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
Scott A. Woodward, CPA
Release No. 34-96153, AAER-4359
See Also: Administrative Summary
William Hilson, CPA, CA
Release No. 33-11124, 34-96138, AAER-4358
Cronos Group Inc.
Release No. 33-11123, 34-96137, AAER-4357
Abrahams, Joshua, CPA
Release No. 34-96127, AAER-4356
Mattel, Inc.
Release No. 33-11122, 34-96126, AAER-4355
Badree Komandur, et al.
Release No. 34-96071, AAER-4354
Steven H. Davis, et. al
Release No. LR-25549, AAER-4352
Ira S. Viener, CPA (Order Regarding Service)
Release No. 34-95980, AAER-4353
Daniel Moser
Release No. LR-25543, AAER-4351
See Also: SEC Complaint
Lisa Sanford
Release No. 33-11111, 34-95947, AAER-4345
RSM US LLP
Release No. 34-95948, AAER-4346
Anthony G. Roth
Release No. 34-95952, AAER-4348
Steven Kirn, CPA, Michael Piqueira, CPA and Richard Condon, CPA
Release No. 34-95949, AAER-4347
BrookWeiner, et al.
Release No. 34-95958, AAER-4349
See Also: Administrative Summary
Berkower LLC; Michael G. Mullen, CPA; and Maurice Berkower, CPA
Release No. 34-95959, AAER-4350
See Also: Administrative Summary
Deloitte Touche Tohmatsu Certified Public Accountants, LLP
Release No. 34-95938, AAER-4342
Tupperware Brands Corporation
Release No. 34-95943, AAER-4343
See Also: Administrative Summary
Barclays PLC and Barclays Bank PLC
Release No. 33-11110, 34-95944, AAER-4344
James R. Thompson, et al.
Release No. LR-25517, AAER-4341
See Also: SEC Complaint
Friedman LLP
Release No. 34-95887, AAER-4339
See Also: Administrative Summary
Compass Minerals International, Inc.
Release No. 33-11107, 34-95889, AAER-4340
Viener, Ira S., CPA
Release No. 34-95884, AAER-4338
See Also: Administrative Summary
Terrence J. Walton, CPA
Release No. 34-95852, AAER-4336
Manuel A. Romero
Release No. 34-95856, AAER-4337
Matthew W. Dreyer, CPA
Release No. 34-95833, AAER-4335
See Also: Administrative Summary
Badree Komandur, et al.
Release No. 34-95767, AAER-4334
VMware, Inc.
Release No. 33-11099, 34-95744, AAER-4333
Charles Pratt & Company, LLC
Release No. IA-6107, AAER-4332
See Also: Administrative Summary
David Pope
Release No. LR-25497, AAER-4331
See Also: SEC Complaint
CHS Inc.
Release No. 34-95663, AAER-4330
See Also: Administrative Summary
Mark C. Kelly, CPA
Release No. 33-11096, 34-95612, AAER-4329
See Also: Administrative Summary
Taronis Technologies, Inc., et al.
Release No. LR-25484, AAER-4328
See Also: SEC Complaint
Laurel Krzeminski
Release No. 34-95610, AAER-4326
Jigisha Desai
Release No. 34-95611, AAER-4327
James H. Roberts
Release No. 34-95609, AAER-4325
Farber Hass Hurley LLP; Michel Abedian, CPA; and Michael Hurley, CPA
Release No. 34-95593, AAER-4324
See Also: Administrative Summary
The Bancorp, Inc.
Release No. 34-95589, AAER-4323
See Also: Administrative Summary
Ronald D. Paul
Release No. LR-25471, AAER-4322
See Also: SEC Complaint
Eagle Bancorp, Inc.
Release No. 33-11092, 34-95505, AAER-4321
Frank Okunak, CPA
Release No. 34-95451, AAER-4320
Brian K. Hutchison
Release No. LR-25463, AAER-4319
See Also: Complaint , Administrative Proceedings Release
Surgalign Holdings, Inc. and Robert P. Jordheim
Release No. 33-11088, 34-95415, AAER-4318
See Also: Complaint
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision)
Release No. 34-95413, AAER-4317
Steven J. Sheinfeld, CPA
Release No. 34-95223, AAER-4315
Arcangelo Loberto, CPA and CA
Release No. 34-95224, AAER-4316
voxeljet AG and Rudolf Franz
Release No. 34-95193, AAER-4314
See Also: Administrative Summary
Ernst & Young LLP
Release No. 34-95167, AAER-4313
Lijuan "Sandra" Hao, CPA
Release No. 34-95076, AAER-4312
See Also: Administrative Summary
Steven C. Avis, CPA, and Steven W. Hurd, CPA
Release No. 34-95071, AAER-4311
CohnReznick LLP
Release No. 34-95066, AAER-4309
Stephen M. Wyss, CPA, Stephen H. Jackson, CPA and Robert G. Hilbert, CPA
Release No. 34-95067, AAER-4310
Stephen G. Waldis
Release No. 34-95054, AAER-4307
Daniel Ives
Release No. 34-95052, AAER-4305
Clayton "Charlie" Thomas
Release No. 34-95050, AAER-4303
Ronald Prague, Esq.
