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.
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Release No.
Date
Action
Fourth Quarter
AAER-3412
Oct. 4, 2012
Gilbert Bergsman, CPA
Other Release No.: 34-67988
Third Quarter
AAER-3411
Sep. 28, 2012
Douglas W. Marcille, CPA
Other Release No.: 34-67945
AAER-3410
Sep. 25, 2012
Gilbert G. Lundstrom et al. and Don A. Langford
Other Release No.: LR-22493
See also: Lundstrom Complaint and Langford Complaint
AAER-3409
Sep. 24, 2012
Tyco International Ltd.
Other Release No.: LR-22491
See also: SEC Complaint
AAER-3408
Sep. 18, 2012
Michael K. Krohn, CPA
Other Release No.: 34-67884
AAER-3407
Sep. 20, 2012
Michael C. Pattison, CPA (Opinion)
Other Release No.: 34-67900
AAER-3406
Sep. 20, 2012
Steven Y. Moskowitz
Other Release No.: 34-67899
AAER-3405
Sep. 13, 2012
R. Jeffrey Rooks, CPA
Other Release No.: 34-67856
AAER-3404
Sep. 4, 2012
China Sky One Medical, Inc. and Yan-qing Liu
Other Release No.: LR-22470
See also: SEC Complaint
AAER-3403
Aug. 31, 2012
Federico Quinto, Jr., CPA
Other Release No.: 34-67767
AAER-3402
Aug. 22, 2012
Todd C. Crow
Other Release No.: 34-67708
AAER-3401
Jul. 3, 2012
Gold Standard Mining Corp.
Other Release No.: LR-22408
See also: SEC Complaint
AAER-3400
Aug. 10, 2012
Peak Wealth Opportunities, LLC and David W. Dube, CPA
Other Release No.: 34-67640, IA-3443, IC-30165
AAER-3399
Aug. 8, 2012
Pfizer Inc. / Wyeth LLC
Other Release No.: LR-22438
AAER-3398
Aug. 2, 2012
Kenneth E. Lonchar, CPA
Other Release No.: 34-67590
AAER-3397
Aug. 2, 2012
Mark Leslie et al.
Other Release No.: LR-22432
AAER-3396
Jul. 31, 2012
Ran H. Furman
Other Release No.: 34-67549
AAER-3395
Jul. 30, 2012
Nancy Shao Wen Chu
Other Release No.: 34-67542
AAER-3394
Jul. 19, 2012
Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne E. Lipski, CPA
Other Release No.: 34-67472
AAER-3393
Jul. 12, 2012
Stanley Ng, CPA
Other Release No.: 34-67423
Second Quarter
AAER-3392
Jun. 28, 2012
FalconStor Software, Inc.
Other Release No.: LR-22405
AAER-3391
Jun. 27, 2012
H. Clayton Peterson, CPA
Other Release No.: 34-67282
AAER-3390
Jun. 19, 2012
Ronald J. Mangini, CPA
Other Release No.: 34-67219
AAER-3389
Jun. 19, 2012
Laurence M. Brown, CPA
Other Release No.: 34-67218
AAER-3388
Jun. 8, 2012
Kenneth M. Avery, CPA
Other Release No.: 34-67164
AAER-3387
May 23, 2012
Frank D. Edwards, CA
Other Release No.: 34-67049
AAER-3386
May 23, 2012
Charles P. Morrison, CPA
Other Release No.: 34-67048
AAER-3385
May 14, 2012
China Natural Gas, Inc. and Qinan Ji
Other Release No.: LR-22368
See also: SEC Complaint
AAER-3384
Apr. 25, 2012
Garth R. Peterson
Other Release No.: LR-22346
See also: SEC Complaint
AAER-3383
Apr. 23, 2012
SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang
Other Release No.: LR-22341
AAER-3382
Apr. 18, 2012
Don W. Watson, Edward W. O’Brien, and Gary M. Opper
Other Release No.: LR-22338
AAER-3381
Apr. 18, 2012
John J. Todd, Robert D. Manza, and Jeffrey Weitzen
Other Release No.: LR-22335
AAER-3380
Apr. 12, 2012
Jorge L. Castillo, CPA
Other Release No.: 34-66796
AAER-3379
Apr. 6, 2012
James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt
Other Release No.: LR-22324
First Quarter
AAER-3378
Apr. 6, 2012
Anthony J. Nocella and J. Russell McCann
Other Release No.: LR-22321
See also: SEC Complaint
AAER-3377
Apr. 4, 2012
John M. Williams
Other Release No.: 34-66737
AAER-3376
Apr. 4, 2012
Bryan N. Polozola
Other Release No.: 34-66735
AAER-3375
Apr. 2, 2012
Michael A. Baker and Michael T. Gluk
Other Release No.: LR-22315
AAER-3374
Mar. 26, 2012
Biomet, Inc.
