Accounting and Auditing Enforcement Releases Archive: 2017

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-3916 Dec. 12, 2017 Peter R. Culpepper, CPA
Other Release No.: 34-82293
AAER-3915 Dec. 5, 2017 Robert W. Davis, CPA
Other Release No.: 34-82220 
AAER-3914 Dec. 5, 2017 Gregory Davis, CPA 
Other Release No.: 34-82215
AAER-3913 Dec. 4, 2017 Rahuldev Gandhi, CPA
Other Release No.: 34-82208
AAER-3912 Dec. 4, 2017 Richard J. Koch, CPA
Other Release No.: 34-82207
AAER-3911 Dec. 4, 2017 Anton & Chia, LLP, et al.
Other Release No.: 34-82206
AAER-3910 Nov. 30, 2017 Thaddeus Bereday
Other Release Nos.: 34-82179, AAER-3910
AAER-3909 Nov. 27, 2017 Jon L. Frank
Other Release No.: 34-82154
AAER-3908 Nov. 21, 2017 Jay Mac Rust and Christopher K. Brenner
Other Release No.: LR-23996
AAER-3907 Nov. 17, 2017 Michael C. Sabatino, CPA
Other Release No.: 34-82110
AAER-3906 Nov. 14, 2017 Paul Behrens, CPA
Other Release No.: 33-10437
AAER-3905 Nov. 3, 2017 Osiris Therapeutics, Inc., et al.
Other Release No.: LR-23978
AAER-3904 Oct. 26, 2017 Augustine Capital Management, et al.
Other Release No.: IA-4800
AAER-3903 Oct. 26, 2017 Harold J. Swart, Jr.
Other Release No.: 34-81954
AAER-3902 Oct. 19, 2017 Mayank Gupta, CPA
Other Release No.: 34-81911
AAER-3901 Oct. 19, 2017 Jeffrey W. Tomz, CPA
Other Release No.: 34-81908

Third Quarter

AAER-3900 Sep. 27, 2017 Robert K. Stewart, CPA
Other Release No.: 34-81740
AAER-3899 Sep. 21, 2017 Paritz & Company, P.A., et al.
Other Release No.: 34-81678
AAER-3898 Sep. 21, 2017 Telia Company AB
Other Release No.: 34-81669
AAER-3897 Sep. 20, 2017 Joseph H. Craft, CPA
Other Release No.: 34-81664
AAER-3896 Sep. 14, 2017 Thomas C. Tekulve, Jr., CPA
Other Release No.: 34-81619
AAER-3895 Sep. 8, 2017 John R. Holtzhauser, CPA
Other Release No.: 34-81559
AAER-3894 Sep. 7, 2017 Brian K. Rabinovitz, CPA
Other Release No.: 34-81546
AAER-3893 Sep. 7, 2017 Waldemar Grab
Other Release No.: 34-81544
AAER-3892 Sep. 7, 2017 Adrian D. Beamish, CPA
Other Release No.: 34-81542
AAER-3891 Aug. 22, 2017 Matthew Gamsey, CPA
Other Release No.: 34-81452
AAER-3890 Aug. 22, 2017 Edward Dimaria
Other Release No.: 34-81451
AAER-3889 Aug. 15, 2017 Lisa Pavelka Mcalister, CPA
Other Release No.: 34-81397
AAER-3888 Aug. 15, 2017 KPMG LLP and John Riordan, CPA
Other Release No.: 34-81396
AAER-3887 Aug. 8, 2017 Michelle L. Helterbran Cochran, CPA
Other Release No.: 34-81349
AAER-3886 Aug. 1, 2017 Michael S. Shore
Other Release No.: 33-10396
AAER-3885 July 28, 2017 Lynn Tilton; Patriarch Partners, et al. (Order Denying Motion to Stay Administrative Proceeding)
Other Release No.:  IC-32765, IA-4735
AAER-3884 Jul. 27, 2017 Halliburton Company and Jeannot Lorenz
Other Release No.: 34-81222
AAER-3883 Jul. 19, 2017 Enviso Capital, LLC, Ryan Bowers and Jeffrey Laberge, CPA
Other Release Nos.: 34-81173, IA-4731, IC-32737
AAER-3882 Jul. 5, 2017 Ryan Petersen
Other Release No.: LR-23874

