Accounting and Auditing Enforcement Releases
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.
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Fourth Quarter | ||
| AAER-4100 | Oct. 11, 2019 | John Busshaus, CPA
Other Release No.: 33-10718 |
| AAER-4099 | Oct. 10, 2019 | Northwest Biotherapeutics, Inc.
Other Release No.: 34-87281 |
Third Quarter | ||
| AAER-4098 | Sep. 30, 2019 | Marla P. Manowitz, CPA, Thomas R. Vreeland, CPA and Kenneth J. Gralak, CPA
Other Release No.: 34-87159 |
| AAER-4097 | Sep. 30, 2019 | Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP
Other Release No.: 34-87157 |
| AAER-4096 | Sep. 27, 2019 | Mylan N.V.
Other Release Nos.: LR-24621 |
| AAER-4095 | Sep. 27, 2019 | FCA US LLC and Fiat Chrysler Automobiles N.V.
Other Release Nos.: 33-10706, 34-87134 |
| AAER-4094 | Sep. 26, 2019 | PPG Industries, Inc.
Other Release Nos.: 33-10701, 34-87129 |
| AAER-4093 | Sep. 25, 2019 | Michael P. Toups
Other Release No.: 34-87102 |
| AAER-4092 | Sep. 24, 2019 | Serge Matta
Other Release Nos.: 33-10693, 34-87070 |
| AAER-4091 | Sep. 24, 2019 | Comscore, Inc.
Other Release Nos.: 33-10692, 34-87069 |
| AAER-4090 | Sep. 23, 2019 | Subramanian Krishnan, CPA
Other Release No.: 34-87068 |
| AAER-4089 | Sep. 23, 2019 | Jason Griffith, CPA
Other Release No.: 34-87063 |
| AAER-4088 | Sep. 23, 2019 | Carlos Ghosn and Gregory L. Kelly
Other Release No.: LR-24606 |
| AAER-4087 | Sep. 23, 2019 | TechnipFMC plc.
Other Release No.: 34-87055 |
| AAER-4086 | Sep. 23, 2019 | Nissan Motor Co., Ltd.
Other Release No.: 34-87054 |
| AAER-4085 | Sep. 23, 2019 | Brandon Sprankle, CPA
Other Release No.: 34-87053 |
| AAER-4084 | Sep. 23, 2019 | PricewaterhouseCoopers LLP
Other Release No.: 34-87052 |
| AAER-4083 | Sep. 20, 2019 | Donald F. Mcgraw, Jr.
Other Release No.: 34-87038 |
| AAER-4082 | Sep. 20, 2019 | James David Hilty
Other Release No.: 34-87037 |
| AAER-4081 | Sep. 20, 2019 | The Bancorp, Inc.
Other Release No.: 34-87036 |
| AAER-4080 | Sep. 20, 2019 | Anton & Chia, LLP, et al.
Other Release No.: 34-87033 |
| AAER-4079 | Sep. 19, 2019 | David R. Gibson
Other Release Nos.: 34-87032, IA-5357 |
| AAER-4078 | Sep. 19, 2019 | Kevyn N. Rakowski, CPA
Other Release No.: 34-87007 |
| AAER-4077 | Sep. 17, 2019 | Tom Simeo
Other Release No.: LR-24599 |
| AAER-4076 | Sep. 16, 2019 | Marvell Technology Group, Ltd.
Other Release Nos.: 33-10684, 34-86971 |
| AAER-4075 | Sep. 13, 2019 | ED Capital Management, LLC d/b/a Daniloff Capital Management, LLC and Elliot Daniloff a/k/a Ilya Olegovich Danilov Other Release No.: IA-5344 |
| AAER-4074 | Sep. 13, 2019 | Sridhar Thiruvengadam
Other Release No.: 34-86963 |
| AAER-4073 | Sep. 11, 2019 | Robert D. Hesselgesser, CPA
Other Release No.: 34-86924 |
| AAER-4072 | Sep. 9, 2019 | Adrian D. Beamish, CPA
Other Release No.: 34-86903.pd |
| AAER-4071 | Sep. 6, 2019 | Abner Silva
Other Release Nos.: 33-10681, 34-86900 |
| AAER-4070 | Sep. 5, 2019 | Daniel Khesin
Other Release Nos.: 33-10680, 34-86889 |
| AAER-4069 | Aug. 29, 2019 | Juniper Networks, Inc.
