Accounting and Auditing Enforcement Releases Archive: 2016
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 | ||
| AAER-3840 | Dec. 29, 2016 | General Cable Corporation
Other Release No.: 34-79702 |
| AAER-3839 | Dec. 27, 2016 | David A. Loppert
Other Release No.: 34-79698 |
| AAER-3838 | Dec. 27, 2016 | Philip Greifeld, CPA
Other Release No.: 34-79691 |
| AAER-3837 | Dec. 22, 2016 | Badree Komandur, et al.
Other Release No.: 34-79669 |
| AAER-3836 | Dec. 22, 2016 | Alok Saraf, CA
Other Release No.: 34-79668 |
| AAER-3835 | Dec. 21, 2016 | Jack Henry & Associates, Inc.
Other Release No.: 34-79650 See also: Administrative Summary |
| AAER-3834 | Dec. 6, 2016 | KPMG LLP
Other Release No.: 34-79483 |
| AAER-3833 | Dec. 2, 2016 | United Continental Holdings, Inc.
Other Release No.: 34-79454 |
| AAER-3832 | Nov. 23, 2016 | Stephen Hozie
Other Release No.: 34-79397 |
| AAER-3831 | Nov. 23, 2016 | Brian Zucker, CPA
Other Release No.: 34-79396 |
| AAER-3830 | Nov. 23, 2016 | Mark David Shapiro, CPA
Other Release No.: 34-79395 |
| AAER-3829 | Nov. 23, 2016 | Michael K. Krohn, CPA
Other Release No.: 34-79394 |
| AAER-3828 | Nov. 23, 2016 | Kendall G. Merkley, CPA
Other Release No.: 34-79393 |
| AAER-3827 | Nov. 21, 2016 | Gary R. Purwin, CPA
Other Release Nos.: IA-4573, 34-79369 |
| AAER-3826 | Nov. 21, 2016 | Grassi & Co., CPAs and P.C.
Other Release Nos.: IA-4572, 34-79368 See also: Administrative Summary |
| AAER-3825 | Nov. 21, 2016 | PMB Helin Donovan, LLP, Christopher Bauer, CPA and Jeffrey Jamieson, CPA
Other Release No.: 34-79364 |
| AAER-3824 | Nov. 17, 2016 | JP Morgan Chase & Co.
Other Release No.: 34-79335 |
| AAER-3823 | Nov. 15, 2016 | Christopher Egan
Other Release No.: 33-10256 See also: Administrative Summary |
| AAER-3822 | Nov. 7, 2016 | Powersecure International, Inc.
Other Release No.: 34-79256 |
| AAER-3821 | Oct. 31, 2016 | Domenick F. Consolo, CPA and PKF O'Connor Davies, LLP
Other Release Nos.: 34-79196, 33-10242 |
| AAER-3820 | Oct. 31, 2016 | Adrian D. Beamish, CPA
Other Release No.: 34-79193 |
| AAER-3819 | Oct. 27, 2016 | BioElectronics Corp., et al.
Other Release No.: 34-79176 |
| AAER-3818 | Oct. 24, 2016 | David S. Hall, P.C. d/b/a the Hall Group CPAs, et al.
Other Release No.: 34-79147 |
| AAER-3817 | Oct. 21, 2016 | Julianne M. Chandler
Other Release No.: 34-79137 |
| AAER-3816 | Oct. 20, 2016 | FMC Technologies, Inc., Jeffrey Favret, CPA and Steven K. Croft, CPA
Other Release No.: 34-79127 |
| AAER-3815 | Oct. 19, 2016 | David A. Aronson, CPA
Other Release No.: 34-79120 |
| AAER-3814 | Oct. 18, 2016 | Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
Other Release No.: 34-79109 |
Third Quarter | ||
| AAER-3813 | Sep. 30, 2016 | Steven M. Brazile, CPA
Other Release No.: 34-79021 |
| AAER-3812 | Sep. 30, 2016 | Dennis Duban, CPA
Other Release Nos.: IA-4544, 34-79020 |
| AAER-3811 | Sep. 30, 2016 | Alan Ritter, CPA
Other Release No.: 34-79019 |
| AAER-3810 | Sep. 30, 2016 | GlaxoSmithKline plc
Other Release No.: 34-79005 See also: Administrative Summary |
| AAER-3809 | Sep. 30, 2016 | D'Arelli Pruzansky, et al.
Other Release No.: 34-79004 |
| AAER-3808 | Sep. 28, 2016 | Anheuser-Busch InBev SA/NV
Other Release No.: 34-78957 |
| AAER-3807 | Sep. 27, 2016 | Orrstown Financial Services, Inc., et al.
Other Release Nos.: 34-78947, 33-10222 See also: Administrative Summary |
| AAER-3806 | Sep. 27, 2016 | Weatherford International plc, et al.
Other Release No.: 33-10221 |
| AAER-3805 | Sep. 21, 2016 | Robert A. Waegelein, CPA
Other Release No.: 34-78897 See also: Administrative Summary |
| AAER-3804 | Sep. 21, 2016 | Park National Corporation
Other Release No.: 34-78896 See also: Administrative Summary |
| AAER-3803 | Sep. 19, 2016 | Ernst & Young LLP, et al.
Other Release No.: 34-78873 |
| AAER-3802 | Sep. 19, 2016 | Ernst & Young LLP and Gregory S. Bednar, CPA
Other Release No.: 34-78872 |
| AAER-3801 | Sep. 16, 2016 | Scott M. Dittman, CPA
Other Release No.s: 33-10211, 34-78864 |
| AAER-3800 | Sep. 13, 2016 | Jun Ping Zhang
Other Release No.: 34-78825 |
| AAER-3799 | Sep. 13, 2016 | Portugal Telecom, et al.
Other Release No.: 34-78824 |
| 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-3773 | May 2, 2016 | MaloneBailey, LLP and Jay Phillip Norris, CPA
Other Release Nos.: 34-77755 |
| 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 |