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Accounting and Auditing Enforcement Releases Archive: 2007
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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Fourth Quarter | Third Quarter | Second Quarter | First Quarter
| Release No. |
Date |
Action
|
| Fourth Quarter |
| AAER-2762 |
Dec. 31, 2007 |
Joseph F. Apuzzo
Other Release No.: LR-20418
See also: Complaint in this matter
|
| AAER-2761 |
Dec. 27, 2007 |
Richard E. Sellers, CPA, and Lester Rex Andersen, CPA
Other Release No.: 34-57053
|
| AAER-2760 |
Dec. 21, 2007 |
Lucent Technologies Inc.
Other Release No.: LR-20414
See also: Complaint in this matter
|
| AAER-2759 |
Dec. 20, 2007 |
Gregory B. Tayler, CA
Other Release No.: 34-57008
|
| AAER-2758 |
Dec. 19, 2007 |
Santo C. Maggio
Other Release No.: LR-20405
See also: Complaint in this matter
|
| AAER-2757 |
Dec. 12, 2007 |
Michael J. Nolan
Other Release No.: LR-20396
See also: Complaint in this matter
|
| AAER-2756 |
Dec. 11, 2007 |
Anthony P. Dolanski
Other Release No.: 34-56942
|
| AAER-2755 |
Dec. 11, 2007 |
Thomas J. Saiz, and Calderon, Jaham & Osborn, An Accountancy Corporation
Other Release No.: LR-20394
See also: Complaint in this matter
|
| AAER-2754 |
Dec. 6, 2007 |
William W. McGuire, M.D.
Other Release No.: LR-20387
See also: Complaint in this matter
|
| AAER-2753 |
Nov. 26, 2007 |
Joseph J. Monterosso and Luis E. Vargas
Other Release No.: LR-20371
See also: Complaint in this matter
|
| AAER-2752 |
Nov. 26, 2007 |
Chancellor Corporation, et. al.
Other Release No.: LR-20370
|
| AAER-2751 |
Nov. 26, 2007 |
Michael J. Pietrzak and Maurice W. Furlong
Other Release No.: LR-20369
See also: Complaint in this matter
|
| AAER-2750 |
Nov. 8, 2007 |
James N. Stanard, Martin J. Merritt and Michael W. Cash
Other Release No.: LR-20360
|
| AAER-2749 |
Nov. 6, 2007 |
Warren Martin, CPA
Other Release No.: 34-56755
|
| AAER-2748 |
Oct. 30, 2007 |
Ramoil Management Ltd. et al.
Other Release No.: LR-20350
|
| AAER-2747 |
Oct. 25, 2007 |
Fred Gold, CPA
Other Release No.: 34-56705
|
| AAER-2746 |
Oct. 25, 2007 |
David H. Brooks
Other Release No.: LR-20345
See also: Complaint in this matter
|
| AAER-2745 |
Oct. 19, 2007 |
Fred Gold, et al
Other Release No.: LR-20342
|
| AAER-2744 |
Oct. 18, 2007 |
MQ Associates, Inc.
Other Release No.: 34-56674
|
| AAER-2743 |
Oct. 18, 2007 |
Thomas C. Gentry, C.P.A.
Other Release No.: 34-56673
|
| AAER-2742 |
Oct. 17, 2007 |
Cedric Kushner Promotions, Inc., et al.
Other Release No.: LR-20337
|
| AAER-2741 |
Oct. 17, 2007 |
Urs Kamber, Stephan Husi and Richard Jon May
Other Release No.: LR-20336
See also: Complaint in this matter
|
| AAER-2740 |
Oct. 15, 2007 |
Nortel Networks Corporation and Nortel Networks Limited
Other Release No.: LR-20333
See also: Complaint in this matter
|
| AAER-2739 |
Oct. 2, 2007 |
Robert D. Doty, Jr. and Gene S. Foster, et al.
Other Release No.: LR-20320
|
| Third Quarter |
| AAER-2738 |
Sep. 28, 2007 |
Jamie Olis, CPA
Other Release No.: 34-56578
|
| AAER-2737 |
Sep. 28, 2007 |
Gene S. Foster
Other Release No.: 34-56577
|
| AAER-2736 |
Sep. 28, 2007 |
Robert D. Doty, Jr.
