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.
Additional Archives
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Fourth Quarter | ||
| AAER-4012 | Dec. 31, 2018 | Hertz Global Holdings, Inc and the Hertz Corporation
Other Release Nos.: 33-10601, 34-84979 |
| AAER-4011 | Dec. 26, 2018 | Polycom, Inc.
Other Release No.: 34-84978 |
| AAER-4010 | Dec. 26, 2018 | Centrais Elétricas Brasileiras S.A.
Other Release No.: 34-84973 |
| AAER-4009 | Dec. 26, 2018 | ADT Inc.
Other Release No.: 34-84956 |
| AAER-4008 | Dec. 21, 2018 | Mitchell J. Rubin, CPA and Michael Bernstein, CPA
Other Release No.: 34-84921 |
| AAER-4007 | Dec. 21, 2018 | Crowe Horwath LLP, Joseph C. Macina, CPA and Kevin V. Wydra, CPA
Other Release No.: 34-84920 |
| AAER-4006 | Dec. 21, 2018 | Darren M. Bennett, CPA
Other Release No.: 34-84912 |
| AAER-4005 | Dec. 21, 2018 | John J. Aesoph, CPA and Darren M. Bennett, CPA
Other Release No.: 34-84911 |
| AAER-4004 | Dec. 18, 2018 | Takeshi "Tyrone" Uonaga
Other Release No.: 34-84850 |
| AAER-4003 | Dec. 18, 2018 | Paul A. Margis
Other Release No.: 34-84849 |
| AAER-4002 | Dec. 17, 2018 | Santander Consumer USA Holdings Inc.
Other Release No.: 34-84829 |
| AAER-4001 | Dec. 11, 2018 | Lotus Bio-Technology Development Corporation
Other Release No.: 34-84785 |
| AAER-4000 | Dec. 11, 2018 | Frontier Oilfield Services, Inc.
Other Release No.: 34-84784 |
| AAER-3999 | Dec. 11, 2018 | Eastgate Biotech Corporation
Other Release No.: 34-84783 |
| AAER-3998 | Dec. 11, 2018 | Auscrete Corporation
Other Release No.: 34-84782 |
| AAER-3997 | Dec. 11, 2018 | The Hain Celestial Group, Inc.
Other Release No.: 34-84781 |
| AAER-3996 | Dec. 10, 2018 | Agria Corporation
Other Release No.: 34-84763 |
| AAER-3995 | Dec. 4, 2018 | KCAP Financial, Inc.
Other Release Nos.: 34-84718, IC-33314 |
| AAER-3994 | Nov. 19, 2018 | Vantage Drilling International
Other Release No.: 34-84617 |
| AAER-3993 | Nov. 9, 2018 | Pyxus International, Inc.
Other Release No.: 34-84562 |
| AAER-3992 | Oct. 12, 2018 | Richard J. Bertuglia, CPA, John W. Green, CPA and Lev Nagdimov, CPA
Other Release No.: 34-84419 |
Third Quarter | ||
| AAER-3991 | Sep. 28, 2018 | Mota Group, Inc. and Mota "Michael" Faro
Other Release No.: 33-10564 |
| AAER-3990 | Sep. 28, 2018 | Stryker Corporation
Other Release Nos.: 34-84308 |
| AAER-3989 | Sep. 27, 2018 | Petroleo Brasileiro S.A. - Petrobras
Other Release Nos.: 33-10561, 34-84295 |
| AAER-3988 | Sep. 26, 2018 | Dhru Desai
Other Release No.: 34-84291 |
| AAER-3987 | Sep. 25, 2018 | Lichter, Yu and Associates, Inc., et al.
Other Release No.: 34-84281 |
| AAER-3986 | Sep. 21, 2018 | James Douglas Miller
Other Release No.: LR-24282 |
| AAER-3985 | Sep. 21, 2018 | Infrax Systems, Inc.
Other Release No.: 34-84263 |
| AAER-3984 | Sep. 21, 2018 | First Hartford Corporation
Other Release No.: 34-84262 |
| AAER-3983 | Sep. 21, 2018 | Dasan Zhone Solutions, Inc.
Other Release No.: 34-84261 |
| AAER-3982 | Sep. 21, 2018 | Cool Technologies, Inc.
