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
WPP plc
Release No. 34-93117, AAER-4257
Peter Dichiara
Release No. 34-93101, AAER-4256
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order)
Release No. 34-93092, IA-5870, AAER-4255
Richard J. Koch, CPA
Release No. 34-93014, AAER-4253
John M. Williams
Release No. 34-93018, AAER-4254
Badree Komandur, et al.
Release No. 34-93012, AAER-4252
Brian Sweet, CPA (Notice That Initial Decision Has Become Final)
Release No. 34-93005, AAER-4251
Leonard R. Barr
Release No. 34-92944, AAER-4250
Paul L. Chancey, Jr. (Postponement Order)
Release No. 34-92939, AAER-4249
The Kraft Heinz Co. and Eduardo Pelleissone (Corrected)
Release No. 33-10977, 34-92874, AAER-4248
Pareteum Corporation
Release No. 33-10975, 34-92866, AAER-4247
See Also: Administrative Summary
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order)
Release No. 34-92859, IA-5844, AAER-4246
Jonathan Brett Woodard
Release No. 34-92835, AAER-4245
Healthcare Services Group, Inc., John C. Shea, CPA and Derya D. Warner
Release No. 33-10967, 34-92735, AAER-4244
Paul L. Chancey, Jr. (Protective Order)
Release No. 34-92734, AAER-4243
Knauth, Christopher E., CPA
Release No. 34-92675, AAER-4242
See Also: Administrative Summary
Gary S. Klein
Release No. 34-92611, AAER-4241
See Also: Administrative Summary
William G. Stiehl, CPA
Release No. 34-92539, AAER-4238
Ernst & Young LLP, et al.
Release No. 34-92540, AAER-4239
Paul L. Chancey, Jr. (Order)
Release No. 34-92551, AAER-4240
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order)
Release No. 34-92534, IA-5811, AAER-4237
Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA
Release No. 34-92513, AAER-4234
Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA
Release No. 34-92514, AAER-4235
Steven A. Splain, CPA
Release No. 34-92503, AAER-4232
Michael Mortimer
Release No. 34-92507, AAER-4233
Christopher E. Knauth, CPA (Protective Order)
Release No. 34-92482, AAER-4231
Tandy Leather Factory, Inc. and Shannon Greene, CPA
Release No. 34-92455, AAER-4228
Paul L. Chancey, Jr. (Order)
Release No. 34-92460, AAER-4230
Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Order Regarding Service)
Release No. 34-92458, IA-5784, AAER-4229
Shaun Greenwald, CPA
Release No. 34-92447, AAER-4227
Chancey, Paul L. Jr., CPA
Release No. 34-92378, AAER-4225
See Also: Administrative Summary
Stockman Kast Ryan & Co. LLP. Ellen S. Fisher, CPA; Kast, David H., CPA
Release No. 34-92382, IA-5773, AAER-4226
See Also: Administrative Summary
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. 34-92361, AAER-4224
See Also: Administrative Summary
Christopher E. Knauth, CPA (Order)
Release No. 34-92076, AAER-4223
PLS, CPA, et al. (Order)
Release No. 34-91983, AAER-4222
Christopher E. Knauth, CPA (Order)
Release No. 34-91799, AAER-4221
Under Armour, Inc.
Release No. 33-10940, 34-91741, AAER-4220
Daniels Corporate Advisory Company, Inc.
Release No. 34-91722, AAER-4218
Igen Networks Corp.
Release No. 34-91719, AAER-4216
ShiftPixy, Inc.
Release No. 34-91717, AAER-4214
Fortem Resources, Inc.
Release No. 34-91715, AAER-4212
HQDA Elderly Life Network, Inc. (Corrected)
Release No. 34-91723, AAER-4219
Rokk3r, Inc.
Release No. 34-91721, AAER-4217
Asta Funding, Inc.
Release No. 34-91718, AAER-4215
Trutankless, Inc.
Release No. 34-91716, AAER-4213
Christopher E. Knauth, CPA (Order)
Release No. 34-91615, AAER-4211
Martin Silver, CPA
Release No. IA-5723, AAER-4210
Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
Release No. 34-91536, AAER-4208
Christopher E. Knauth, CPA (Order Regarding Service)
Release No. 34-91540, AAER-4209
Knauth, Christopher E., CPA
Release No. 34-91475, AAER-4207
Gregory A. Wahl, CPA Michael Deutchman, CPA and Georgia Chung, CPA (Order Granting Petition for Review and Scheduling Briefs)
Release No. 34-91381, AAER-4206
Christopher L. Stanley, CPA
Release No. 34-91185, AAER-4204
Jennifer M. Stewart, CPA
Release No. 34-91186, AAER-4205
Edward T. Kelly, CPA
Release No. 34-91131, AAER-4203
Joseph Jackson and Colm Callan
Release No. 33-10925, 34-91042, AAER-4202
Deutsche Bank AG
Release No. 34-90875, AAER-4201
See Also: Administrative Summary
Apex Global Brands Inc.