Other Release No.: 34-56576, 33-8855
|
| AAER-2735 |
Sep. 28, 2007 |
Helen C. Sharkey, CPA
Other Release No.: 34-56575
|
| AAER-2734 |
Sep. 28, 2007 |
Walter Cercavschi, CPA
Other Release No.: 34-56574
|
| AAER-2733 |
Sep. 27, 2007 |
Bruce D. Kay, CPA
Other Release No.: 34-56562
|
| AAER-2732 |
Sep. 27, 2007 |
Robert J. Gagalis, CPA
Other Release No.: 34-56561
|
| AAER-2731 |
Sep. 27, 2007 |
Hor Chong (David) Boey, CPA
Other Release No.: 34-56560
|
| AAER-2730 |
Sep. 27, 2007 |
Tidewater Inc., and James Keith Lousteau, CPA
Other Release No.: 34-56557
|
| AAER-2729 |
Sep. 27, 2007 |
Robert C. Dean
Other Release No.: 33-8850
|
| AAER-2728 |
Sep. 27, 2007 |
Federal Home Loan Mortgage Corporation, et al.
Other Release No.: LR-20304
See also: Complaint in this matter; Administrative Proceeding 33-8850
|
| AAER-2727 |
Sep. 26, 2007 |
Bristow Group Inc.
Other Release No.: 34-56533
|
| AAER-2726 |
Sep. 25, 2007 |
Chandramowli Srinivasan
Other Release No.: LR-20296
See also: Complaint in this matter; Administrative Proceeding 34-56519
|
| AAER-2725 |
Sep. 25, 2007 |
Electronic Data Systems Corporation
Other Release No.: 34-56519
Note: See also Litigation Release No. 20296
|
| AAER-2724 |
Sep. 20, 2007 |
James M. Materna (CPA)
Other Release No.: 34-56486
|
| AAER-2723 |
Sep. 20, 2007 |
John R. Holtzhauser (CPA)
Other Release No.: 34-56485
|
| AAER-2722 |
Sep. 20, 2007 |
Paul R. Venesky (CPA)
Other Release No.: 34-56484
|
| AAER-2721 |
Sep. 19, 2007 |
Press C. Southworth, CPA
Other Release No.: 34-56470
|
| AAER-2720 |
Sep. 19, 2007 |
Robert M. Harbrecht, CPA and Brian R. Spires, CPA
Other Release No.: 34-56469
|
| AAER-2719 |
Sep. 17, 2007 |
Linda Jones and Leslie H. Knox
Other Release No.: LR-20285
|
| AAER-2718 |
Sep. 14, 2007 |
Barry M. Budilov
Other Release No.: 34-56445
|
| AAER-2717 |
Sep. 13, 2007 |
Ferro Corporation and Anthony J. Maikut
Other Release No.: 34-56438
|
| AAER-2716 |
Sep. 13, 2007 |
Richard E. Sellers, CPA, and Lester Rex Andersen, CPA
Other Release No.: 34-56436
Note: See also the Order in this matter
|
| AAER-2715 |
Sep. 13, 2007 |
Story & Company, P.C. and Brian L. Story, CPA
Other Release No.: 34-56435
Note: See also the Order in this matter
|
| AAER-2714 |
Sep. 13, 2007 |
Schuhalter Coughlin & Suozzo PC and Edward J. Suozzo, CPA
Other Release No.: 34-56434
Note: See also the Order in this matter
|
| AAER-2713 |
Sep. 13, 2007 |
Michael Deutchman, CPA
Other Release No.: 34-56433
Note: See also the Order in this matter
|
| AAER-2712 |
Sep. 13, 2007 |
Jay J. Shapiro, CPA, P.C. and Jay J. Shapiro, CPA
Other Release No.: 34-56432
Note: See also the Order in this matter
|
| AAER-2711 |
Sep. 13, 2007 |
Halt, Buzas & Powell, Ltd., Wayne A. Powell, CPA, and Steven R. Halt, CPA
Other Release No.: 34-56431
Note: See also the Order in this matter
|
| AAER-2710 |
Sep. 13, 2007 |
Frederick A. Kaden & Co. and Frederick A. Kaden, CPA
Other Release No.: 34-56430
Note: See also the Order in this matter
|
| AAER-2709 |
Sep. 13, 2007 |
Choi Dow Ian Hong & Lee Accountancy Corporation and Ernest E. Dow, CPA
Other Release No.: 34-56429
Note: See also the Order in this matter
|
| AAER-2708 |
Sep. 13, 2007 |
Carl S. Sanko, CPA
Other Release No.: 34-56428
Note: See also the Order in this matter
|
| AAER-2707 |
Sep. 13, 2007 |
Banker & Co. and Jitendra S. Banker
Other Release No.: 34-56427
Note: See also the Order in this matter
