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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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Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Release No. Date Action
Fourth Quarter
AAER-3618 Dec. 23, 2014 Thomas D. Melvin, CPA
Other Release No.: 34-73931
AAER-3617 Dec. 19, 2014 Frank A. Dunn, et al.
Other Release No.: LR-23165
AAER-3616 Dec. 17, 2014 Avon Products, Inc.
Other Release No.: LR-23159
AAER-3615 Dec. 17, 2014 Baker Tilly Hong Kong Limited, et al.
Other Release No.: 34-73862
AAER-3614 Dec. 16, 2014 Angel E. Lana, CPA
Other Release Nos.: 34-73852, 33-9691
AAER-3613 Dec. 15, 2014 Canadian Solar, Inc. and Yan Zhuang
Other Release No.: 34-73839
AAER-3612 Dec. 15, 2014 BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming and LLP KPMG Huazhen (Special General Partnership) PricewaterhouseCoopers Zhong Tian CPAs Limited
Other Release No.: 34-73838
AAER-3611 Dec. 15, 2014 Bruker Corporation
Other Release No.: 34-73835
AAER-3610 Dec. 8, 2014 Lerner & Sipkin CPAs LLP
Other Release No.: 34-73775
AAER-3609 Dec. 8, 2014 OUM & Co. LLP
Other Release No.: 34-73774
AAER-3608 Dec. 8, 2014 Boros & Farrington Accountancy Corporation
Other Release No.: 34-73773
AAER-3607 Dec. 8, 2014 Brace & Associates, PLLC
Other Release No.: 34-73772
AAER-3606 Dec. 8, 2014 Lally & Co., LLC
Other Release No.: 34-73771
AAER-3605 Dec. 8, 2014 Joseph Yafeh CPA, Inc.
Other Release No.: 34-73770
AAER-3604 Dec. 8, 2014 Robert Cooper and Company, CPA PC
Other Release No.: 34-73769
AAER-3603 Dec. 8, 2014 BKD, LLP
Other Release No.: 34-73768
AAER-3602 Dec. 5, 2014 S.W. Hatfield, CPA and Scott W. Hatfield, CPA
Other Release No.: 34-73763
AAER-3601 Dec. 5, 2014 Neal A. Petrovich, CPA
Other Release No.: 34-73751
AAER-3600 Dec. 5, 2014 Hampton Roads Bankshares, Inc.
Other Release No.: 34-73750
AAER-3599 Nov. 14, 2014 Mark Smith, CPA
Other Release No.: 34-73610
AAER-3598 Nov. 14, 2014 Charles Elliot Smith, CPA
Other Release No.: 34-73609
AAER-3597 Nov. 14, 2014 Linden Boyne
Other Release No.: 34-73603
AAER-3596 Nov. 12, 2014 Dr. L.S. Smith
Other Release No.: 34-73582
AAER-3595 Nov. 5, 2014 David Blain, CPA
Other Release Nos.: 34-73532
AAER-3594 Nov. 3, 2014 Bio-Rad Laboratories, Inc.
Other Release No.: 34-73496
AAER-3593 Oct. 27, 2014 Great Lakes Dredge & Dock Corporation
Other Release No.: 34-73434
AAER-3592 Oct. 24, 2014 Berman & Company, P.A., and Elliot Berman CPA
Other Release No.: 34-73427
AAER-3591 Oct. 23, 2014 Eugene F. Hovanec, CPA
Other Release No.: 34-73421
AAER-3590 Oct. 22, 2014 BDO China Dahua CPA Co., Ltd., et al.
Other Release No.: 34-73408
AAER-3589 Oct. 3, 2014 Peter A. Jenson, Chartered Accountant
Other Release No.: 34-73294
Third Quarter
AAER-3588 Sep. 29, 2014 Bank of America Corporation
Other Release No.: 34-73243
AAER-3587 Sep. 25, 2014 Mayer Hoffman McCann, P.C.
Other Release No.: 34-73224
AAER-3586 Sep. 25, 2014 Tradebot Systems, Inc.
Other Release No.: 34-73222
AAER-3585 Sep. 25, 2014 JDA Software Group, Inc.
Other Release No.: 34-73209
AAER-3584 Sep. 24, 2014 Babak ("Bobby") Yazdani
Other Release No.: 34-73201
AAER-3583 Sep. 24, 2014 Saba Software, Inc., Patrick Farrell, et al.
