Accounting and Auditing Enforcement Releases Archive 2010
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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First Quarter
Release No.
Date
Action
First Quarter
AAER-3222
Dec 22, 2010
James M. Schneider, CPA Other Release Number(s): 34-63600
AAER-3221
Dec 20, 2010
Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA Other Release Number(s): 33-9166, 34-63579
AAER-3220
Dec 20, 2010
Milan Belans (CPA) Other Release Number(s): 34-63578
AAER-3219
Dec 20, 2010
Joseph M. Elles Other Release Number(s): LR-21784 See also: SEC Complaint
AAER-3218
Dec 16, 2010
Alvin L. Dahl, CPA Other Release Number(s): 34-63560
AAER-3217
Dec 10, 2010
Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan Other Release Number(s): LR-21769 See also: SEC Complaint
AAER-3216
Dec 8, 2010
Paul R. Beckwith (CPA) Other Release Number(s): 34-63473
AAER-3215
Nov 23, 2010
Jacob (“Kobi”) Alexander, et al. Other Release Number(s): LR-21753
AAER-3214
Nov 22, 2010
Catherine Rozanski (CPA) Other Release Number(s): 34-63356
AAER-3213
Nov 10, 2010
LocatePlus Holdings Corporation Other Release Number(s): LR-21735 See also: SEC Complaint
AAER-3212
Nov 9, 2010
Duane Martin and Gary Trump Other Release Number(s): LR-21733
AAER-3211
Nov 5, 2010
Leslie L. Jackson, CPA Other Release Number(s): 34-63265
AAER-3210
Nov 5, 2010
Robert W. Davis (CPA) Other Release Number(s): 34-63264
AAER-3209
Nov 5, 2010
Randall D. Imhoff (CPA) Other Release Number(s): 34-63263
AAER-3208
Nov 5, 2010
Nicholas A. R. Dunning, ACA Other Release Number(s): 34-63262
AAER-3207
Nov 4, 2010
Tidewater Inc. Other Release Number(s): LR-21729 See also: SEC Complaint
AAER-3206
Nov 4, 2010
Noble Corporation Other Release Number(s): LR-21728 See also: SEC Complaint
AAER-3205
Nov 4, 2010
Panalpina, Inc. Other Release Number(s): LR-21727 See also: SEC Complaint
AAER-3204
Nov 4, 2010
Royal Dutch Shell plc and Shell International Exploration and Production Inc. Other Release Number(s): 34-63243
AAER-3203
Nov 4, 2010
Pride International, Inc. Other Release Number(s): LR-21726 See also: SEC Complaint
AAER-3202
Nov 4, 2010
Transocean Inc. Other Release Number(s): LR-21725 See also: SEC Complaint
AAER-3201
Nov 4, 2010
GlobalSantaFe Corp. Other Release Number(s): LR-21724 See also: SEC Complaint
AAER-3200
Oct 22, 2010
Gately & Associates, LLC and James P. Gately, CPA Other Release Number(s): 34-63167
AAER-3199
Oct 21, 2010
Office Depot, Inc. Other Release Number(s): LR-21703
AAER-3198
Oct 21, 2010
Office Depot, Inc. Other Release Number(s): 34-63152
AAER-3197
Oct 14, 2010
LocatePlus Holdings Corporation Other Release Number(s): LR-21692 See also: SEC Complaint
AAER-3196
Oct 7, 2010
Michael S. Joseph, CPA Other Release Number(s): 34-63061
AAER-3195
Oct 4, 2010
Victor R. Wahba, CPA Other Release Number(s): 34-63033
AAER-3194
Oct 4, 2010
Altschuler, Melvoin and Glasser LLP, and G. Victor Johnson, II, CPA Other Release Number(s): 34-63030, IA-3096
Third Quarter
AAER-3193A
Sep 30, 2010
W. Anthony Huff, et al. Other Release Number(s): LR-21679A
AAER-3192
Sep 30, 2010
Forman, et al. Other Release Number(s): LR-21677
AAER-3191
Sep 29, 2010
ABB Ltd Other Release Number(s): LR-21673