|
| AAER-2706 |
Sep. 13, 2007 |
William E. Costello, CPA
Other Release No.: 34-56426
|
| AAER-2705 |
Sep. 13, 2007 |
United Financial CPA PC and Anowar Hossain, CPA
Other Release No.: 34-56425
|
| AAER-2704 |
Sep. 13, 2007 |
Sanford H. Feibusch, CPA, PC and Sanford H. Feibusch, CPA
Other Release No.: 34-56424
|
| AAER-2703 |
Sep. 13, 2007 |
Reed & Taylor, CPAs, P.C. and Robert E. Reed, CPA
Other Release No.: 34-56423
|
| AAER-2702 |
Sep. 13, 2007 |
Randy Simpson, CPA, P.C. and Randy R. Simpson, CPA
Other Release No.: 34-56422
|
| AAER-2701 |
Sep. 13, 2007 |
Preferred Accounting Services, Inc. and Ana Costales, CPA
Other Release No.: 34-56421
|
| AAER-2700 |
Sep. 13, 2007 |
Norman Stumacher, CPA
Other Release No.: 34-56420
|
| AAER-2699 |
Sep. 13, 2007 |
Milner and Brock, CPA's and Stephen D. Milner, CPA
Other Release No.: 34-56419
|
| AAER-2698 |
Sep. 13, 2007 |
Michael C. Lingerman, CPA
Other Release No.: 34-56418
|
| AAER-2697 |
Sep. 13, 2007 |
McNeal, Williamson & Co. and Daniel L. Williamson, CPA
Other Release No.: 34-56417
|
| AAER-2696 |
Sep. 13, 2007 |
Joseph Mao, CPA
Other Release No.: 34-56416
|
| AAER-2695 |
Sep. 13, 2007 |
Isaac Gordon, CPA
Other Release No.: 34-56415
|
| AAER-2694 |
Sep. 13, 2007 |
Henry Schiffer, CPA, An Accountancy Corporation and Henry Schiffer, CPA
Other Release No.: 34-56414
|
| AAER-2693 |
Sep. 13, 2007 |
Henry L. Creel Co., Inc. and Henry L. Creel, CPA
Other Release No.: 34-56413
|
| AAER-2692 |
Sep. 13, 2007 |
Harvey S. Weingard, CPA
Other Release No.: 34-56412
|
| AAER-2691 |
Sep. 13, 2007 |
F.X. Duffy & Co., Inc. and Kevin P. Duffy, CPA
Other Release No.: 34-56411
|
| AAER-2690 |
Sep. 13, 2007 |
Forbush & Associates and Daniel J. Forbush, CPA
Other Release No.: 34-56410
|
| AAER-2689 |
Sep. 13, 2007 |
David M. Winings, CPA, An Accountancy Corporation and David M. Winings, CPA
Other Release No.: 34-56409
|
| AAER-2688 |
Sep. 13, 2007 |
Darilek, Butler & Co., P.C. and Robert F. Darilek, CPA
Other Release No.: 34-56408
|
| AAER-2687 |
Sep. 13, 2007 |
Dan Clasby & Company and Daniel E. Clasby, CPA
Other Release No.: 34-56407
|
| AAER-2686 |
Sep. 13, 2007 |
Charles R. Hunt, CPA, PA and Charles R. Hunt, CPA
Other Release No.: 34-56406
|
| AAER-2685 |
Sep. 13, 2007 |
Charles J. Birnberg, CPA
Other Release No.: 34-56405
|
| AAER-2684 |
Sep. 13, 2007 |
Bujan & Associates, Ltd. and Frank Bujan, CPA
Other Release No.: 34-56404
|
| AAER-2683 |
Sep. 13, 2007 |
Bruce Redlin, CPA
Other Release No.: 34-56403
|
| AAER-2682 |
Sep. 13, 2007 |
Bray & Associates CPA's, LLC and Arnold D. Bray, CPA
Other Release No.: 34-56402
|
| AAER-2681 |
Sep. 13, 2007 |
Beutel Accountancy Corporation and Todd W. Beutel, CPA
Other Release No.: 34-56401
|
| AAER-2680 |
Sep. 13, 2007 |
Berger, Apple & Associates, Ltd. and Mitchell S. Seifert, CPA
Other Release No.: 34-56400
|
| AAER-2679 |
Sep. 13, 2007 |
Beckman Kirkland & Whitney; James M. Kirkland, CPA; and Robert J. Whitney, CPA
Other Release No.: 34-56399
|
| AAER-2678 |
Sep. 13, 2007 |
Andrew M. Smith, CPA
Other Release No.: 34-56398
|
| AAER-2677 |
Sep. 12, 2007 |
David Heyman, CPA
Other Release No.: 34-56395
|
| AAER-2676 |
Sep. 12, 2007 |
Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly, MaryAnne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor
Other Release No.: LR-20275
See also: Complaint in this matter
|
| AAER-2675 |
Sep. 6, 2007 |
