Nandu Thondavadi
Other Release No.: 34-86564
AAER-4061 Aug. 1, 2019 Brixmor Property Group Inc.
Other Release Nos.: 34-86538
AAER-4060 Jul. 26, 2019 Nevanna Sacks, CPA
Other Release Nos.: 34-86495
AAER-4059 Jul. 16, 2019 Dov Weinstein, CPA and Dov Weinstein & Co., CPA
Other Release Nos.: 34-86385
See also: Administrative Summary
AAER-4058 Jul. 10, 2019 Thomas H. Laws, CPA
Other Release No.: 34-86350
AAER-4057 Jul. 1, 2019 Thomas Chang, CPA
Other Release No.: 34-86252

Second Quarter

AAER-4056 Jun. 28, 2019 S. Jeffrey Jones, CPA
Other Release No.: 34-86240
AAER-4055 Jun. 28, 2019 R. Gordon Jones, CPA
Other Release No.: 34-86239
AAER-4054 Jun. 20, 2019 Walmart Inc.
Other Release No.: 34-86159
AAER-4053 Jun. 17, 2019 Michael Santicchia, CPA
Other Release No.: 34-86124
AAER-4052 Jun. 17, 2019 Stephen D. Cheaney, CPA
Other Release No.: 34-86123
AAER-4051 Jun. 17, 2019 KPMG LLP
Other Release No.: 34-86118
AAER-4050 Jun. 14, 2019 David Vogel, CPA
Other Release No.: 34-86107
AAER-4049 Jun. 5, 2019 Pinnacle Accountancy Group, PLLC and Douglas W. Child, CPA
Other Release No.: 34-86034
AAER-4048 Jun. 5, 2019 Michael T. Rand, CPA
Other Release No.: 34-86028
AAER-4047 May 13, 2019 Bryan B. Long, CPA
Other Release No.: 34-85847
AAER-4046 May 9, 2019 TelefĂ´nica Brasil S.A.
Other Release No.: 34-85819
AAER-4045 May 3, 2019 GT Advanced Technologies Inc.
Other Release Nos.: 33-10636, 34-85767
AAER-4044 Apr. 25, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85717
AAER-4043 Apr. 23, 2019 Michael F. Cronin, CPA
Other Release No.: 34-85709
AAER-4042 Apr. 22, 2019 David M. Martin, CPA
Other Release No.: 34-85703
AAER-4041 Apr. 22, 2019 Dov Zaidman, CPA, and ZBS Group LLP
Other Release Nos.: 33-10632, 34-85702
AAER-4040 Apr. 11, 2019 Karen Bruton and Hope Advisors, LLC (Order Regarding Further Proceedings)
Other Release No.: 34-85630, IA-5222
AAER-4039 Apr. 10, 2019 Adam C. Derbyshire
Other Release Nos.: 33-10627, 34-85582
AAER-4038 Apr. 4, 2019 Evan R. Kita, et al.
Other Release No.: LR-24441
AAER-4037 Apr. 5, 2019 KLJ & Associates, LLP, Kent L. Jensen, CPA and Ronald A. Burgmeier, CPA
Other Release No.: 34-85518
AAER-4036 Apr. 3, 2019 Evan R. Kita, CPA
Other Release No.: 34-85496
AAER-4035 Apr. 2, 2019 Kevin E. Brooks, CPA
Other Release No.: 34-85483
AAER-4034 Apr. 1, 2019 Jennifer F. Wolf, CPA
Other Release No.: 34-85478

First Quarter

AAER-4033 Mar. 29, 2019 Fresenius Medical Care AG & Co. KGaA
Other Release No.: 34-85468
AAER-4032 Mar. 26, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA, and Michael Remus CPA
Other Release No.: 34-85423
AAER-4031 Mar. 22, 2019 Judson F. "Rick" Hoover, CPA
Other Release No.: 34-85398
AAER-4030 Mar. 13, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85310
AAER-4029 Mar. 11, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85284
AAER-4028 Mar. 6, 2019 Mobile TeleSystems PJSC
Other Release No.: 34-85261
AAER-4027 Mar. 5, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85250
AAER-4026 Mar. 1, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85237
AAER-4025 Mar. 1, 2019 Arthur Viola
Other Release No.: 34-85234
AAER-4024 Mar. 1, 2019 DLL CPAS, LLC and Debra Lee Lindaman, CPA
Other Release No.: 34-85233
AAER-4023 Feb. 21, 2019 David Pruitt, CPA
Other Release No.: 34-85171
AAER-4022 Feb. 15, 2019 Jeffrey M. Mattich
Other Release No.: 34-85159
AAER-4021 Feb. 15, 2019 Cognizant Technology Solutions Corporation
Other Release No.: 34-85149
AAER-4020 Feb. 13, 2019 Deloitte Touche Tohmatsu LLC, Futomichi Amano and Yuji Itagaki
Other Release No.: 34-85115
AAER-4019 Feb. 8, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85081
AAER-4018 Jan. 29, 2019 Digital Turbine, Inc.
Other Release No.: 34-84998
AAER-4017 Jan. 29, 2019 Grupo Simec S.A.B. de C.V.
Other Release No.: 34-84996
AAER-4016 Jan. 29, 2019 Lifeway Foods, Inc.
Other Release No.: 34-84995
AAER-4015 Jan. 29, 2019 CytoDyn Inc.
Other Release No.: 34-84994
AAER-4014 Jan. 14, 2019 LBB & Associates Ltd., LLP and Carlos Lopez, CPA
Other Release No.: 34-84983
AAER-4013 Jan. 9, 2019 Katz, Sapper & Miller, LLP and Scott C. Price, CPA
Other Release Nos.: 34-84980, IA-5100