Other Release No.: 34-84260 |
| AAER-3981 | Sep. 21, 2018 | Cardiff Lexington Corporation (f/k/a Cardiff International, Inc.)
Other Release No.: 34-84258 |
| AAER-3980 | Sep. 21, 2018 | Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr
Other Release No.: 33-10558 |
| AAER-3979 | Sep. 21, 2018 | Dennis W. Hamilton, CPA
Other Release No.: 34-84252 |
| AAER-3978 | Sep. 21, 2018 | Primoris Services Corporation
Other Release No.: 34-84251 |
| AAER-3977 | Sep. 20, 2018 | Barrett Business Services, Inc. and Mark Cannon, CPA
Other Release Nos.: 33-10557, 34-84233 |
| AAER-3976 | Sep. 19, 2018 | Bronson L. Quon, CPA
Other Release No.: 34-84207 |
| AAER-3975 | Sep. 19, 2018 | Robert Torino
Other Release No.: 34-84206 |
| AAER-3974 | Sep. 19, 2018 | Nasir Shakouri
Other Release No.: 34-84205 |
| AAER-3973 | Sep. 19, 2018 | Karen Bruton, CPA
Other Release No.: 34-84198 |
| AAER-3972 | Sep. 14, 2018 | Jennifer F. Wolf, CPA
Other Release No.: 34-84131 |
| AAER-3971 | Sep. 12, 2018 | Adam C. Wasserman
Other Release No.: LR-24265 |
| AAER-3970 | Sep. 13, 2018 | Holthouse Carlin & Van Trigt LLP
Other Release Nos.: 34-84118, IA-5008 |
| AAER-3969 | Sep. 7, 2018 | Sarah E. Adams, CPA
Other Release No.: 34-84055 |
| AAER-3968 | Sep. 6, 2018 | Joohyun Bahn and a/k/a Dennis Bahn
Other Release No.: 34-84054 |
| AAER-3967 | Sep. 4, 2018 | John Pierrard
Other Release No.: 34-84024 |
| AAER-3966 | Sep. 4, 2018 | Joanne K. Viard, CPA
Other Release No.: 34-84023 |
| AAER-3965 | Sep. 4, 2018 | Michael J. Kipp
Other Release No.: 34-84022 |
| AAER-3964 | Sep. 4, 2018 | Sanofi
Other Release No.: 34-84017 |
| AAER-3963 | Aug. 30, 2018 | Philip R. Jacoby, Jr.
Other Release No.: 34-84010 |
| AAER-3962 | Aug. 29, 2018 | David Michael Naylor, CPA
Other Release No.: 34-83993 |
| AAER-3961 | Aug. 27, 2018 | Legg Mason, Inc.
Other Release No.: 34-83948 |
| AAER-3960 | Aug. 20, 2018 | Joseph Jennings, CPA
Other Release No.: 34-83889 |
| AAER-3959 | Aug. 17, 2018 | Daniel H. Glick, CPA
Other Release No.: 34-83883 |
| AAER-3958 | Aug. 16, 2018 | Citigroup Inc.
Other Release No.: 34-83858 |
| AAER-3957 | Aug. 15, 2018 | Lauren Zarsky, CPA
Other Release No.: 34-83854 |
| AAER-3956 | Aug. 8, 2018 | Robert J. Brehl, CPA
Other Release No.: 34-83807 |
| AAER-3955 | Aug. 8, 2018 | Daniel M. Fitzpatrick, CPA
Other Release No.: 34-83806 |
| AAER-3954 | Aug. 8, 2018 | Kevin M. Modany, CPA
Other Release No.: 34-83805 |
| AAER-3953 | Aug. 3, 2018 | Kurt J. Bordian, CPA
Other Release No.: 34-83772 |
| AAER-3952 | Jul. 17, 2018 | Jay C. Lake, CPA
Other Release Nos.: 33-10519, 34-83655 |
| AAER-3951 | Jul. 12, 2018 | Anton & Chia, LLP, et al.
Other Release No.: 34-83622 |
| AAER-3950 | Jul. 12, 2018 | Patrick J. Gray
Other Release No.: 34-83620 |
| AAER-3949 | Jul. 10, 2018 | Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA
Other Release Nos.: 33-10517, 34-83612 |
| AAER-3948 | Jul. 5, 2018 | Credit Suisse Group AG
Other Release No.: 34-83593 |
| AAER-3947 | Jul. 2, 2018 | The Dow Chemical Company
Other Release No.: 34-83581 |
| AAER-3946 | Jul. 2, 2018 | KBR, Inc.