Dean A. Nichols
Other Release No.: 34-56366
|
| AAER-2674 |
Sep. 5, 2007 |
Saks Incorporated
Other Release No.: LR-20266
See also: Complaint in this matter
|
| AAER-2673 |
Aug. 30, 2007 |
Integrated Electrical Services, Inc., Herbert R. Allen, Richard L. China, Thomas E. Stalvey, Ernest P. Breaux, James M. Calcote, and J. Carl Cannon
Other Release No.: LR-20261
See also: Administrative Proceeding 34-56341
|
| AAER-2672 |
Aug. 30, 2007 |
David A. Miller, CPA
Other Release No.: 34-56341
|
| AAER-2671 |
Aug. 30, 2007 |
David R. Decker, CPA
Other Release No.: 34-56340
|
| AAER-2670 |
Aug. 29, 2007 |
Ilona Kay Collins
Other Release No.: 34-56334
|
| AAER-2669 |
Aug. 22, 2007 |
Kenneth W. DiFonzo, CPA
Other Release No.: 34-56301
|
| AAER-2668 |
Aug. 13, 2007 |
Kevin Hall, CPA, and Rosemary Meyer, CPA
Other Release No.: 34-56242
|
| AAER-2667 |
Aug. 9, 2007 |
Jerry Kent Castleman, CPA
Other Release No.: 34-56230
|
| AAER-2666 |
Aug. 9, 2007 |
Thomas Fisher, Kathleen Halloran, and George Behrens
Other Release No.: LR-20233
See also: Complaint in this matter
|
| AAER-2665 |
Aug. 8, 2007 |
Gershon Tannenbaum and Jay M. Vermonty
Other Release No.: LR-20231
|
| AAER-2664 |
Aug. 7, 2007 |
First BanCorp
Other Release No.: LR-20227
See also: Complaint in this matter
|
| AAER-2663 |
Aug. 6, 2007 |
Jerry K. Castleman and Kathleen M. Lynn
Other Release No.: LR-20225
|
| AAER-2662 |
Aug. 1, 2007 |
Carole D. Argo
Other Release No.: LR-20221
See also: Complaint in this matter
|
| AAER-2661 |
Aug. 1, 2007 |
Integrated Silicon Solution, Inc. and Gary L. Fischer
Other Release No.: LR-20219
See also: Complaint in this matter
|
| AAER-2660 |
Jul. 31, 2007 |
Aspen Technology, Inc.
Other Release Nos.: 34-56170, 33-8827
|
| AAER-2659 |
Jul. 30, 2007 |
Dean A. Nichols
Other Release No.: LR-20217
|
| AAER-2658 |
Jul. 26, 2007 |
Delta & Pine Land Company and Turk Deltapine, Inc.
Other Release No.: 34-56138
|
| AAER-2657 |
Jul. 26, 2007 |
Delta & Pine Land Company and Turk Deltapine, Inc.
Other Release No.: LR-20214
See also: Complaint in this matter; Administrative Proceeding 34-56138
|
| AAER-2656 |
Jul. 26, 2007 |
Patrick E. Chew, CPA
Other Release No.: 34-56137
|
| AAER-2655 |
Jul. 26, 2007 |
Anne M. Pember
Other Release No.: 34-56136
|
| AAER-2654 |
Jul. 26, 2007 |
Cardinal Health, Inc.
Other Release No.: LR-20212
See also: Complaint in this matter
|
| AAER-2653 |
Jul. 25, 2007 |
Robert J. Therrien
Other Release No.: LR-20210
See also: Complaint in this matter
|
| AAER-2652 |
Jul. 25, 2007 |
ConAgra Foods, Inc.
Other Release No.: LR-20206
See also: Complaint in this matter
|
| AAER-2651 |
Jul. 24, 2007 |
Ayal Rosenthal, CPA
Other Release No.: 34-56123
|
| AAER-2650 |
Jul. 24, 2007 |
John C. Charters and Richard E. Fresia
Other Release No.: LR-20204
See also Complaint in this matter:Fresia
|
| AAER-2649 |
Jul. 19, 2007 |
David C. Drummond, John P. Hayes, and Patrick E. Murphy, and Patrick T. Chew
Other Release No.: LR-20202
|
| AAER-2648 |
Jul. 19, 2007 |
David C. Drummond, John P. Hayes, and Patrick E. Murphy
Other Release No.:
|
| AAER-2647 |
Jul. 19, 2007 |
Ernst & Young Chartered Accountants and Denis O'Hogan
Other Release No.: 34-56104
|
| AAER-2646 |
Jul. 18, 2007 |
Jeffrey McMahon, CPA
Other Release No.: 34-56097
|
| AAER-2645 |
Jul. 17, 2007 |
Ronald Renjilian
Other Release No.: 34-56083
|
| AAER-2644 |
Jul. 17, 2007 |
Quovadx, Inc.
