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 Respondents
GTT Communications, Inc.
Release No. 33-11241, 34-98491, AAER-4459
Alfonse Gregory Giugliano, CPA
Release No. 34-98352, AAER-4458
Michelle L. Helterbran Cochran, CPA (ORDER DENYING MOTION FOR RECONSIDERATION)
Release No. 34-98329, AAER-4457
Mark Wogsland
Release No. 34-98307, AAER-4456
Bret Naggs
Release No. 34-98306, AAER-4455
Wang, Jia Roger QianWang Certified Public Accountant, P.C (AMENDED SCHEDULING ORDER)
Release No. 34-98275, AAER-4454
SQN Capital Management, LLC and Jeremiah Silkowski
Release No. 34-98272, IA-6393, AAER-4453
See Also: Administrative Summary
Plug Power Inc.
Release No. 34-98243, AAER-4452
See Also: Administrative Summary
Peter Armbruster, CPA
Release No. 34-98229, AAER-4451
3M Company
Release No. 34-98222, AAER-4450
Mac Wayne Billings, CPA
Release No. 34-98218, AAER-4449
Vivic Corp.
Release No. 34-98194, AAER-4448
See Also: Administrative Summary
ReShape Lifesciences Inc.
Release No. 34-98193, AAER-4447
See Also: Administrative Summary
Omnia Wellness Inc.
Release No. 34-98192, AAER-4446
See Also: Administrative Summary
Alpine 4 Holdings, Inc.
Release No. 34-98190, AAER-4444
See Also: Administrative Summary
Black Spade Acquisition Co
Release No. 34-98188, AAER-4443
See Also: Administrative Summary
David D. Brooks, CPA
Release No. 34-98191, AAER-4445
Michael J. Senken
Release No. 34-98186, AAER-4442
Malvern Bancorp, Inc. and Joseph D. Gangemi
Release No. 33-11223, 34-98132, AAER-4441
See Also: Administrative Summary
Ault Alliance, et al.
Release No. 33-11222, 34-98131, AAER-4440
See Also: Administrative Summary
Joshua Abrahams, CPA (ORDER POSTPONING PROCEEDING)
Release No. 34-98122, AAER-4439
Crowe U.K. LLP, Nigel D. Bostock, FCA, Matthew C. Stallabrass, FCA
Release No. 34-98118, AAER-4438
Grupo Aval Acciones y Valores S.A. and Corporación Financiera Colombiana S.A.
Release No. 34-98103, AAER-4437
Alan J. Markowitz, CPA (ORDER POSTPONING PROCEEDING)
Release No. 34-98069, AAER-4436
Lawrence K. White, CPA
Release No. 33-11219, 34-98065, AAER-4435
See Also: Administrative Summary
David Lethem
Release No. 34-98039, AAER-4434
John R. Browne, CPA
Release No. 34-98030, AAER-4433
See Also: Administrative Summary
Michelle L. Helterbran Cochran, CPA (ORDER REQUESTING RESPONSE TO MOTION FOR RECONSIDERATION)
Release No. 34-97941, AAER-4432
Kevin R. Harris, CPA
Release No. 33-11212, AAER-4431, 34-97940
Jia Roger Qian Wang, CPA and Wang Certified Public Accountant, P.C. (ORDER)
Release No. 34-97920, AAER-4430
Reed L. Benson, CPA
Release No. 34-97835, AAER-4427
See Also: Administrative Summary
Dwight H. Egan
Release No. 33-11210, 34-97837, AAER-4429
See Also: Administrative Summary
Co-Diagnostics, Inc.
Release No. 33-11209, 34-97836, AAER-4428
See Also: Administrative Summary
Future FinTech Group Inc.,
Release No. 33-11206, 34-97829, AAER-4425
See Also: Administrative Summary
Vidul Prakash
Release No. LR-25766, AAER-4426
See Also: SEC Complaint
Alan J. Markowitz, CPA (SCHEDULING ORDER)
Release No. 34-97795, AAER-4424
Marcum LLP
Release No. 34-97773, AAER-4423
Stanley Black & Decker, Inc.
Release No. 34-97761, AAER-4422
Jeffery D. Ansell
Release No. 34-97760, AAER-4421
Brian C. Jensen, CPA
Release No. 34-97757, AAER-4420
David Dickson and Stuart Andrew Spence
Release No. 34-97740, AAER-4419
See Also: Administrative Summary
Boyle CPA, LLC; Robert Allan Boyle, CPA
Release No. 34-97685, AAER-4418
See Also: Administrative Summary
Cantaloupe, Inc. (f/k/a USA Technologies, Inc.)
Release No. 33-11202, 34-97651, AAER-4417
See Also: Administrative Summary
Maeve M. Duska
Release No. 33-11201, 34-97650, AAER-4416
Michael K. Lawlor
Release No. 33-11200, 34-97649, AAER-4415
Pending Administrative Proceedings (Order Vacating Certain Associational Bars)
Release No. 33-11199, 34-97641, IA-6324, IC-34934, AAER-4414
Pending Administrative Proceedings (Order Dismissing Proceedings)
Release No. 33-11198, 34-97640, IA-6323, IC-34933, AAER-4413
Carl S. Schwartz, CPA
Release No. IA-6320, AAER-4412
Gartner, Inc.