Other Release Nos.: 33-10516, 34-83578 |
| AAER-3945 | Jul. 2, 2018 | Axesstel, Inc., et al.
Other Release No.: LR-24181 |
| AAER-3944 | Jul. 2, 2018 | Beam Inc., n/k/a Beam Suntory Inc.
Other Release No.: 34-83575 |
Second Quarter | ||
| AAER-3943 | Jun. 14, 2018 | RSM US LLP
Other Release No.: 34-83428 |
| AAER-3942 | Jun. 6, 2018 | Michael J. Mona, Jr.
Other Release No.: 34-83391 |
| AAER-3941 | May 4, 2018 | David T. Leboe, CPA
Other Release No.: 34-83170 |
| AAER-3940 | May 4, 2018 | Kevin W. McAleer, CPA
Other Release Nos.: 34-83169 |
| AAER-3939 | May 4, 2018 | Winter, Kloman, Moter & Repp, S.C., et al.
Other Release Nos.: 34-83168, IA-4906 |
| AAER-3938 | Apr. 30, 2018 | Panasonic Corporation
Other Release No.: 34-83128 |
| AAER-3937 | Apr. 24, 2018 | Altaba Inc. and f/d/b/a Yahoo! Inc.
Other Release No.: 33-10485 |
| AAER-3936 | Apr. 23, 2018 | The Dun & Bradstreet Corporation
Other Release No.: 34-83088 |
| AAER-3935 | Apr. 19, 2018 | Medifirst Solutions, Inc. and Bruce J. Schoengood
Other Release No.: 34-83067 |
| AAER-3934 | Apr. 12, 2018 | Li, Company, PC and Tony Zhicong Li, CPA
Other Release No.: 33-10482 |
| AAER-3933 | Apr. 9, 2018 | Philip John James, et al.
Other Release No.: 33-10478, 34-83017 |
First Quarter | ||
| AAER-3932 | Mar. 27, 2018 | Maxwell Technologies, Inc., et al.
Other Release No.: 33-10472 |
| AAER-3931 | Mar. 26, 2018 | Akorn, Inc., Timothy Dick, and David Hebeda
Other Release No.: LR-24082 |
| AAER-3930 | Mar. 26, 2018 | Kinross Gold Corporation
Other Release No.: 34-82946 |
| AAER-3929 | Mar. 13, 2018 | KPMG
Other Release No.: 34-82862 |
| AAER-3928 | Mar. 13, 2018 | Deloitte & Touche Chartered Accountants
Other Release No.: 34-82861 |
| AAER-3927 | Mar. 13, 2018 | KPMG Inc.
Other Release No.: 34-82860 |
| AAER-3926 | Mar. 13, 2018 | BDO Canada LLP (f/k/a BDO Dunwoody LLP)
Other Release No.: 34-82859 |
| AAER-3925 | Mar. 9, 2018 | Elbit Imaging Ltd.
Other Release No.: 34-82849 |
| AAER-3924 | Feb. 21, 2018 | Alan Weinberg, CPA and Weinberg & Baer LLC
Other Release No.: 34-82744 |
| AAER-3923 | Feb. 16, 2018 | Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al.
Other Release No.: LR-24051 See also SEC Complaints: Sharone Perlstein et al., Jonathan Strum, Alan Weinberg and Weinberg & Baer LLC |
| AAER-3922 | Feb. 16, 2018 | Simcha Baer, CPA
Other Release No.: 34-82736 |
| AAER-3921 | Feb. 14, 2018 | Brian S. Block, CPA
Other Release No.: LR-24046 |
| AAER-3920 | Feb. 14, 2018 | Brian S. Block, CPA
Other Release No.: 34-82710 |
| AAER-3919 | Jan. 22, 2018 | Brian Sweet, CPA
Other Release No.: 34-82557 |
| AAER-3918 | Jan. 22, 2018 | Cynthia Holder, CPA, et al.
Other Release No.: 34-82556 |
| AAER-3917 | Jan. 19, 2018 | Justin Samuel Cary, CPA
Other Release No.: 34-82554 |