Other Release Nos.: 34-73200, 33-9654
AAER-3582 Sep. 11, 2014 Wilmington Trust Corporation
Other Release Nos.: 34-73076, 33-9646
AAER-3581 Sep. 4, 2014 John J. Aesoph, CPA, and Darren M. Bennett, CPA (Order Granting Petitions for Review and Scheduling Briefs)
Other Release No.: 34-72997
AAER-3580 Sep. 4, 2014 Eugene M. Egeberg III, CPA
Other Release Nos.: 34-72976, 33-9637
AAER-3578A Aug. 28, 2014 Lynn R. Blodgett and Kevin R. Kyser, CPA (Corrected)
Other Release No.: 34-72938A
AAER-3577 Aug. 26, 2014 Paul R. Venesky, CPA (Order Granting Application For Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the Commission)
Other Release No.:  34-72921
AAER-3576 Aug. 22, 2014 AirTouch Communications, Inc., Hideyuki Kanakubo, and Jerome Kaiser, CPA
Other Release Nos.: 34-72904, 33-9634
AAER-3575 Aug. 14, 2014 BDO China Dahua CPA Co. Ltd., et al.
Other Release No.: 34-72845
AAER-3574 Aug. 4, 2014 Bdo China Dahua CPA Co., Ltd., Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants Ltd., and PricewaterhouseCoopers Zhong Tian CPAs Limited (Order Granting Leave to the Zlca to File an Amicus Brief)
Other Release No.: 34-72753
AAER-3573 Jul. 30, 2014 Marc Sherman
Other Release No.: 34-72723
AAER-3572 Jul. 30, 2014 Edward L. Cummings, CPA
Other Release No.: 34-72722
AAER-3571 Jul. 28, 2014 Smith & Wesson Holding Corporation
Other Release No.: 34-72678
AAER-3570 Jul. 25, 2014 Volt Information Sciences, Inc. and Debra L. Hobbs; Jack J. Egan, Jr.

Other Release Nos.: LR-23051
AAER-3569 Jul. 25, 2014 Volt Information Sciences, Inc. and Debra L. Hobbs; Jack J. Egan, Jr.

Other Release Nos.: LR-23051
AAER-3570 Jul. 24, 2014 Debra L. Hobbs, CPA
Other Release No.: 34-72672
AAER-3569 Jul. 24, 2014 John ("Jack") J. Egan, Jr., CPA
Other Release No.: 34-72671
AAER-3568 Jul. 17, 2014 James M. Schneider, CPA (Order Denying Motion Or, in the Alternative, Application for Modification of Commission Order Imposing Remedial Sanctions)
Other Release No.: 34-72639
AAER-3567 Jul. 17, 2014 Robert C. Trosten, CPA
Other Release No.: 34-72637
AAER-3566 Jul. 14, 2014 Ernst & Young LLP
Other Release No.: 34-72602
AAER-3565 Jul. 8, 2014 Child, Van Wagoner & Bradshaw, PLLC, Russell E. Anderson, CPA, and Marty Van Wagoner, CPA
Other Release No.: 34-72557
AAER-3564 Jul. 2, 2014 Mark A. Jackson and James J. Ruehlen
Other Release No.: LR-23038
AAER-3563 Jul. 2, 2014 W. Mark Miller, CPA
Other Release No.: 34-72516
AAER-3562 Jul. 1, 2014 EFP Rotenberg, LLP and Nicholas R. Bottini, CPA
Other Release Nos.: 34-72503, 33-9608
Second Quarter
AAER-3561 Jun. 27, 2014 Chris Choi, CPA
Other Release No.: 34-72494
AAER-3560 Jun. 25, 2014 Jeffrey C. Kuehr and Michael J. Willoughby
Other Release Nos.: 34-72471, 33-9606
AAER-3559 Jun. 25, 2014 Thomas A. Neely, Jr.,
Other Release Nos.: 34-72470, 33-9605
AAER-3558 Jun. 18, 2014 I. John Benson, CPA,
Other Release No.: 34-72427
AAER-3557 Jun. 11, 2014 Richard R. Hylland, CPA
Other Release No.: 34-72363
AAER-3556 Jun. 2, 2014 BDO China Dahua CPA Co., Ltd, et al.
