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
June 28, 2019	R. Gordon Jones, CPA Release No. 34-86239, AAER-4055
June 28, 2019	S. Jeffrey Jones, CPA Release No. 34-86240, AAER-4056
June 20, 2019	Walmart Inc. Release No. 34-86159, AAER-4054
June 17, 2019	Rodney A. Smith, Michael Santicchia, CPA, and Stephen D. Cheaney, CPA Release No. 34-86124, AAER-4053
June 17, 2019	KPMG LLP Release No. 34-86118, AAER-4051
June 17, 2019	Rodney A. Smith, Michael Santicchia, CPA, and Stephen D. Cheaney, CPA Release No. 34-86123, AAER-4052
June 14, 2019	David Vogel, CPA Release No. 34-86107, AAER-4050
June 5, 2019	Pinnacle Accountancy Group, PLLC and Douglas W. Child, CPA Release No. 34-86034, AAER-4049
June 4, 2019	Rand, Michael T. Release No. 34-86028, AAER-4048
May 13, 2019	Bryan B. Long, CPA Release No. 34-85847, AAER-4047
May 9, 2019	Telefônica Brasil S.A. Release No. 34-85819, AAER-4046 See Also: Administrative Summary
May 3, 2019	GT Advanced Technologies Inc. Release No. 33-10636, 34-85767, AAER-4045
April 25, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Order) Release No. 34-85717, AAER-4044
April 23, 2019	Michael F. Cronin, CPA Release No. 34-85709, AAER-4043
April 22, 2019	Dov Zaidman, CPA, and ZBS Group LLP Release No. 33-10632, 34-85702, AAER-4041
April 22, 2019	David M. Martin CPA Release No. 34-85703, AAER-4042
April 11, 2019	Karen Bruton and Hope Advisors, LLC (Order Regarding Further Proceedings) Release No. 34-85630, IA-5222, AAER-4040
April 10, 2019	Adam C. Derbyshire Release No. 33-10627, 34-85582, AAER-4039
April 5, 2019	KLJ & Associates, LLP, Kent L. Jensen, CPA and Ronald A. Burgmeier, CPA Release No. 34-85518, AAER-4037 See Also: Administrative Summary
April 4, 2019	Evan R. Kita, et al. Release No. LR-24441, AAER-4038
April 3, 2019	Evan R. Kita, CPA Release No. 34-85496, AAER-4036
April 2, 2019	Kevin E. Brooks, CPA Release No. 34-85483, AAER-4035
April 1, 2019	Wolf, Jennifer F., CPA Release No. 34-85478, AAER-4034
March 29, 2019	Fresenius Medical Care AG & Co. KGaA Release No. 34-85468, AAER-4033
March 26, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Notice Regarding Correspondence) Release No. 34-85423, AAER-4032
March 22, 2019	Judson F. "Rick" Hoover, CPA Release No. 34-85398, AAER-4031
March 13, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA (Notice Regarding Correspondence) Release No. 34-85310, AAER-4030
March 11, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Order) Release No. 34-85284, AAER-4029
March 6, 2019	Mobile TeleSystems PJSC Release No. 34-85261, AAER-4028
March 5, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA (Notice Regarding Correspondence) Release No. 34-85250, AAER-4027
March 1, 2019	Arthur Viola Release No. 34-85234, AAER-4025 See Also: Administrative Summary
March 1, 2019	DLL CPAS, LLC and Debra Lee Lindaman, CPA Release No. 34-85233, AAER-4024 See Also: Administrative Summary
March 1, 2019	Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Order) Release No. 34-85237, AAER-4026
Feb. 21, 2019	David Pruitt, CPA (Order Denying Motion to Amend the Order Instituting Proceedings) Release No. 34-85171, AAER-4023
Feb. 15, 2019	Jeffrey M. Mattich Release No. 34-85159, AAER-4022
Feb. 15, 2019	Cognizant Technology Solutions Corporation Release No. 34-85149, AAER-4021
Feb. 13, 2019	Deloitte Touche Tohmatsu LLC, Futomichi Amano and Yuji Itagaki Release No. 34-85115, AAER-4020
Feb. 8, 2019	Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. 34-85081, AAER-4019
Jan. 29, 2019	Digital Turbine, Inc. Release No. 34-84998, AAER-4018
Jan. 29, 2019	Lifeway Foods, Inc. Release No. 34-84995, AAER-4016
Jan. 29, 2019	Grupo Simec S.A.B. de C.V. Release No. 34-84996, AAER-4017
Jan. 29, 2019	CytoDyn Inc. Release No. 34-84994, AAER-4015
Jan. 14, 2019	LBB & Associates Ltd., LLP Lopez, Carlos, CPA Release No. 34-84983, AAER-4014 See Also: Administrative Summary
Jan. 9, 2019	Katz, Sapper & Miller, LLP and Scott C. Price, CPA Release No. 34-84980, IA-5100, AAER-4013
Dec. 31, 2018	Hertz Global Holdings, Inc. and the Hertz Corporation Release No. 33-10601, 34-84979, AAER-4012 See Also: Administrative Summary
Dec. 26, 2018	Polycom, Inc. Release No. 34-84978, AAER-4011 See Also: Administrative Summary
Dec. 26, 2018	ADT Inc. Release No. 34-84956, AAER-4009
Dec. 26, 2018	Centrais Elétricas Brasileiras S.A. Release No. 34-84973, AAER-4010 See Also: Administrative Summary