Other Release No.: 34-86812 |
| AAER-4068 | Aug. 29, 2019 | Robin Smyth
Other Release No.: 34-86804 |
| AAER-4067 | Aug. 27, 2019 | Alan G. Heide, CPA
Other Release No.: 34-86771 |
| AAER-4066 | Aug. 27, 2019 | RSM US LLP (f/k/a McGladrey LLP)
Other Release No.: 34-86770 |
| AAER-4065 | Aug. 22, 2019 | Deutsche Bank AG
Other Release No.: 34-86740 |
| AAER-4064 | Aug. 21, 2019 | Michael Filkoski, CPA and Scott Magnuson, CPA
Other Release No.: 34-86720 |
| AAER-4063 | Aug. 7, 2019 | Thomas W. Avent, Jr., CPA, Esq.
Other Release No.: 34-86594 |
| AAER-4062 | Aug. 5, 2019 | Nandu Thondavadi
Other Release No.: 34-86564 |
| AAER-4061 | Aug. 1, 2019 | Brixmor Property Group Inc.
Other Release Nos.: 34-86538 |
| AAER-4060 | Jul. 26, 2019 | Nevanna Sacks, CPA
Other Release Nos.: 34-86495 |
| AAER-4059 | Jul. 16, 2019 | Dov Weinstein, CPA and Dov Weinstein & Co., CPA
Other Release Nos.: 34-86385 See also: Administrative Summary |
| AAER-4058 | Jul. 10, 2019 | Thomas H. Laws, CPA
Other Release No.: 34-86350 |
| AAER-4057 | Jul. 1, 2019 | Thomas Chang, CPA
Other Release No.: 34-86252 |
Second Quarter | ||
| AAER-4056 | Jun. 28, 2019 | S. Jeffrey Jones, CPA
Other Release No.: 34-86240 |
| AAER-4055 | Jun. 28, 2019 | R. Gordon Jones, CPA
Other Release No.: 34-86239 |
| AAER-4054 | Jun. 20, 2019 | Walmart Inc.
Other Release No.: 34-86159 |
| AAER-4053 | Jun. 17, 2019 | Michael Santicchia, CPA
Other Release No.: 34-86124 |
| AAER-4052 | Jun. 17, 2019 | Stephen D. Cheaney, CPA
Other Release No.: 34-86123 |
| AAER-4051 | Jun. 17, 2019 | KPMG LLP
Other Release No.: 34-86118 |
| AAER-4050 | Jun. 14, 2019 | David Vogel, CPA
Other Release No.: 34-86107 |
| AAER-4049 | Jun. 5, 2019 | Pinnacle Accountancy Group, PLLC and Douglas W. Child, CPA
Other Release No.: 34-86034 |
| AAER-4048 | Jun. 5, 2019 | Michael T. Rand, CPA
Other Release No.: 34-86028 |
| AAER-4047 | May 13, 2019 | Bryan B. Long, CPA
Other Release No.: 34-85847 |
| AAER-4046 | May 9, 2019 | Telefônica Brasil S.A.
Other Release No.: 34-85819 |
| AAER-4045 | May 3, 2019 | GT Advanced Technologies Inc.