Other Release Nos.: 34-56082, 33-8825
|
| AAER-2643 |
Jul. 18, 2007 |
OM Group, Inc.
Other Release Nos.: 34-56089, 33-8826
|
| AAER-2642 |
Jul. 18, 2007 |
James M. Materna, John R. Holtzhauser, and Paul R. Venesky
Other Release No.: LR-20199
See also: Complaint in this matter; Administrative Proceeding 33-8826
|
| AAER-2641 |
Jul. 18, 2007 |
Lorine Sweeney and Gary Scherping; Ilona Kay Collin; David Eric Nesvisky; Robert Allen Diehl; Madhavan Sivathanu Pillai
Other Release No.: LR-20197
See also: Complaints in this matter Sweeney and Scherping; Collins; Nesvisky; Diehl; Pillai
See also: Administrative Proceedings 33-8825; 34-56083; 34-56084
|
| AAER-2640 |
Jul. 17, 2007 |
Jay D. Bolding (CPA)
Other Release No.: 34-56087
|
| AAER-2639 |
Jul. 17, 2007 |
Paul Anthony Davis
Other Release No.: 34-56084
|
| AAER-2638 |
Jul. 16, 2007 |
Richard R. Hylland, CPA
Other Release No.: 34-56080
|
| AAER-2637 |
Jul. 16, 2007 |
Kurt D. Whitesel, CPA
Other Release No.: 34-56079
|
| AAER-2636 |
Jul. 16, 2007 |
Kipp D. Orme, CPA
Other Release No.: 34-56078
|
| AAER-2635 |
Jul. 13, 2007 |
Paul Kearney
Other Release No.: 34-56074
|
| AAER-2634 |
Jul. 13, 2007 |
B. J. Thomas
Other Release No.: 34-56066
|
| AAER-2633 |
Jul. 12, 2007 |
Michael F. Shanahan, Sr., et al.
See also: Complaint in this matter
Other Release No.: LR-20193
|
| AAER-2632 |
Jul. 9, 2007 |
Brightpoint, Inc., American International Group, Inc., Phillip Bounsall, John Delaney and Timothy Harcharik
Other Release No.: LR-20185
|
| AAER-2631 |
Jul. 2, 2007 |
Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully and Douglas S. Newton
Other Release No.: LR-20178
See also: Complaint in this matter
|
| AAER-2630 |
Jul. 2, 2007 |
Chancellor Corporation, et al.
Other Release No.: LR-20177
|
| Second Quarter |
| AAER-2629 |
Jun. 29, 2007 |
James P. O'Donnell, Jay D. Bolding and Debra L. Keith; Kenneth W. DiFonzo; Dwight J. Goslee and Harry J. Hill
Other Release No.: LR-20176
|
| AAER-2628 |
Jun. 29, 2007 |
Dwight J. Goslee and Harry J. Hill
Other Release No.: 34-55996
|
| AAER-2627 |
Jun. 29, 2007 |
Kevin Hall, CPA and Rosemary Meyer, CPA
Other Release No.: 34-55987
|
| AAER-2626 |
Jun. 29, 2007 |
CVS Caremark Corporation, Philip C. Galbo, and Larry Solberg
Other Release Nos.: 33-8815, 34-55982
|
| AAER-2625 |
Jun. 29, 2007 |
Michael W. Sulfridge
Other Release No.: LR-20173
See also: Complaint in this matter
|
| AAER-2624 |
Jun. 25, 2007 |
Kevin B. Collins
Other Release No.: LR-20166
See also: Complaint in this matter; Administrative Proceeding Rel. No. 34-55954
|
| AAER-2623 |
Jun. 25, 2007 |
International Business Machines Corporation
Note: See also Litigation Release No. 20166
Other Release No.: 34-55954
|
| AAER-2622 |
Jun. 22, 2007 |
Forman, et al.
