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 | Third Quarter | Second Quarter | First Quarter

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