Accounting and Auditing Enforcement

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.

Accounting and Auditing Enforcement Releases RSS Feed


Date Sort descending	Respondents
Aug. 4, 2020	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. 34-89475, AAER-4156
July 31, 2020	J. Michael Pearson Release No. 33-10810, 34-89443, AAER-4154
July 31, 2020	Tanya R. Carro, CPA Release No. 33-10812, 34-89445, AAER-4155
July 31, 2020	Valeant Pharmaceuticals International, Inc. and n/k/a Bausch Health Companies Inc. Release No. 33-10809, 34-89442, AAER-4153
July 15, 2020	Paul J. Konigsberg Release No. 34-89326, AAER-4152
July 2, 2020	Alexion Pharmaceuticals, Inc. Release No. 34-89214, AAER-4151
June 25, 2020	Novartis AG Release No. 34-89149, AAER-4150
June 23, 2020	Vereit, Inc. Release No. 33-10793, 34-89133, AAER-4149 See Also: Administrative Summary
June 18, 2020	PLS, CPA, et al. (Order) Release No. 34-89099, AAER-4148
June 5, 2020	Jana Faith Kiena, CPA Release No. 34-89023, AAER-4147 See Also: Administrative Summary
June 4, 2020	Argo Group International Holdings, Ltd. Release No. 34-89009, AAER-4146
June 3, 2020	Christopher D. Larson (CPA) Release No. 34-88998, AAER-4145
May 22, 2020	TSP Capital Management Group, LLC Release No. IA-5508, AAER-4144 See Also: Administrative Summary
May 18, 2020	John Donovan, CPA Release No. 34-88897, AAER-4143
May 18, 2020	Timothy Daly, CPA Release No. 34-88895, AAER-4141
May 18, 2020	Michael Bellach, CPA Release No. 34-88896, AAER-4142
May 12, 2020	TCA Fund Management Group Corp. and TCA Global Credit Fund GP, Ltd. Release No. LR-24815, AAER-4140
May 11, 2020	PLS, CPA, et al. (Order) Release No. 34-88851, AAER-4139
May 5, 2020	Jeffery A. Curran, CA Release No. 34-88808, AAER-4138
May 1, 2020	Todd H. Takeyasu, CA Release No. 34-88791, AAER-4134
May 1, 2020	PLS, CPA, et al. (Order Regarding Service) Release No. 34-88796, AAER-4136
April 28, 2020	Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab Release No. LR-24809, AAER-4133 See Also: SEC Complaint
April 28, 2020	Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. Release No. 34-88762, AAER-4132
April 28, 2020	William M. Aisenberg, CPA (Corrected) Release No. 34-88763, AAER-4132
April 24, 2020	PLS,, CPA a Professional Corporation Pls a/k/a, CPAS Park, Chang G., CPA Park, a/k/a Changgeun Lee, Joseph Yongyun, CPA Lee, a/k/a Yong Yun Lee, Juchi, CPA Fernandez, a/k/a Juchi Lee Lee, Ju-Chi Lee, Ju Chi Lee, Sue Release No. 34-88739, AAER-4131 See Also: Administrative Summary
April 22, 2020	Robert J. Jesenik Release No. IA-5482, AAER-4126
April 22, 2020	Kenneth D. Shifrin, CPA Release No. 34-88723, AAER-4128
April 22, 2020	N. Scott Gillis, CPA Release No. IA-5484, AAER-4126
April 22, 2020	Brian M. Storms Release No. 34-88724, AAER-4129
April 22, 2020	Brian L. Ferdinand Release No. 33-10775, 34-88720, AAER-4127
April 22, 2020	Berman & Company, P.A., and Elliot Berman CPA, Berman, Elliot R., CPA Berman & Company, P.A. Release No. 34-88731, AAER-4130
April 17, 2020	Brian Robert Sodi, CPA Release No. 34-88686, AAER-4125
April 17, 2020	Eni S.p.A. Release No. 34-88679, AAER-4124 See Also: Administrative Summary