AAER-3190
Sep 29, 2010
Stephen Durland (CPA) Other Release Number(s): 34-63013
AAER-3189
Sep 24, 2010
Sunopta, Inc., Steven R. Bromley, CGA, and John H. Dietrich, CA Other Release Number(s): 34-62988
AAER-3188
Sep 22, 2010
Delphi Corporation, John Blahnik, et al. Other Release Number(s): LR-21660
AAER-3187
Sep 21, 2010
True North Finance Corporation, f/k/a CS Financing Corporation, et al. Other Release Number(s): LR-21657
AAER-3186
Sep 15, 2010
Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling Other Release Number(s): LR-21650
AAER-3185
Sep 13, 2010
KMJ Corbin & Company, LLP, Kendall G. Merkley, CPA, and Anthony J. Price, CPA Other Release Number(s): 34-62899
AAER-3184
Sep 10, 2010
Patti M. Dodge, CPA Other Release Number(s): 34-62889
AAER-3183
Sep 10, 2010
David N. Kenneally, CPA Other Release Number(s): 34-62888
AAER-3182
Sep 9, 2010
Affiliated Computer Services, Inc. Other Release Number(s): LR-21643 See also: SEC Complaint
AAER-3181
Sep 8, 2010
Kevin J. Schott, CPA Other Release Number(s): 34-62865
AAER-3180
Sep 1, 2010
Sujata Sachdeva and Julie Mulvaney Other Release Number(s): LR-21640 See also: SEC Complaint
AAER-3179
Sep 1, 2010
Lucent Technologies, Inc., et al. Other Release Number(s): LR-21639
AAER-3178
Aug 31, 2010
Urs Kamber Other Release Number(s): LR-21636
AAER-3177
Aug 27, 2010
Robert W. Davis and Randall D. Imhoff Other Release Number(s): LR-21634 See also: SEC Complaints SEC v. Davis and SEC v. Imhoff
AAER-3176
Aug 26, 2010
Stephen D. Chanslor (CPA) Other Release Number(s): 34-62773
AAER-3175
Aug 24, 2010
Stephen Burke, CPA Other Release Number(s): 34-62761
AAER-3174
Aug 24, 2010
Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA Other Release Number(s): LR-21630
AAER-3173
Aug 20, 2010
Matthew W. Hardey Other Release Number(s): 34-62752
AAER-3172
Aug 20, 2010
L. Cyrus DeBlanc Other Release Number(s): 34-62751
AAER-3171
Aug 9, 2010
Dohan + Company CPAs, Steven H. Dohan, CPA, Nancy L. Brown, CPA, and Erez Bahar, CA Other Release Number(s): 34-62666
AAER-3170
Aug 6, 2010
Universal Corporation, Inc. and Alliance One International, Inc. Other Release Number(s): LR-21618 See also: SEC Complaints v. Universal Corporation and Alliance One International
AAER-3169
Aug 5, 2010
Joe Summers Other Release Number(s): LR-21617 See also: SEC Complaint
AAER-3168
Aug 5, 2010
James W. McIntosh, et al., and Mark T. Schwetschenau Other Release Number(s): LR-21616 See also: SEC Complaints v. McIntosh et al. and Schwetschenau
AAER-3167
Aug 5, 2010
David P. Turner and Ousama M. Naaman Other Release Number(s): LR-21615 See also: SEC Complaint
AAER-3166
Aug 5, 2010
Mark T. Schwetschenau Other Release Number(s): 34-62654
AAER-3165
Aug 5, 2010
Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz Other Release Number(s): 33-9132, 34-62653
AAER-3164
Aug 4, 2010
Thomas P. Flanagan and Patrick T. Flanagan Other Release Number(s): LR-21612 See also: SEC Complaint
AAER-3163
Aug 4, 2010
Thomas P. Flanagan, CPA Other Release Number(s): 34-62636
AAER-3162
Jul 30, 2010
Brad A. Morrice et al. Other Release Number(s): LR-21609
AAER-3161
Jul 30, 2010
Matthew W. Hardey, L. Cyrus DeBlanc, and Joe E. Penland Other Release Number(s): LR-21608