Other Release No.: LR-22306
See also: SEC Complaint
AAER-3373
Mar. 22, 2012
Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton
Other Release No.: LR-22304
AAER-3372
Feb. 22, 2012
Ming Zhao and Liping Zhu
Other Release No.: LR-22264
AAER-3371
Mar. 14, 2012
Mark A. Jackson and James J. Ruehlen; Thomas F. O’Rourke
Other Release No.: LR-22290
AAER-3370
Mar. 13, 2012
Larry Goldstone, Clarence Simmons, and Jane Starrett
Other Release No.: LR-22287
AAER-3369
Mar. 13, 2012
Fernando J. Espuelas et al.
Other Release No.: LR-22285
AAER-3368
Mar. 8, 2012
Koss Corporation and Michael J. Koss
Other Release No.: LR-22279
AAER-3367
Feb. 27, 2012
Robert Chiu, (A/K/A Chi Hung Chiu)
Other Release No.: 34-66479
AAER-3366
Feb. 7, 2012
Shaun P. Whiteley
Other Release No.: 34-66353
AAER-3365
Feb. 7, 2012
Lynne Norman
Other Release No.: 34-66352
AAER-3364
Feb. 7, 2012
Matthew Bell, ACA
Other Release No.: 34-66351
AAER-3363
Feb. 6, 2012
Smith & Nephew PLC
Other Release No.: LR-22252
See also: SEC Complaint
AAER-3362
Feb. 2, 2012
Dale Shafer, CPA
Other Release No.: 34-66312
AAER-3361
Jan. 31, 2012
John J. Todd, Robert D. Manza, and Jeffrey Weitzen
Other Release No.: LR-22244
AAER-3360
Jan. 30, 2012
Robert Chiu (a/k/a Chi Hung Chiu); James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt
Other Release No.: LR-22243
AAER-3359
Jan. 30, 2012
Christopher J. Kelly, ACA and Margaret Hebb, ACA
Other Release No.: 34-66269
AAER-3358
Jan. 30, 2012
Symmetry Medical, Inc. and Fred L. Hite
Other Release No.: 34-66268
AAER-3357
Jan. 26, 2012
Paul Free, CPA (Order Denying a Stay or Postponement of Proceedings)
Other Release No.: 34-66260
AAER-3356
Jan. 25, 2012
Len A Familant and Paul V. Greene
Other Release No.: LR-22237
See also: SEC Complaint
AAER-3355
Jan. 11, 2012
Imperiali, Inc.
Other Release No.: LR-22224
See also: SEC Complaint
AAER-3354
Jan. 10, 2012
R.E. Bassie & Co. and R. Everett Bassie, C.P.A.
AAER-3353
Jan. 10, 2012
Todd Farha, et al.
Other Release No.: LR-22221
See also: SEC Complaint
AAER-3352
Jan. 4, 2012
JBI, Inc., John Bordynuik and Ronald Baldwin, Jr.
Other Release No.: LR-22220
See also: SEC Complaint
AAER-3351
Jan. 4, 2012
Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin
Other Release No.: LR-22219
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