Other Release No.: LR-20164
See also: Complaint in this matter
|
| AAER-2621 |
Jun. 22, 2007 |
Graham
Other Release No.: LR-20163
See also: Complaint in this matter
|
| AAER-2620 |
Jun. 20, 2007 |
Cambrex Corporation
Other Release No.: 34-55933
|
| AAER-2619 |
Jun. 20, 2007 |
Jeffrey McMahon
Other Release No.: LR-20159
See also: Complaint in this matter
|
| AAER-2618 |
Jun. 20, 2007 |
Allied Capital Corporation
Other Release No.: 34-55931
|
| AAER-2617 |
Jun. 18, 2007 |
Tom Shanahan and Clem Hannon
Other Release No.: LR-20156
See also: Complaint in this matter
|
| AAER-2616 |
Jun. 5, 2007 |
International Business Machines Corporation
Other Release No.: 34-55858
|
| AAER-2615 |
Jun. 8, 2007 |
Raymond L. Mathiasen, CPA
Other Release No.: 34-55887
|
| AAER-2614 |
Jun. 1, 2007 |
Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, James J. Kozlowski and Frank T. Noyes
Other Release No.: LR-20138
See also: Complaint in this matter; Administrative Proceeding No. 34-55842
|
| AAER-2613 |
Jun. 1, 2007 |
Robin R. Szeliga
Other Release No.: 34-55842
|
| AAER-2612 |
May 23, 2007 |
Arthur A. Goodwin
Other Release No.: LR-20126
|
| AAER-2611 |
May 23, 2007 |
The BISYS Group, Inc.
Other Release No.: LR-20125
See also: Complaint in this matter
|
| AAER-2610 |
May 22, 2007 |
Gerald H. Levine and Marie A. Levine
Other Release No.: LR-20124
|
| AAER-2609 |
May 14, 2007 |
Gayle Spence Luacaw
Other Release No.: LR-20114
|
| AAER-2608 |
May 10, 2007 |
Penthouse International, Inc., Charles Samel and Jason Galanis
Other Release No.: LR-20110
|
| AAER-2607 |
May 8, 2007 |
Motorola, Inc.
Other Release No.: 34-55725
|
| AAER-2606 |
May 3, 2007 |
Gary V. Morris
Other Release No.: LR-20104
|
| AAER-2605 |
May 2, 2007 |
Terry M. Phillips
Other Release No.: 34-55696
|
| AAER-2604 |
May 2, 2007 |
Capitol Distributing, LLC and Terry M. Phillips
Other Release No.: LR-20100, 34-55696
See also: Complaint in this matter, Administrative Proceeding
|
| AAER-2603 |
Apr. 30, 2007 |
Richard D. Power, Edward Federman, and Richard J. "Skip" Heger
Other Release No.: LR-20096
|
| AAER-2602 |
Apr. 26, 2007 |
Baker Hughes Incorporated and Roy Fearnley
Other Release No.: LR-20094
See also: Complaint in this matter
|
| AAER-2601 |
Apr. 25, 2007 |
Merle D. Lewis, Richard R. Hylland, Kipp D. Orme, and Kurt D. Whitesel
Other Release No.: LR-20091
|
| AAER-2600 |
Apr. 25, 2007 |
Cosmo Corigliano, Anne M. Pember, Casper Sabatino, and Kevin T. Kearney, Defendants, and Agnes T. Corigliano, Carleton H. Pember IV, and Mary Louise Scully, Relief Defendants
Other Release No.: LR-20089
|
| AAER-2599 |
Apr. 23, 2007 |
Richard M. Scrushy
Other Release No.: LR-20084
|
| AAER-2598 |
Apr. 20, 2007 |
Bernard Shinder
Other Release No.: LR-20083
|
| AAER-2597 |
Apr. 19, 2007 |
Sanjay Kumar and Stephen Richards
Other Release No.: LR-20082
|
| AAER-2596 |
Apr. 12, 2007 |
Lesley Don Cole (CPA)
Other Release No.: 34-55623
|
| AAER-2595 |
Apr. 12, 2007 |
Jimmy Lynn Bradley
Other Release No.: 34-55622
|
| AAER-2594 |
Apr. 9, 2007 |
Lindsey P. Vinson
Other Release No.: 34-55603
|
| AAER-2593 |
Apr. 5, 2007 |
Myron F. Olesnyckyj, Esq.
Other Release No.: 34-55587
|
| AAER-2592 |
Apr. 3, 2007 |
Jimmy Lynn Bradley and Lesley Don Cole
Other Release No.: LR-20068
See also: Complaint in this matter
|
| AAER-2591 |
Apr. 2, 2007 |
Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen
Other Release No.: LR-20067
See also: Complaint in this matter
|
| AAER-2590 |
Apr. 2, 2007 |
Danny Edward Moudy
Other Release No.: 34-55568
|
| AAER-2589 |
Apr. 2, 2007 |
Martin E. Kenney, Jr.
Other Release No.: LR-20064
See also: Amended Complaint in this matter
|
| First Quarter |
| AAER-2588 |
Mar. 29, 2007 |
Atlas Air Worldwide Holdings, Inc.