AAER-3160
Jul 29, 2010
Larry E. Hulse, CPA Other Release Number(s): 34-62589
AAER-3159
Jul 27, 2010
General Electric Company; Ionics, Inc.; and Amersham plc Other Release Number(s): LR-21602 See also: SEC Complaint
AAER-3158
Jul 23, 2010
Kenneth J. Abod, CPA Other Release Number(s): 34-62563
AAER-3157
Jul 23, 2010
Sunrise Senior Living, Inc., et al. Other Release Number(s): LR-21600 See also: SEC Complaint
AAER-3156
Jul 22, 2010
Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning Other Release Number(s): LR-21599 See also: SEC Complaint
AAER-3155
Jul 22, 2010
Andrew D. Petrofsky, CPA Other Release Number(s): 34-62548, IA-3055
AAER-3154
Jul 16, 2010
Trident Microsystems, Inc., Frank C. Lin, and Peter Y. Jen Other Release Number(s): LR-21593 See also: SEC Complaint
AAER-3153
Jul 14, 2010
L. Rex Andersen, CPA Other Release Number(s): 34-62499
AAER-3152
Jul 13, 2010
Matthew C. Gless Other Release Number(s): 34-62486
AAER-3151
Jul 8, 2010
Ephraim Fields Other Release Number(s): 33-9127, 34-62474, IA-3051
AAER-3150
Jul 7, 2010
Ilse Cappel, CPA Other Release Number(s): 34-62465
AAER-3149
Jul 7, 2010
ENI, S.p.A. and Snamprogetti Netherlands, B.V. Other Release Number(s): LR-21588
Second Quarter
AAER-3148
Jun 29, 2010
Stephen Hozie Other Release Number(s): 34-62401
AAER-3147
Jun 28, 2010
Technip Other Release Number(s): LR-21578 See also: SEC Complaint
AAER-3146
Jun 24, 2010
Fei-Fei Catherine Fang, CPA Other Release Number(s): 34-62372
AAER-3145
Jun 14, 2010
Joseph P. Collins Other Release Number(s): LR-21555
AAER-3144
Jun 10, 2010
L. Rex Andersen, CPA Other Release Number(s): 34-62262
AAER-3143
Jun 10, 2010
Harry O. Nicodemus IV, CPA Other Release Number(s): 34-62260
AAER-3142
Jun 9, 2010
Lucent Technologies, Inc., et al. Other Release Number(s): LR-21551
AAER-3141
Jun 9, 2010
William G. Mortensen and Feng Zheng Other Release Number(s): LR-21550
AAER-3140
Jun 8, 2010
Anthony Bonica Other Release Number(s): 34-62242
AAER-3139
Jun 7, 2010
China Yuchai International Limited Other Release Number(s): 34-62235
AAER-3138
Jun 3, 2010
Walter A. Forbes and E. Kirk Shelton Other Release Number(s): LR-21548
AAER-3137
Jun 2, 2010
Diebold, Inc.; Walden O'Dell; and Gregory Geswein, Kevin Krakora, and Sandra Miller Other Release Number(s): LR-21543 See also: SEC Complaint v. Diebold ; SEC Complaint v. O'Dell ; SEC Complaint v. Geswein, Krakora, and Miller
AAER-3136
May 20, 2010
Charles McCall Other Release Number(s): LR-21527
AAER-3135
May 19, 2010
Michael G. Lutze, CPA Other Release Number(s): 34-62136
AAER-3134
May 11, 2010
Diatect International Corp., et al. Other Release Number(s): LR-21524
AAER-3133
May 11, 2010
Robert S. Furst, et al. Other Release Number(s): LR-21523
AAER-3132
May 6, 2010
Exotics.com, Inc., et al. Other Release Number(s): LR-21519
AAER-3131
May 5, 2010
Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin Other Release Number(s): LR-21515 See also: SEC Complaint
AAER-3130
Apr 28, 2010
Marlin R. Brinsky, CPA Other Release Number(s): 34-61998
AAER-3129
Apr 23, 2010
David R. Cosgrove, CMA Other Release Number(s): 34-61976
AAER-3128
Apr 22, 2010
Exotics.com, Inc., et al. Other Release Number(s): LR-21498