Other Release No.: 34-72296
AAER-3555 May 20, 2014 Bryce Walker, CA and Spence Walker, CA, CPA
Other Release No.: 34-72199
AAER-3554 May 20, 2014 James T. Adams, CPA
Other Release No.: 34-72198
AAER-3553 May 9, 2014 BDO China Dahua CPA Co., Ltd., Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants Ltd., and Pricewaterhousecoopers Zhong Tian CPAs Limited (Order Granting Leave to Adduce Additional Evidence and Granting the Petitions for Review)
Other Release No.: 34-72140
AAER-3552 May 9, 2014 BDO China Dahua CPA Co., Ltd., Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants Ltd., and Pricewaterhousecoopers Zhong Tian CPAs Limited (Order Denying the Division's Motion to Strike the Notice of Withdrawal of Appearance and Setting a Briefing Schedule)
Other Release No.: 34-72134
AAER-3551 Apr. 23, 2014 Anthony J. Price, CPA
Other Release No.: 34-72005
AAER-3550 Apr. 15, 2014 Scott T. Veech, CPA
Other Release No.: 34-71951
AAER-3549 Apr. 8, 2014 CVS Caremark Corp.
Other Release No.: LR-22968
AAER-3548 Apr. 8, 2014 Laird Daniels, CPA
Other Release Nos.: 34-71896, 33-9573
First Quarter
AAER-3547 Mar. 31, 2014 S.W. Hatfield, CPA and Scott W. Hatfield, CPA
Other Release No.: 34-71833
AAER-3546 Mar. 27, 2014 Shirley Kiang
Other Release No.: 34-71824
AAER-3545 Mar. 27, 2014 L&L Energy, Inc. and Dickson Lee, CPA
Other Release Nos.: 34-71823, 33-9565
AAER-3544 Mar. 21, 2014 Brendon P. Mcdonald, CPA
Other Release No.: 34-71770
AAER-3543 Mar. 20, 2014 Thomas D. Melvin, CPA
Other Release No.: 34-71761
AAER-3542 Mar. 11, 2014 Clayton T. Marshall
Other Release Nos.: 34-71688, 33-9557
AAER-3541 Feb. 28, 2014 Paul Desjourdy, CPA, Esq.
Other Release No.: 34-71639
AAER-3540 Feb. 24, 2014 China MediaExpress Holdings, Inc. and Zheng Cheng
Other Release No.: LR-22932
AAER-3539 Feb. 21, 2014 Christopher Sells and Timothy Murawski
Other Release No.: LR-22930
AAER-3538 Feb. 21, 2014 James M. Schneider, CPA
Other Release No.: 34-71595
AAER-3537 Feb. 20, 2014 Sam Kan, CPA, and Sam Kan & Company
Other Release No.: 34-71585
AAER-3536 Feb. 19, 2014 Bdo China Dahua CPA Co., Ltd., et al.
Other Release No.: 34-71576
AAER-3535 Feb. 12, 2014 Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA
Other Release Nos.: 34-71546, 33-9548
AAER-3534 Feb. 11, 2014 David M. Martin CPA
Other Release No.: 34-71523
AAER-3533 Feb. 10, 2014 Uriel Sharef et al.
Other Release No.: LR-22923
AAER-3532 Feb. 5, 2014 Lawrence A. O'Donnell, CPA
Other Release No.: 34-71484
AAER-3531 Jan. 27, 2014 Deloitte Touche Tohmatsu CPA Ltd.
Other Release No.: LR-22911
AAER-3530 Jan. 24, 2014 KPMG LLP
Other Release No.: 34-71389
AAER-3529 Jan. 17, 2014 Eugene M. Egeberg III, CPA
Other Release Nos.: 34-71348, 33-9513
AAER-3528 Jan. 15, 2014 Christopher Hohol and Brian Poshak
Other Release No.: LR-22906
AAER-3527 Jan. 9, 2014 Diamond Foods, Inc.
Other Release No.: LR-22902
AAER-3526 Jan. 9, 2014 Michael Mendes
Other Release Nos.: 34-71264, 33-9508
AAER-3525 Jan. 9, 2014 Alcoa Inc.
Other Release No.: 34-71261

 

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Modified: 03/16/2016