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 Respondents

Third Quarter

AAER-3798 Aug. 30, 2016 AstraZeneca PLC
Other Release No.: 34-78730
See also: Administrative Summary
AAER-3797 Aug. 29, 2016 Thomas Dulek, CPA
Other Release No.: 34-78711
See also: Administrative Summary
AAER-3796 Aug. 24, 2016 Lynn Tilton, et al.
Other Release Nos.: IC-32236, IA-4495
AAER-3795 Aug. 17, 2016 Jason Maiher
Other Release No.: 34-78607
AAER-3794 Aug. 11, 2016 Key Energy Services, Inc.
Other Release No.: 34-78558
See also: Administrative Summary
AAER-3793 Jul. 26, 2016 Yi Chen, CPA
Other Release No.: 34-78413
AAER-3792 Jul. 25, 2016 LAN Airlines S.A.
Other Release No.: 34-78402
AAER-3791 Jul. 22, 2016 James M. Schneider, CPA
Other Release No.: 34-78395
AAER-3790 Jul. 22, 2016 EFP Rotenberg, LLP and Nicholas Bottini, CPA
Other Release No.: 34-78393
AAER-3789 Jul. 15, 2016 The Phoenix Companies, Inc.
Other Release No.: 34-78341
AAER-3788 Jul. 11, 2016 Blair D. Ackman, CPA
Other Release Nos.: IA-4447, 34-78273
AAER-3787 Jul. 8, 2016 Toni Tong Chen, CPA
Other Release No.: 34-78270

Second Quarter

AAER-3786 Jun. 28, 2016 David Rivard
Other Release No.: LR-23585
AAER-3785 Jun. 23, 2016 Timothy Quintanilla, CPA
Other Release No.: 34-78145
AAER-3784 Jun. 21, 2016 Analogic Corporation and Lars Frost
Other Release No.: 34-78113
AAER-3783 Jun. 10, 2016 ICON Capital LLC f/k/a ICON Capital Corporation
Other Release No.: 34-78030
AAER-3782 Jun. 8, 2016 IEC Electronics Corp., Ronald J. Years, CPA and Donald S. Doody
Other Release No.: 34-78017
AAER-3781 Jun. 7, 2016 Frazer Frost, et al.
Other Release Nos.: 34-78010, 33-10092
AAER-3780 Jun. 7, 2016 Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78009, 33-10091
AAER-3779 Jun. 7, 2016 Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78008, 33-10090
AAER-3778 Jun. 7, 2016 Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78007, 33-10089
AAER-3777 Jun. 6, 2016 Silberstein Ungar PLLC, et al.
Other Release No.: 34-77997
AAER-3776 Jun. 1, 2016 Jane E. Starrett, CPA
Other Release Nos.: 33-10085, 34-77967
AAER-3775 May 24, 2016 Swisher Hygiene Inc.
Other Release Nos.: 34-77887, 33-10081
AAER-3774 May 20, 2016 John J. Aesoph, CPA and Darren M. Bennett, CPA
Other Release No.: 34-77882
AAER-3772 Apr. 29, 2016 Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA
Other Release Nos.: IA-4380, 34-77745
AAER-3771 Apr. 26, 2016 David S. Hall, P.C. d/b/a the Hall Group CPAs, et al.
Other Release No.: 34-77718
AAER-3770 Apr. 26, 2016 Cabela's Incorporated and Ralph W. Castner, CPA
Other Release No.: 34-77717
See also: Administrative Summary
AAER-3769 Apr. 21, 2016 Timothy Quintanilla, CPA
Other Release No.: 34-77683
AAER-3768 Apr. 20, 2016 Laura P. Messenbaugh, CPA
Other Release No.: 34-77657
AAER-3767 Apr. 19, 2016 Robert D. Hesselgesser, CPA
Other Release No.: 34-77646
AAER-3766 Apr. 19, 2016 Ener1, Inc., et al.
Other Release Nos.: 34-77645, 33-10068
AAER-3765 Apr. 19, 2016 Logitech International, et al.
Other Release No.: 34-77644
AAER-3764 Apr. 12, 2016 INTL FCStone Inc.
Other Release No.: 34-77596
AAER-3763 Apr. 6, 2016 Thakkar CPA, PLLC, et al.
Other Release No.: 34-77542