AAER-3127
Apr 19, 2010
Collins & Aikman Corporation, et al. Other Release Number(s): LR-21491
AAER-3126
Apr 7, 2010
Symbol Technologies, Inc., et al. Other Release Number(s): LR-21480
AAER-3125
Apr 7, 2010
Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Other Release Number(s): 33-9116, 34-61856, IA-3009, IC-29203
AAER-3124
Apr 2, 2010
Michael Degennaro Other Release Number(s): 34-61833
AAER-3123
Apr 1, 2010
J. Michael Broullire (CPA) Other Release Number(s): 34-61827
First Quarter
AAER-3122
Mar 24, 2010
Brian K. Rabinovitz, CPA Other Release Number(s): 34-61771
AAER-3121
Mar 19, 2010
Exotics.com, Inc., et al. Other Release Number(s): LR-21456
AAER-3120
Mar 11, 2010
Robert John Hipple Other Release Number(s): 34-61688, IC-29173
AAER-3119
Mar 10, 2010
Jay Lapine Other Release Number(s): LR-21444
AAER-3118
Mar 4, 2010
Joseph Grendys et al. Other Release Number(s): LR-21435
AAER-3117
Mar 3, 2010
Verint Systems Inc. Other Release Number(s): LR-21428 See also: SEC Complaint against Verint ; Order Instituting Proceedings
AAER-3116A
Mar 1, 2010
Gerard A. M. Oprins, CPA and Wendy McNeeley, CPA Other Release Number(s): 34-61607A
AAER-3115
Feb 25, 2010
Daniel Bonventre Other Release Number(s): LR-21424 See also: SEC Complaint
AAER-3114
Feb 16, 2010
Nevanna Sacks, CPA Other Release Number(s): 34-61518
AAER-3113
Feb 12, 2010
Michael J. Byrd, CPA Other Release Number(s): 34-61516
AAER-3112
Jan 29, 2010
Mark Evan Bloom (CPA) Other Release Number(s): 34-61445, IA-2980
AAER-3111A
Jan 28, 2010
Tsukuda-America Inc. et al. Other Release Number(s): LR-21396A See also: SEC Complaint; SEC Rel. No. 33-9102 (January 26, 2010) and the related Division of Enforcement Statement .
AAER-3110
Jan 27, 2010
Karen T. Baker, CPA Other Release Number(s): 34-61432
AAER-3109
Jan 21, 2010
Assurant, Inc. Other Release Number(s): LR-21388 See also: SEC Complaint
AAER-3108
Jan 20, 2010
General Re Corporation Other Release Number(s): LR-21384 See also: SEC Complaint
AAER-3107
Jan 20, 2010
Deanna J. Seruga, CPA Other Release Number(s): 34-61385
AAER-3106
Jan 20, 2010
John W. Dwyer, CPA Other Release Number(s): 34-61384
AAER-3105
Jan 20, 2010
Theodore P. Noncek, CPA Other Release Number(s): 34-61383
AAER-3104
Jan 19, 2010
Diane Bjorkstrom (CPA) Other Release Number(s): 34-61375
AAER-3103A
Jan 13, 2010
Applied Wellness Corporation Other Release Number(s): 34-61344A
AAER-3102
Jan 11, 2010
NATCO Group Inc. Other Release Number(s): LR-21374
AAER-3101
Jan 11, 2010
NATCO Group Inc. Other Release Number(s): 34-61325
AAER-3100
Jan 7, 2010
Pollard Kelley Auditing Services, Inc. and Terance Kelley, CPA Other Release Number(s): 34-61315
AAER-3099
Jan 7, 2010
David C. Mayfield, CPA Other Release Number(s): 34-61307
AAER-3098
Jan 7, 2010
John W. Jacobsen, CPA Other Release Number(s): 34-61306
AAER-3097
Jan 7, 2010
Charles A. Gray, CPA Other Release Number(s): 34-61305
AAER-3096
Jan 6, 2010
Scott T. Veech, CPA Other Release Number(s): 34-61301
AAER-3095
Jan 6, 2010
Osvaldo Pitters Other Release Number(s): 34-61300
AAER-3094
Jan 6, 2010
Daniel H. Bayly, et al. Other Release Number(s): LR-21361
http://www.sec.gov/divisions/enforce/friactions/friactions2010.shtml