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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.
Second Quarter | First Quarter
| Release No. |
Date |
Action
|
| Second Quarter |
| AAER-2967 |
Apr. 28, 2009 |
Michael Strauss, Stephen Hozie and Robert Bernstein
Other Release No.: LR-21014 |
| AAER-2966 |
Apr. 23, 2009 |
Bryan E. Palbaum, CPA
Other Release No.: 34-59817 |
| AAER-2965 |
Apr. 21, 2009 |
Randy S. Casstevens (CPA)
Other Release No.: 34-59803 |
| AAER-2964 |
Apr. 17, 2009 |
Kevin E. Brooks, CPA
Other Release No.: 34-59785
|
| AAER-2963 |
Apr. 14, 2009 |
Stratum Holdings, Inc.
Other Release No.: 34-59767 |
| AAER-2962 |
Apr. 14, 2009 |
Stephen P. Corso, Jr., CPA
Other Release No.: 34-59766 |
| AAER-2961 |
Apr. 13, 2009 |
Antonio Canova (CPA)
Other Release No.: 34-59758 |
| AAER-2960 |
Apr. 13, 2009 |
Jesus A. Lago, CPA
Other Release No.: 34-59751 |
| AAER-2959 |
Apr. 3, 2009 |
Dan Wise, CPA, a/k/a Danny Wise, CPA
Other Release No.: 34-59703 |
| AAER-2957 |
Apr. 1, 2009 |
Take-Two Interactive Software, Inc.
Other Release No.: LR-20982 |
| First Quarter |
| AAER-2958 |
Mar. 30, 2009 |
Dennis Kavelman, C.A. and Arcangelo Loberto, C.A.
Other Release No.: 34-59648
|
| AAER-2956 |
Mar. 30, 2009 |
WMDS, Inc. One Universe Online, Inc., Seng Tan, James Bunchan and Christian Rochon
Other Release No.: LR-20978
|
| AAER-2955 |
Mar. 27, 2009 |
Delphi Corporation, Judith Kudla, et al.
Other Release No.: LR-20975
|
| AAER-2954 |
Mar. 27, 2009 |
Judith Kudla (CPA)
Other Release No.: 34-59637
|
| AAER-2953 |
Mar. 20, 2009 |
Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer
Other Release No.: LR-20964
|
| AAER-2952 |
Mar. 18, 2009 |
William D. Shovers, CPA
Other Release No.: 34-59596
|
| AAER-2951 |
Mar. 18, 2009 |
Allion Healthcare, Inc. and James G. Spencer
Other Release No.: 34-59594
|
| AAER-2950 |
Mar. 17, 2009 |
Andrew Sims, CPA
Other Release No.: 34-59584
|
| AAER-2949 |
Mar. 12, 2009 |
Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks
Other Release No.: LR-20950
See also: SEC Complaint
|
| AAER-2948 |
Mar. 11, 2009 |
PowerCold Corporation, Francis L. Simola, Joseph C. Cahill, and Grayling R. Hofer
Other Release No.: LR-20945
See also: Complaint in this matter
|
| AAER-2947 |
Mar. 11, 2009 |
Stephen P. Gardner, et al.
Other Release No.: LR-20942
|
| AAER-2946 |
Mar. 10, 2009 |
Allen Barnett, et al.
Other Release No.: LR-20938
See also: Complaint in this matter
|
| AAER-2945 |
Mar. 9, 2009 |
Lisa W. Zappala (CPA)
Other Release No.: 34-59541
|
| AAER-2944 |
Mar. 6, 2009 |
Stephan Husi
Other Release No.: 34-59530
|
| AAER-2943 |
Mar. 5, 2009 |
Pediatrix Medical Group, Inc.
Other Release No.: LR-20927
See also: Complaint in this matter
|
| AAER-2942 |
Mar. 4, 2009 |
Sherry J. Polonsky
Other Release No.: 34-59500
|
| AAER-2941 |
Mar. 4, 2009 |
Krispy Kreme Doughnuts, Inc.