Release No. 34-95055, AAER-4308
John Murdock
Release No. 34-95053, AAER-4306
Marc Bandini
Release No. 34-95051, AAER-4304
Synchronoss Technologies, Inc.
Release No. 34-95049, AAER-4302
PMB Helin Donovan, LLP, Christopher Bauer, CPA and Jeffrey Jamieson, CPA
Release No. 34-94976, AAER-4301
Douglas A. Richardson, CPA
Release No. 34-94906, AAER-4300
Eric A. Alexander, CPA
Release No. 34-94858, AAER-4299
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision)
Release No. 34-94854, AAER-4298
Carl Iberger
Release No. 34-94786, AAER-4297
Brian Dee Matlock, CPA
Release No. 34-94757, AAER-4295
Rollins, Inc. and Paul Edward Northen
Release No. 33-11052, 34-94742, AAER-4294
Mark Loman
Release No. LR-25364, AAER-4293
See Also: Administrative Proceedings Release
Mark Loman, CPA
Release No. 34-94714, AAER-4292
See Also: Litigation Release
Stockman Kast Ryan & Co. LLP. Ellen S. Fisher, CPA; Kast, David H., CPA
Release No. 34-94570, IA-5989, AAER-4291
See Also: Administrative Summary
Carl W. Jasper, CPA
Release No. 34-94493, AAER-4290
Shelby L. Lackey, CPA
Release No. 34-94426, AAER-4289
Halpern & Associates LLC Barbara Halpern, CPA
Release No. 34-94410, AAER-4288
See Also: Administrative Summary
Frazer Frost LLP Woo, Susan, CPA Suen, Miranda, CPA
Release No. 34-94318, AAER-4287
Baxter International Inc., Jeffrey Schaible, Scott Bohaboy
Release No. 33-11034, 34-94296, AAER-4285
Baxter International Inc., Jeffrey Schaible, Scott Bohaboy
Release No. 33-11032, 34-94294, AAER-4283
Baxter International Inc., Jeffrey Schaible, Scott Bohaboy
Release No. 33-11033, 34-94295, AAER-4284
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Stay Order)
Release No. 34-94266, IA-5968, AAER-4282
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision)
Release No. 34-94160, AAER-4281
Nathaniel Brown
Release No. 34-94108, AAER-4280
Wolf, Jennifer F., CPA
Release No. 34-94099, AAER-4279
Vicent C. Petrescu and Aka Vincen Petrescu, CPA
Release No. 34-93884, AAER-4278
Sequential Brands Group, Inc.
Release No. LR-25289, AAER-4277
WEX Inc.
Release No. 34-93753, AAER-4275
See Also: Administrative Summary
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Stay Order)
Release No. 34-93756, IA-5922, AAER-4276
Scott D. Clark, CPA
Release No. 34-93752, AAER-4274
See Also: Administrative Summary
Alan C. Greenwell, CPA
Release No. 34-93750, AAER-4272
See Also: Administrative Summary
Philip S. Hurak, Esq.
Release No. 34-93751, AAER-4273
See Also: Administrative Summary
Adam D. Bering, Esq.
Release No. 34-93749, AAER-4271
See Also: Administrative Summary
Monsanto Company, et al.
Release No. 34-93682, AAER-4270
ProPetro Holding Corp. and Dale Redman
Release No. 33-11008, 34-93645, AAER-4268
Shannon D. Doyle
Release No. 34-93647, AAER-4269
William Wright, CPA
Release No. 34-93568, AAER-4267
Douglas A. Roth
Release No. 34-93548, AAER-4266
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No. 34-93544, AAER-4265
Amyris, Inc.
Release No. 34-93341, AAER-4264
See Also: Administrative Summary
Donna M. Silverman
Release No. 33-10990, IA-5878, AAER-4262
Robert D. Press
Release No. 33-10991, 34-93200, IA-5879, IC-34391, AAER-4263
Reyes, Noe Corrales
Release No. 34-93136, AAER-4260
See Also: Administrative Summary
Ravindranathan Raghunathan, CPA and Craig A. Golding, CPA
Release No. 34-93133, AAER-4258
See Also: Administrative Summary
Velasco, Carlos Javier Moctezuma
Release No. 34-93135, AAER-4259
See Also: Administrative Summary
Bátiz, Ramón Lafarga
Release No. 34-93137, AAER-4261
See Also: Administrative Summary
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