Second Quarter

AAER-3881 Jun. 21, 2017 Jay Mac Rust and Christopher K. Brenner
Other Release No.: LR-23865
AAER-3880 Jun. 21, 2017 Christopher K. Brenner, Esq. (CPA)
Other Release No.: 34-80991
AAER-3879 Jun. 19, 2017 Mark C. Northrop, CPA
Other Release Nos.: 33-10371, 34-80963, IA-4717
AAER-3878 Jun. 15, 2017 Michelle L. Helterbran Cochran, CPA, and Susan A. Cisneros
Other Release No.: 34-80949
AAER-3877 Jun. 15, 2017 Eric W. Kirchner and Richard G. Rodick
Other Release No.: 34-80947
AAER-3876 Jun. 14, 2017 Edward Richardson Jr., CPA and Edward Richardson Jr.
Other Release No.: 34-80918
AAER-3875 Jun. 12, 2017 Lisa Hanmer, CPA
Other Release No.: 34-80904
AAER-3874 Jun. 9, 2017 Michael B. Hayford, et al.
Other Release No.: 33-10369
AAER-3873 Jun. 7, 2017 Dan (“Alice”) Zhang, CPA
Other Release No.: 34-80872
AAER-3872 Jun. 1, 2017 David R. Humphrey, CPA
Other Release Nos.: 33-10368, 34-80839
AAER-3871 May 23, 2017 Lisa Hanmer, CPA
Other Release No.: 34-80750
AAER-3870 May 23, 2017 Daniel Millmann, CPA
Other Release No.: 34-80749
AAER-3869 May 1, 2017 MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
Other Release No.: 33-10352
AAER-3868 Apr. 28, 2017 David Pruitt, CPA
Other Release No.: 34-80548
AAER-3867 Apr. 28, 2017 Mark Wentlent
Other Release No.: 34-80547
AAER-3866 Apr. 21, 2017 Mark McKinnies, CPA
Other Release No.: 34-80507
AAER-3865 Apr. 10, 2017 Galena Biopharma, Inc. and Mark J. Ahn
Other Release No.: 33-10337
AAER-3864 Apr. 4, 2017 William Joseph Kouser Jr., CPA and Ryan James Dougherty, CPA
Other Release No.: 34-80370

First Quarter

AAER-3863 Mar. 14, 2017 Nima Hedayati
Other Release No.: 34-80238
AAER-3862 Mar. 3, 2017 Desarrolladora Homex S.A.B. de C.V
Other Release No.: LR-23765
AAER-3861 Mar. 10, 2017 Nasir N. Shakouri, Robert S. Torino, Bronson L. Quon, John S. Hong and Jonathan K. Skarie
Other Release No.: LR-23775
AAER-3860 Feb. 24, 2017 Edward Richardson Jr., CPA and Edward Richardson Jr.
Other Release No.: 34-80103
AAER-3859 Feb. 3, 2017 Thomas Miller and William Liang
Other Release No.: LR-23741
AAER-3858 Feb. 3, 2017 Ixia and Victor Alston
Other Release No.: 33-10302
AAER-3857 Jan. 31, 2017 David A. Aronson, CPA
Other Release No.: 34-79903
AAER-3856 Jan. 26, 2017 Anderson Bradshaw PLLC, et al.
Other Release No.: 34-79880
AAER-3855 Jan. 23, 2017 Overseas Shipholding Group, Inc. and Myles Robert Itkin
Other Release Nos.: 34-79857, 33-10286
AAER-3854 Jan. 23, 2017 Donald P. Jones, CPA
Other Release No.: 34-79856
AAER-3853 Jan. 23, 2017 Shelly R. Mcguire, CPA
Other Release No.: 34-79855
AAER-3852 Jan. 19, 2017 HomeStreet, Inc. and Darrell Van Amen
Other Release No.: 34-79844
AAER-3851 Jan. 18, 2017 Orthofix International N.V.
Other Release No.: 34-79828
AAER-3850 Jan. 18, 2017 General Motors Company
Other Release Nos.: 34-79825
AAER-3849 Jan. 18, 2017 MDC Partners Inc.
Other Release No.: 33-10283
AAER-3848 Jan. 18, 2017 Kenneth Mack and Bryan McMillan
Other Release No.: 34-79820
AAER-3847 Jan. 18, 2017 Brian McCollum
Other Release No.: 34-79819
AAER-3846 Jan. 18, 2017 Jeffrey Hammel, CPA
Other Release Nos.: 34-79817, 33-10282
AAER-3845 Jan. 18, 2017 Orthofix International N.V.
Other Release Nos.: 34-79815, 33-10281
AAER-3844 Jan. 11, 2017 L3 Technologies, Inc.
Other Release No.: 34-79772
AAER-3843 Jan. 12, 2017 Biomet, Inc.
Other Release No.: 34-79780
AAER-3842 Jan. 10, 2017 Larry Lee Crawford, CPA
Other Release No.: 34-79765
AAER-3841 Jan. 6, 2017 Cadbury Limited and Mondelēz International, Inc.
Other Release No.: 34-79753
See also: Administrative Summary