Other Release No.: 34-55556
|
| AAER-2587 |
Mar. 29, 2007 |
Amber Schatz, CPA
Other Release No.: 34-55554
|
| AAER-2586 |
Mar. 29, 2007 |
David McQuillin
Other Release No.: LR-20059
|
| AAER-2585 |
Mar. 28, 2007 |
Edward S. Pliner, CPA
Other Release No.: 34-55551
|
| AAER-2584 |
Mar. 28, 2007 |
Jordan H. Mintz and Rex R. Rogers
Other Release No.: LR-20058
See also: Complaint in this matter
|
| AAER-2583 |
Mar. 27, 2007 |
Myron F. Olesnyckyj
Other Release No.: LR-20056
|
| AAER-2582 |
Mar. 16, 2007 |
Conrad M. Black, F. David Radler and Hollinger Inc.
Other Release No.: LR-20043
|
| AAER-2581 |
Mar. 26, 2007 |
Collins & Aikman Corporation, David A. Stockman, J. Michael Stepp, Gerald E. Jones, David R. Cosgrove, John G. Galante, Elkin B. McCallum, Paul C. Barnaba, Christopher M. Williams and Thomas V. Gougherty
Other Release No.: LR-20055
See also: Complaint in this matter
|
| AAER-2580 |
Mar. 26, 2007 |
Ernst & Young LLP
Other Release No.: 34-55523
|
| AAER-2579 |
Intentionally omitted |
| AAER-2578 |
Mar. 15, 2007 |
Franklyn A. Caine
Other Release Nos.: 34-55476, 33-8790
|
| AAER-2577 |
Mar. 15, 2007 |
Franklyn A. Caine, Edward S. Pliner, and James E. Gray
Other Release Nos.: LR-20041
See also:
Complaint: Franklyn A. Caine
Complaint: Edward S. Pliner
Complaint: James E. Gray
|
| AAER-2576 |
Mar. 12, 2007 |
Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and MaryAnne E. Pahapill (a.k.a. Mary Anne Poland)
Other Release No.: LR-20036
See also: Complaint in this matter
|
| AAER-2575 |
Mar. 9, 2007 |
C. Burt Duren
Other Release No.: 34-55434
|
| AAER-2574 |
Mar. 9, 2007 |
Steven J. Landmann
Other Release No.: 34-55432
|
| AAER-2573 |
Mar. 7, 2007 |
NorthWestern Corporation
Other Release No.: 34-55416
|
| AAER-2572 |
Mar. 6, 2007 |
Charles Michael Martin
Other Release No.: LR-20029
See also: Complaint in this matter
|
| AAER-2571 |
Intentionally omitted |
| AAER-2570 |
Mar. 2, 2007 |
John Paul Orr
Other Release No.: 34-55384
|
| AAER-2569 |
Mar. 2, 2007 |
David C. Kirkpatrick
Other Release No.: 34-55383
|
| AAER-2568 |
Mar. 1, 2007 |
Leonard M. Snyder, H. Dane Reynolds, C. Burt Duren, and Carey Johnson
Other Release No.: LR-20025
|
| AAER-2567 |
Feb. 28, 2007 |
Kent H. Roberts
Other Release No.: LR-20020
See also: Complaint in this matter
|
| AAER-2566 |
Feb. 27, 2007 |
Robert A. Ness, Jr.
Other Release No.: 34-55359
|
| AAER-2565 |
Feb. 26, 2007 |
Matthew E. Kopsky and Ronald W. Davis
Other Release No.: LR-20019
See also: Complaint in this matter
|
| AAER-2564 |
Feb. 21, 2007 |
Anthony L. Hurley
Other Release No.: 34-55324
|
| AAER-2563 |
Feb. 21, 2007 |
Bennett Environmental, Inc., John A. Bennett, Robert P.G. Griffiths and Richard L. Stern
Other Release No.: LR-20009
|
| AAER-2562 |
Feb. 21, 2007 |
Veritas Software Corporation
Other Release No.: LR-20008
See also: Complaint in this matter
|
| AAER-2561 |
Feb. 16, 2007 |
Keith G. Baxter, et. al.
Other Release No.: LR-20006
|
| AAER-2560 |
Feb. 16, 2007 |
Richard A. Causey, CPA
Other Release No.: 34-55310
|
| AAER-2559 |
Feb. 15, 2007 |
Gregory A. Brady, et al.
Other Release No.: LR-20005
|
| AAER-2558 |
Feb. 15, 2007 |
Myron F. Olesnyckyj
Other Release No.: LR-20004
See also: Complaint in this matter
|
| AAER-2557 |
Feb. 14, 2007 |
Ryan Ashley Brant
Other Release No.: LR-20003
See also: Complaint in this matter
|
| AAER-2556 |
Feb. 13, 2007 |
Patel et al.