First Quarter

AAER-3762 Apr. 5, 2016 James A. White
Other Release No.: 34-77532
AAER-3761 Mar. 30, 2016 Burrill Capital Management, et al.
Other Release Nos.: 34-77473, IA-4360, IC-32060
AAER-3760 Mar. 25, 2016 Elliot R. Berman, et al.
Other Release No.: 34-77447
See Also: Administrative Summary
AAER-3759 Mar. 23, 2016 Novartis AG
Other Release No.: 34-77431
AAER-3758 Mar. 15, 2016 ModusLink Global Solutions, et al.
Other Release Nos.: 34-77372, 33-10055
See also: Administrative Summary
AAER-3757 Mar. 10, 2016 Ronald D. Ormand
Other Release Nos.: 34-77346
AAER-3756 Mar. 10, 2016 Magnum Hunter Resources Corporation
Other Release No.: 34-77345
AAER-3755 Mar. 10, 2016 David S. Krueger, CPA
Other Release No.: 34-77344
AAER-3754 Mar. 10, 2016 Wayne Gray, CPA
Other Release No.: 34-77343
AAER-3753 Mar. 10, 2016 Joseph R. Allred, CPA
Other Release No.: 34-77342
AAER-3752 Mar. 9, 2016 Westlands Water District, Thomas W. Birmingham and Louie David Ciapponi
Other Release No.: 33-10053
AAER-3751 Mar. 1, 2016 Qualcomm Incorporated
Other Release No.: 34-77261
AAER-3750 Feb. 29, 2016 Keybanc Capital Markets Inc.
Other Release No.: 34-77254
AAER-3749 Feb. 26, 2016 Halpern & Associates LLC and Barbara Halpern, CPA
Other Release No.: 34-77248
AAER-3748 Feb. 25, 2016 Timothy Quintanilla, CPA
Other Release No.: 34-77231
AAER-3747 Feb. 24, 2016 David S. Lee, Esq., CPA
Other Release Nos.: IA-4344, 34-77224
AAER-3746 Feb. 23, 2016 Jason Maiher
Other Release No.: 34-77207
AAER-3745 Feb. 17, 2016 Julieta Favela Barcenas
Other Release No.: 34-77162
AAER-3744 Feb. 17, 2016 Donald J. Glidewell, CPA
Other Release No.: 34-77161
AAER-3743 Feb. 16, 2016 PTC Inc.
Other Release No.: 34-77145
AAER-3742 Feb. 11, 2016 Frazer Frost, et al.
Other Release Nos.: 34-77114, 33-10039
See Also:  Administrative Summary
AAER-3741 Feb. 9, 2016 Monsanto Company, et al.
Other Release Nos.: 34-77087, 33-10037
AAER-3740 Feb. 5, 2016 Bioelectronics Corp., et al.
Other Release Nos.: 34-77073, 33-10036
AAER-3739 Feb. 4, 2016 SciClone Pharmaceuticals, Inc.
Other Release No.: 34-77058
See Also:  Administrative Summary
AAER-3738 Feb. 4, 2016 Ignacio Cueto Plaza
Other Release No.: 34-77057
See Also:  Administrative Summary
AAER-3737 Feb. 2, 2016 Traci J. Anderson, CPA (Notice That Initial Decision Has Become Final)
Other Release Nos.: 34-77039, 33-10032
AAER-3736 Feb. 1, 2016 SAP SE
Other Release No.: 34-77005
AAER-3735 Jan. 27, 2016 Justin Moongyu Lee, Esq., CPA
Other Release No.: 34-76978
AAER-3734 Jan. 27, 2016 Andrew M. Miller
Other Release No.: LR-23454
AAER-3733 Jan. 20, 2016 Ocwen Financial Corp.
Other Release No.: 34-76938
AAER-3732 Jan. 12, 2016 Reid A. Hackney, CPA
Other Release No.: 34-76879
AAER-3731 Jan. 12, 2016 Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-76876, 33-10002