Other Release No.: 34-59499
|
| AAER-2940 |
Feb. 26, 2009 |
Lawrence B. Evans et al.
Other Release No.: LR-20916
|
| AAER-2939 |
Feb. 19, 2009 |
David J. Lubben
Other Release No.: 34-59423
|
| AAER-2938 |
Feb. 19, 2009 |
Greg Steven Kaplan, CPA
Other Release No.: 34-59422
|
| AAER-2937 |
Feb. 17, 2009 |
Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis
Other Release No.: LR-20902
See also: Complaint in this matter
|
| AAER-2936 |
Feb. 11, 2009 |
Meridian Holdings, Inc., Anthony C. Dike and Michelle V. Nguyen
Other Release No.: LR-20898
|
| AAER-2935A |
Feb. 11, 2009 |
Halliburton Company and KBR, Inc.
Other Release No.: LR-20897A
See also: Complaint in this matter
|
| AAER-2934 |
Feb. 11, 2009 |
ITT Corporation
Other Release No.: LR-20896
See also: Complaint in this matter
|
| AAER-2933 |
Feb. 11, 2009 |
Ronald M. Bandyk, CPA
Other Release No.: 34-59390
|
| AAER-2932 |
Feb. 10, 2009 |
Thom A. Faria, Stephen J. McLaughlin and William M. Stickney
Other Release No.: LR-20891
|
| AAER-2931 |
Feb. 5, 2009 |
Jeffrey M. Yonkers, CPA
Other Release No.: 34-59363
|
| AAER-2930 |
Feb. 4, 2009 |
Mark T. Turkcan
Other Release No.: LR-20882
See also: Complaint in this matter
|
| AAER-2929 |
Jan. 30, 2009 |
Lumenis Ltd., Sagi A. Genger and Kevin Morano
Other Release No.: LR-20876
|
| AAER-2928 |
Jan. 29, 2009 |
Michelle V. Nguyen (CPA)
Other Release No.: 34-59317
|
| AAER-2927 |
Jan. 26, 2009 |
Rex R. Rogers
Other Release No.: 34-59297
|
| AAER-2926 |
Jan. 26, 2009 |
Jordan H. Mintz
Other Release No.: 34-59296
|
| AAER-2925 |
Jan. 26, 2009 |
Jordan H. Mintz and Rex R. Rogers
Other Release No.: LR-20866
|
| AAER-2924 |
Jan. 26, 2009 |
John V. Cracchiolo, CPA
Other Release No.: 34-59295
|
| AAER-2923 |
Jan. 23, 2009 |
Ranko Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc.
Other Release No.: LR-20864
|
| AAER-2922 |
Jan. 22, 2009 |
Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden
Other Release No.: LR-20862
See also: Complaint in this matter
|
| AAER-2921 |
Jan. 22, 2009 |
Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden
Other Release No.: 34-59278
|
| AAER-2920 |
Jan. 22, 2009 |
Cablevision Systems Corporation
Other Release No.: 34-59277
|
| AAER-2919 |
Jan. 21, 2009 |
Urs Kamber, Stephan Husi and Richard Jon May
Other Release No.: LR-20860
|
| AAER-2918 |
Jan. 9, 2009 |
Debra McClister, CPA
Other Release No.: 34-59224
|
| AAER-2917 |
Jan. 6, 2009 |
Savvides & Partners/PKF Cyprus, Pavlos Meletiou, R.K. Dhawan and Co., and R.K. Dhawan
Other Release No.: LR-20843
|
| AAER-2916 |
Jan. 6, 2009 |
R.K. Dhawan & Co.
Other Release No.: 34-59206
|
| AAER-2915 |
Jan. 6, 2009 |
Pavlos Meletiou, Certified Accountant
Other Release No.: 34-59205
|
| AAER-2914 |
Jan. 6, 2009 |
R.K. Dhawan, Chartered Accountant
Other Release No.: 34-59204
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Additional AAERs
2008
2007
2006
2005
2004
2003
2002
2001
2000
1999
http://www.sec.gov/divisions/enforce/friactions.shtml
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