Other Release No.: LR-20001
See also: Complaint in this matter
|
| AAER-2555 |
Feb. 13, 2007 |
The Dow Chemical Company
Other Release No.: 34-55281
|
| AAER-2554 |
Feb. 13, 2007 |
The Dow Chemical Company
Other Release No.: LR-20000
|
| AAER-2553 |
Feb. 12, 2007 |
Enrique (Henry) Fiallo
Other Release No.: LR-19997
See also: Complaint in this matter
|
| AAER-2552 |
Feb. 9, 2007 |
Richard A. Causey
Other Release No.: LR-19996
|
| AAER-2551 |
Feb. 6, 2007 |
Steven J. Landmann and Gary C. Gerhardt
Other Release No.: LR-19990
See also:
Complaint: Gary C. Gerhardt
Complaint: Steven J. Landmann
|
| AAER-2550 |
Feb. 6, 2007 |
RenaissanceRe Holdings Ltd.
Other Release No.: LR-19989
See also: Complaint in this matter
|
| AAER-2549 |
Jan. 30, 2007 |
William F. Sorin, Esq.
Other Release No.: 34-55199
|
| AAER-2548 |
Jan. 29, 2007 |
MBIA Inc.
Other Release Nos.: 34-55184, 33-8776
|
| AAER-2547 |
Jan. 29, 2007 |
MBIA Inc.
Other Release No.: LR-19982
See also: Complaint in this matter; Administrative Proceeding No. 33-8776
|
| AAER-2546 |
Jan. 23, 2007 |
Edward A. Kiley, et al.
Other Release No.: LR-19977
|
| AAER-2545 |
Jan. 23, 2007 |
Suzanne Brown, CPA
Other Release No.: 34-55149
|
| AAER-2544 |
Jan. 22, 2007 |
Gary Bell, Joseph Grendys, Anthony Holohan, and Michael Smith; Carl A. Allen; Donald Childers; John Crowder; Chris Jakubek; John King; Steve LeBarron; Patrick Penderghast; Frank Riggio; and Richard Vecchia
Other Release No.: LR-19975
See also:
Complaint: Gary Bell, Joseph Grendys, Anthony Holohan, and Michael Smith
Complaint: Carl A. Allen
Complaint: Donald Childers
Complaint: John Crowder
Complaint: Chris Jakubek
Complaint: John King
Complaint: Steve LeBarron
Complaint: Patrick Penderghast
Complaint: Frank Riggio
Complaint: Richard Vecchia
|
| AAER-2543 |
Jan. 19, 2007 |
Douglas Wachtel (CPA)
Other Release No.: 34-55133
|
| AAER-2542 |
Jan. 17, 2007 |
James Charles Blue, Randy Cook and Victor Campbell
Other Release No.: LR-19969
See also: Complaint in this matter
|
| AAER-2541 |
Jan. 12, 2007 |
Glenn E. Glasshagel
Other Release No.: 34-55100
|
| AAER-2540 |
Jan. 12, 2007 |
Lattice Semiconductor Corp.
Other Release No.: 34-55097
|
| AAER-2539 |
Jan. 12, 2007 |
Charles R. Eisenstein
Other Release No.: 34-55094
|
| AAER-2538 |
Jan. 10, 2007 |
Stuart A. Nussbaum, CPA
Other Release No.: 34-55077
|
| AAER-2537 |
Jan. 10, 2007 |
Jacob (“Kobi”) Alexander, David Kreinberg, and William F. Sorin
Other Release No.: LR-19964
|
| AAER-2536 |
Jan. 8, 2007 |
Suzanne Brown
Other Release No.: LR-19961
See also: Complaint in this matter
|
| AAER-2535 |
Jan. 8, 2007 |
Jana L. Quam, CPA
Other Release No.: 34-55056
|
| AAER-2534 |
Jan. 8, 2007 |
Cary B. Griswold, CPA
Other Release No.: 34-55055
|
| AAER-2533 |
Jan. 8, 2007 |
David A. Monaghan, CPA
Other Release No.: 34-55054
|
| AAER-2532 |
Jan. 8, 2007 |
Lawrence B. Evans, David L. McQuillin, and Lisa W. Zappala
Other Release No.: LR-19960
See also: Complaint in this matter
|
| AAER-2531 |
Jan. 3, 2007 |
David A. Hori, CPA
Other Release No.: 34-55039
|
http://www.sec.gov/divisions/enforce/friactions2007.shtml
|