April 17, 2020	James Arthur Young III Release No. 34-88680, IA-5481, AAER-4125
April 16, 2020	Frazer Frost LLP Woo, Susan, CPA Suen, Miranda, CPA Release No. 34-88659, AAER-4123
April 15, 2020	Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP Release No. 34-88653, AAER-4122
April 8, 2020	Jeffrey D. Cordes et al. Release No. LR-24792, AAER-4121 See Also: SEC Complaint
March 20, 2020	Ronald Emma, CPA Release No. 34-88432, AAER-4120
March 12, 2020	David G. Dreslin, CPA Release No. 34-88377, AAER-4119
Feb. 28, 2020	Cardinal Health, Inc. Release No. 34-88303, AAER-4118
Feb. 26, 2020	RSM US LLP (f/k/a/ Mcgladrey LLP) Release No. 34-88287, AAER-4117 See Also: Administrative Summary
Feb. 6, 2020	LBB & Associates Ltd., LLP Lopez, Carlos, CPA Release No. 34-88140, AAER-4116 See Also: Administrative Summary
Jan. 27, 2020	Steven M. Des Champs, CPA Release No. 34-88048, AAER-4115
Jan. 16, 2020	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus, CPA (Corrected Order Granting Petitions for Review and Scheduling Briefs) Release No. 34-88001, AAER-4114
Jan. 15, 2020	Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA Release No. 34-87969, AAER-4112
Jan. 15, 2020	Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA Release No. 34-87970, AAER-4113
Jan. 3, 2020	Robert A. Karmann, CPA Release No. 34-87884, AAER-4111
Dec. 20, 2019	Quantum Corporation Release No. 34-87812, AAER-4110 See Also: Administrative Summary
Dec. 16, 2019	Tim Leissner Release No. 34-87750, IA-5418, IC-33715, AAER-4108
Dec. 12, 2019	Stonemor Partners L.P. and Stonemor GP LLC Release No. 34-87732, AAER-4107 See Also: Administrative Summary
Dec. 5, 2019	Warren Clamen, CPA Release No. 33-10730, 34-87661, AAER-4105
Dec. 5, 2019	Jatindar Kapur, CPA Release No. 33-10731, 34-87670, AAER-4106 See Also: Administrative Summary
Dec. 4, 2019	Raymon Holmdahl, CPA and Kanako Matsumoto, CPA Release No. 34-87657, AAER-4104
Nov. 29, 2019	Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA Release No. 34-87642, AAER-4103
Nov. 25, 2019	Calumet Specialty Products Partners, L.P. Release No. 34-87611, AAER-4102 See Also: Administrative Summary
Nov. 7, 2019	Pruitt, David, CPA Release No. 34-87484, AAER-4101
Oct. 11, 2019	John Busshaus, CPA Release No. 33-10718, AAER-4100
Oct. 10, 2019	Northwest Biotherapeutics, Inc. Release No. 34-87281, AAER-4099 See Also: Administrative Summary
Sept. 30, 2019	Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP Release No. 34-87157, AAER-4097
Sept. 30, 2019	Marla P. Manowitz, CPA, Thomas R. Vreeland, CPA and Kenneth J. Gralak, CPA Release No. 34-87159, AAER-4098
Sept. 27, 2019	Mylan N.V. Release No. LR-24621, AAER-4096 See Also: SEC Complaint
Sept. 27, 2019	FCA US LLC and Fiat Chrysler Automobiles N.V. Release No. 33-10706, 34-87134, AAER-4095
Sept. 26, 2019	PPG Industries, Inc. Release No. 33-10701, 34-87129, AAER-4094 See Also: Administrative Summary
Sept. 25, 2019	Toups, Michael P. Release No. 34-87102, AAER-4093
Sept. 24, 2019	Serge Matta Release No. 33-10693, 34-87070, AAER-4092
Sept. 24, 2019	Comscore, Inc. Release No. 33-10692, 34-87069, AAER-4091
Sept. 23, 2019	Carlos Ghosn and Gregory L. Kelly Release No. LR-24606, AAER-4088 See Also: SEC Complaint