Release No. 34-97609, AAER-4411
See Also: Administrative Summary
Jia Roger Qian Wang, CPA and Wang Certified Public Accountant, P.C. (ORDER)
Release No. 34-97590, AAER-4410
Ramón Lafarga Bátiz (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97512, AAER-4409
Noe Corrales Reyes (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97510, AAER-4408
Carlos Javier Moctezuma Velasco (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97509, AAER-4407
Koninklijke Philips N.V.
Release No. 34-97479, AAER-4406
Alan J. Markowitz, CPA (ORDER)
Release No. 34-97414:, AAER-4405
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97413, AAER-4404
Frank's International N.V.
Release No. 34-97381, AAER-4403
See Also: Administrative Summary
SAExploration Holdings, Inc., et al.
Release No. LR-25700, AAER-4402
See Also: Final Judgement - Jeffrey A. Hastings , Order - Lori Hastings
Martha Patricia Bustos, CPA
Release No. 34-97317, AAER-4401
Michael K. Molen
Release No. 34-97292, AAER-4400
Bobby Peavler and William Eric Meek
Release No. LR-25690, AAER-4399
William Eric Meek
Release No. 34-97270, AAER-4398
Bobby Peavler
Release No. 34-97269, AAER-4397
James Fitts, CPA,
Release No. 34-97259, AAER-4396
Jason Jianxun Tang, CPA (POSTPONEMENT ORDER)
Release No. 34-97246, AAER-4395
Spicer Jeffries LLP and Sean P. Tafaro
Release No. 34-97216, AAER-4394
Alan J. Markowitz (Order Setting Deadline for Markowitz's Answer)
Release No. 34-97209, AAER-4393
Philip R. Jacoby, Jr., et al.
Release No. LR-25671, AAER-4392
See Also: Judgment
DXC Technology Company
Release No. 33-11166, 34-97140, AAER-4391
Evoqua Water Technologies Corp. and Imran Parekh
Release No. LR-25662, AAER-4390
See Also: SEC Complaint
Alan J. Markowitz, CPA (Order Regarding Service)
Release No. 34-97113, AAER-4389
Andy Chin Fong Chen, CPA (Order Scheduling Briefs and Amending Caption)
Release No. 33-11164, 34-97061, AAER-4387
Jia Roger Qian WangJia Roger Qian Wang, et al. (Order Extending Time to File an Answer)
Release No. 34-97074, AAER-4388
Barry D. Loveless, CPA
Release No. 34-97050, AAER-4385
Flutter Entertainment and plc as successor-in-interest to The Stars Group, Inc. (Corrected)
Release No. 34-97044, AAER-4384
See Also: Administrative Summary
Rio Tinto plc
Release No. 34-97049, AAER-4386
Ramón Lafarga Bátiz (Order Regarding Service)
Release No. 34-97007, AAER-4383
Noe Corrales Reye (Order Regarding Service)
Release No. 34-97004, AAER-4381
Carlos Javier Moctezuma Velasco (Order Regarding Service)
Release No. 34-97005, AAER-4382
Markowitz, Alan J., CPA
Release No. 34-96995, AAER-4380
Jia Roger Qian Wang, CPA, and Wang Certified Public Accountant, P.C. (Order Granting in Part Motion for Extension of Time to File an Answer)
Release No. 34-96994, AAER-4379
African Gold Acquisition Corp.
Release No. 34-96960, AAER-4377
Alan A. Tucker
Release No. 34-96961, AAER-4378
Jia Roger Qian WangJia Roger Qian Wang, et al. (Order)
Release No. 34-96949, AAER-4376
Roadrunner Transportation Systems, Inc.
Release No. 33-11156, 34-96909, AAER-4375
See Also: Administrative Summary
Wang, Jia Roger Qian, CPA and Wang Certified Public Accountant, P.C.
Release No. 34-96852, AAER-4374
See Also: Administrative Summary
Gentex Corporation and Kevin C. Nash
Release No. 34-96819, AAER-4373
See Also: Administrative Summary
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision)
Release No. 34-96771, AAER-4372
Andy Chin Fong Chen, CPA (Order Denying Petition to Lift Temporary Suspension and Directing Hearing)
Release No. 33-11148, 34-96710, AAER-4371
Kurt W. Streams
Release No. 34-96659, AAER-4370
Cooper J. Morgenthau
Release No. 34-96652, AAER-4369
Honeywell International Inc. (Corrected)
Release No. 34-96529, AAER-4368
Daniel Moser
Release No. 34-96349, AAER-4367
Tang, Jason Jianxun, CPA
Release No. 34-96347, AAER-4366
Ira S. Viener (Second Order Regarding Service)
Release No. 34-96325, AAER-4365
Chen, Andy Chin Fong, CPA
Release No. 33-11133, 34-96299, AAER-4364
Scott David Mahoney
Release No. 34-96235, AAER-4363
Ira S. Viener, CPA (Order)
Release No. 34-96224, AAER-4362
Koppers Holdings Inc.
Release No. 33-11129, 34-96193, AAER-4360
See Also: Administrative Summary
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision)
Release No. 34-96196, AAER-4361
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