Dec. 21, 2018	Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-84911, AAER-4005
Dec. 21, 2018	Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-84912, AAER-4006
Dec. 21, 2018	Crowe Horwath LLP, Joseph C. Macina, CPA and Kevin V. Wydra, CPA Release No. 34-84920, AAER-4007
Dec. 21, 2018	Mitchell J. Rubin, CPA and Michael Bernstein, CPA Release No. 34-84921, AAER-4008
Dec. 18, 2018	Paul A. Margis Release No. 34-84849, AAER-4003
Dec. 18, 2018	Takeshi "Tyrone" Uonaga Release No. 34-84850, AAER-4004
Dec. 17, 2018	Santander Consumer USA Holdings Inc. Release No. 34-84829, AAER-4002 See Also: Administrative Summary
Dec. 11, 2018	Lotus Bio-Technology Development Corporation Release No. 34-84785, AAER-4001
Dec. 11, 2018	Eastgate Biotech Corporation Release No. 34-84783, AAER-3999
Dec. 11, 2018	The Hain Celestial Group, Inc. Release No. 34-84781, AAER-3997
Dec. 11, 2018	Frontier Oilfield Services, Inc. Release No. 34-84784, AAER-4000
Dec. 11, 2018	Auscrete Corporation Release No. 34-84782, AAER-3998
Dec. 10, 2018	Agria Corporation Release No. 34-84763, AAER-3996
Dec. 4, 2018	KCAP Financial, Inc. Release No. 34-84718, IC-33314, AAER-3995 See Also: Administrative Summary
Nov. 19, 2018	Vantage Drilling International Release No. 34-84617, AAER-3994 See Also: Administrative Summary
Nov. 9, 2018	Pyxus International, Inc. Release No. 34-84562, AAER-3993 See Also: Administrative Summary
Oct. 12, 2018	Richard J. Bertuglia, CPA, John W. Green, CPA and Lev Nagdimov, CPA Release No. 34-84419, AAER-3992 See Also: Administrative Summary
Sept. 28, 2018	Mota Group, Inc. and Mota "Michael" Faro Release No. 33-10564, AAER-3991 See Also: Administrative Summary
Sept. 28, 2018	Stryker Corporation Release No. 34-84308, AAER-3990
Sept. 27, 2018	Petróleo Brasilerio and S.A. - Petrobras Release No. 33-10561, 34-84205, AAER-3989
Sept. 26, 2018	Dhru Desai Release No. 34-84291, AAER-3988
Sept. 25, 2018	Lichter, Yu and Associates, Inc., et al. Release No. 34-84281, AAER-3987
Sept. 21, 2018	James Douglas Miller Release No. LR-24282, AAER-3986 See Also: SEC Complaint
Sept. 21, 2018	Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr Release No. 33-10558, AAER-3980 See Also: Administrative Summary
Sept. 21, 2018	Primoris Services Corporation Release No. 34-84251, AAER-3978 See Also: Administrative Summary
Sept. 21, 2018	Cardiff Lexington Corporation (f/k/a Cardiff International, Inc.) Release No. 34-84258, AAER-3981
Sept. 21, 2018	Dennis W. Hamilton, CPA Release No. 34-84252, AAER-3979
Sept. 21, 2018	First Hartford Corporation Release No. 34-84262, AAER-3984
Sept. 21, 2018	Cool Technologies, Inc. Release No. 34-84260, AAER-3982
Sept. 21, 2018	Infrax Systems, Inc. Release No. 34-84263, AAER-3985
Sept. 21, 2018	Dasan Zhone Solutions, Inc. Release No. 34-84261, AAER-3983
Sept. 20, 2018	Barrett Business Services, Inc. and Mark Cannon, CPA Release No. 33-10557, 34-84233, AAER-3977
Sept. 19, 2018	Nasir Shakouri Release No. 34-84205, AAER-3974
Sept. 19, 2018	Robert Torino Release No. 34-84206, AAER-3975
Sept. 19, 2018	Bruton, Karen, CPA Release No. 34-84198, AAER-3973
Sept. 19, 2018	Bronson L. Quon, CPA Release No. 34-84207, AAER-3976
Sept. 14, 2018	Wolf, Jennifer F., CPA Release No. 34-84131, AAER-3972
Sept. 13, 2018	Holthouse Carlin & Van Trigt LLP Release No. 34-84118, IA-5008, AAER-3970 See Also: Administrative Summary
Sept. 12, 2018	Adam C. Wasserman Release No. LR-24265, AAER-3971 See Also: SEC Complaint
Sept. 7, 2018	Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Release No. 34-84055, AAER-3969
Sept. 6, 2018	Joohyun Bahn and a/k/a Dennis Bahn Release No. 34-84054, AAER-3968
Sept. 4, 2018	John Pierrard Release No. 34-84024, AAER-3967
Sept. 4, 2018	Michael J. Kipp Release No. 34-84022, AAER-3965
Sept. 4, 2018	Joanne K. Viard, CPA Release No. 34-84023, AAER-3966
Sept. 4, 2018	Sanofi Release No. 34-84017, AAER-3964
Aug. 30, 2018	Philip R. Jacoby, Jr. Release No. 34-84010, AAER-3963
Aug. 29, 2018	David Michael Naylor, CPA Release No. 34-83993, AAER-3962
Aug. 27, 2018	Legg Mason, Inc. Release No. 34-83948, AAER-3961
Aug. 20, 2018	Joseph Jennings, CPA Release No. 34-83889, AAER-3960 See Also: Administrative Summary
Aug. 17, 2018	Daniel H. Glick, CPA Release No. 34-83883, AAER-3959
Aug. 16, 2018	Citigroup Inc. Release No. 34-83858, AAER-3958
Aug. 15, 2018	Lauren Zarsky, CPA Release No. 34-83854, AAER-3957

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