Sept. 23, 2019	Subramanian Krishnan (CPA)(Corrected) Release No. 34-87068, AAER-4090
Sept. 23, 2019	TechnipFMC plc. Release No. 34-87055, AAER-4087 See Also: Administrative Summary
Sept. 23, 2019	Brandon Sprankle, CPA Release No. 34-87053, AAER-4085
Sept. 23, 2019	Briner, John, Esq. Dalmy, Diane. Esq. De Joya Griffith, LLC De Joya, Arthur, CPA Griffith, Jason, CPA Whetman, Chris, CPA Zhang, Philip, CPA M&K CPAs, PLLC Manis, Matt, CPA Ridenour, Jon, CPA Ortego, Ben, CPA Release No. 34-87063, AAER-4089
Sept. 23, 2019	Nissan Motor Co., Ltd. Release No. 34-87054, AAER-4086
Sept. 23, 2019	PricewaterhouseCoopers LLP Release No. 34-87052, AAER-4084
Sept. 20, 2019	Donald F. Mcgraw, Jr. Release No. 34-87038, AAER-4083 See Also: Administrative Summary
Sept. 20, 2019	The Bancorp, Inc. Release No. 34-87036, AAER-4081 See Also: Administrative Summary
Sept. 20, 2019	James David Hilty Release No. 34-87037, AAER-4082 See Also: Administrative Summary
Sept. 20, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. 34-87033, AAER-4080
Sept. 19, 2019	Kevyn N. Rakowski, CPA Release No. 34-87007, AAER-4078
Sept. 19, 2019	David R. Gibson Release No. 34-87032, IA-5357, AAER-4079
Sept. 17, 2019	Tom Simeo Release No. LR-24599, AAER-4077 See Also: SEC Complaint
Sept. 16, 2019	Marvell Technology Group, Ltd. Release No. 33-10684, 34-86971, AAER-4076
Sept. 13, 2019	ED Capital Management, LLC d/b/a Daniloff Capital Management, LLC and Elliot Daniloff a/k/a Ilya Olegovich Danilov Release No. IA-5344, AAER-4075 See Also: Administrative Summary
Sept. 13, 2019	Sridhar Thiruvengadam Release No. 34-86963, AAER-4074 See Also: Administrative Summary
Sept. 11, 2019	Robert D. Hesselgesser, CPA Release No. 34-86924, AAER-4073
Sept. 9, 2019	Beamish, Adrian D., CPA Release No. 34-86903, AAER-4072
Sept. 6, 2019	Abner Silva Release No. 33-10681, 34-86900, AAER-4071 See Also: Administrative Summary
Sept. 5, 2019	Daniel Khesin Release No. 33-10680, 34-86889, AAER-4070 See Also: Administrative Summary
Aug. 29, 2019	Robin Smyth Release No. 34-86804, AAER-4068
Aug. 29, 2019	Juniper Networks, Inc. Release No. 34-86812, AAER-4069 See Also: Administrative Summary
Aug. 27, 2019	RSM US LLP (f/k/a McGladrey LLP) Release No. 34-86770, IA-5331, AAER-4066
Aug. 27, 2019	Alan G. Heide, CPA Release No. 34-86771, AAER-4067
Aug. 22, 2019	Deutsche Bank AG Release No. 34-86740, AAER-4065 See Also: Administrative Summary
Aug. 21, 2019	Michael Filkoski, CPA and Scott Magnuson, CPA Release No. 34-86720, AAER-4064 See Also: Administrative Summary
Aug. 7, 2019	Thomas W. Avent, Jr., CPA, Esq. Release No. 34-86594, AAER-4063 See Also: Litigation Release
Aug. 5, 2019	Nandu Thondavadi Release No. 34-86564, AAER-4062
Aug. 1, 2019	Brixmor Property Group Inc. Release No. 34-86538, AAER-4061
July 26, 2019	Nevanna Sacks, CPA Release No. 34-86495, AAER-4060, AAER-4060
July 16, 2019	Dov Weinstein, CPA and Dov Weinstein & Co., CPA Release No. 34-86385, AAER-4059 See Also: Administrative Summary
July 10, 2019	Thomas H. Laws, CPA Release No. 34-86350, AAER-4058
July 1, 2019	Thomas Chang, CPA Release No. 34-86252, AAER-4057

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