Other Release Nos.: 33-10636, 34-85767 |
| AAER-4044 | Apr. 25, 2019 | Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85717 |
| AAER-4043 | Apr. 23, 2019 | Michael F. Cronin, CPA
Other Release No.: 34-85709 |
| AAER-4042 | Apr. 22, 2019 | David M. Martin, CPA
Other Release No.: 34-85703 |
| AAER-4041 | Apr. 22, 2019 | Dov Zaidman, CPA, and ZBS Group LLP
Other Release Nos.: 33-10632, 34-85702 |
| AAER-4040 | Apr. 11, 2019 | Karen Bruton and Hope Advisors, LLC (Order Regarding Further Proceedings)
Other Release No.: 34-85630, IA-5222 |
| AAER-4039 | Apr. 10, 2019 | Adam C. Derbyshire
Other Release Nos.: 33-10627, 34-85582 |
| AAER-4038 | Apr. 4, 2019 | Evan R. Kita, et al.
Other Release No.: LR-24441 |
| AAER-4037 | Apr. 5, 2019 | KLJ & Associates, LLP, Kent L. Jensen, CPA and Ronald A. Burgmeier, CPA
Other Release No.: 34-85518 |
| AAER-4036 | Apr. 3, 2019 | Evan R. Kita, CPA
Other Release No.: 34-85496 |
| AAER-4035 | Apr. 2, 2019 | Kevin E. Brooks, CPA
Other Release No.: 34-85483 |
| AAER-4034 | Apr. 1, 2019 | Jennifer F. Wolf, CPA
Other Release No.: 34-85478 |
First Quarter | ||
| AAER-4033 | Mar. 29, 2019 | Fresenius Medical Care AG & Co. KGaA
Other Release No.: 34-85468 |
| AAER-4032 | Mar. 26, 2019 | Joseph S. Amundsen, CPA, Michael T. Remus, CPA, and Michael Remus CPA
Other Release No.: 34-85423 |
| AAER-4031 | Mar. 22, 2019 | Judson F. "Rick" Hoover, CPA
Other Release No.: 34-85398 |
| AAER-4030 | Mar. 13, 2019 | Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85310 |
| AAER-4029 | Mar. 11, 2019 | Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85284 |
| AAER-4028 | Mar. 6, 2019 | Mobile TeleSystems PJSC
Other Release No.: 34-85261 |
| AAER-4027 | Mar. 5, 2019 | Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85250 |
| AAER-4026 | Mar. 1, 2019 | Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85237 |
| AAER-4025 | Mar. 1, 2019 | Arthur Viola
Other Release No.: 34-85234 |
| AAER-4024 | Mar. 1, 2019 | DLL CPAS, LLC and Debra Lee Lindaman, CPA
Other Release No.: 34-85233 |
| AAER-4023 | Feb. 21, 2019 | David Pruitt, CPA
Other Release No.: 34-85171 |
| AAER-4022 | Feb. 15, 2019 | Jeffrey M. Mattich
Other Release No.: 34-85159 |
| AAER-4021 | Feb. 15, 2019 | Cognizant Technology Solutions Corporation
Other Release No.: 34-85149 |
| AAER-4020 | Feb. 13, 2019 | Deloitte Touche Tohmatsu LLC, Futomichi Amano and Yuji Itagaki
Other Release No.: 34-85115 |
| AAER-4019 | Feb. 8, 2019 | Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: 34-85081 |
| AAER-4018 | Jan. 29, 2019 | Digital Turbine, Inc.
Other Release No.: 34-84998 |
| AAER-4017 | Jan. 29, 2019 | Grupo Simec S.A.B. de C.V.
Other Release No.: 34-84996 |
| AAER-4016 | Jan. 29, 2019 | Lifeway Foods, Inc.
Other Release No.: 34-84995 |
| AAER-4015 | Jan. 29, 2019 | CytoDyn Inc.
Other Release No.: 34-84994 |
| AAER-4014 | Jan. 14, 2019 | LBB & Associates Ltd., LLP and Carlos Lopez, CPA
Other Release No.: 34-84983 |
| AAER-4013 | Jan. 9, 2019 | Katz, Sapper & Miller, LLP and Scott C. Price, CPA
Other Release Nos.: 34-84980, IA-5100 |