Release No. 33-10907, 34-90714, AAER-4199
See Also: Administrative Summary
Laksha Bohra
Release No. 34-90696, AAER-4197
Jason Boling, CPA
Release No. 34-90716, AAER-4200
See Also: Administrative Summary
Mancera, et al.
Release No. 34-90699, AAER-4198
See Also: Administrative Summary
Belden Inc. and Dennis Wiser, CPA
Release No. 33-10903, 34-90664, AAER-4196
See Also: Administrative Summary
Mark E. Watson III
Release No. 34-90630, AAER-4195
See Also: Administrative Summary
General Electric Company
Release No. 33-10899, 34-90620, AAER-4194
Frank G. Mueller
Release No. 34-90369, AAER-4193
Steven L. Henning, CPA
Release No. 34-90281, AAER-4192
The Goldman Sachs Group, Inc.
Release No. 34-90243, AAER-4191
See Also: Press Release No. 2020-265
Andeavor LLC
Release No. 34-90208, AAER-4190
Daniel O'Neal
Release No. 34-90167, AAER-4187
Allen Garner
Release No. 34-90168, AAER-4188
James DePalma, CPA
Release No. 34-90166, AAER-4186
J&F Investimentos, S.A., JBS, S.A., Joesley Batista, Wesley Batista
Release No. 34-90170, AAER-4189
Hill International, Inc. et al.
Release No. LR-24939, AAER-4185
Nicholas Tornello, CPA
Release No. 34-90089, AAER-4184
BGC Partners, Inc.
Release No. 33-10867, 34-90050, AAER-4181
See Also: Administrative Summary
Hilton Worldwide Holdings Inc.
Release No. 34-90052, AAER-4182
HP Inc.
Release No. 33-10868, 34-90060, AAER-4183
Michael Schneider, CPA
Release No. 33-10863, 34-90045, AAER-4180
Andrew Rooke
Release No. 33-10861, 34-90043, AAER-4178
Stephen Harrison
Release No. 33-10862, 34-90044, AAER-4179
Manitex International, Inc.
Release No. 33-10860, 34-90042, AAER-4177
Raymon Holmdahl, CPA and Kanako Matsumoto, CPA
Release No. 34-90025, AAER-4176
Fulton Financial Corporation
Release No. 34-90017, AAER-4174
Interface, Inc., et al.
Release No. 33-10854, 34-90018, AAER-4175
James L. Thompson, CPA
Release No. 34-90008, AAER-4172
See Also: Administrative Summary
Lam D. Ha, CPA
Release No. 34-90010, AAER-4173
See Also: Administrative Summary
Aeon Global Health Corp.
Release No. 34-90003, AAER-4171
See Also: Administrative Summary
Revolution Lighting Technologies, Inc., et al.
Release No. LR-24915, AAER-4170
See Also: SEC Complaint
Power Solutions International, Inc.
Release No. 34-89984, AAER-4169
Steven L. Jenkins, CPA
Release No. 34-89936, AAER-4168
See Also: Administrative Summary
Henry Seth Brock, CPA
Release No. 34-89861, AAER-4167
SQN Capital Management, LLC
Release No. IA-5573, AAER-4166
See Also: Administrative Summary
Herbalife Nutrition Ltd.
Release No. 34-89704, AAER-4165
BorgWarner Inc.
Release No. 34-89677, AAER-4164
Super Micro Computer, Inc.
Release No. 33-10822, 34-89656, AAER-4161
Charles Liang
Release No. 34-89658, AAER-4163
Howard Hideshima
Release No. 34-89657, AAER-4162
Mark P. Frissora
Release No. LR-24869, AAER-4160
See Also: SEC Complaint
Brian Dee Matlock, CPA
Release No. 34-89552, AAER-4159
See Also: Administrative Summary
World Acceptance Corporation
Release No. 34-89489, AAER-4158
Dittman, Scott M., CPA
Release No. 33-10816, AAER-4157
301 to 400 of 3319 items