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.
Additional Archives
2020 | 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-4199 | Dec. 17, 2020 | Apex Global Brands Inc. and FKA Cherokee Inc.
Other Release Nos.: 33-10907, 34-90714 |
| AAER-4198 | Dec. 17, 2020 | Mancera, et al.
Other Release No.: 34-90699 |
| AAER-4197 | Dec. 17, 2020 | Laksha Bohra
Other Release No.: 34-90696 |
| AAER-4196 | Dec. 14, 2020 | Belden Inc. and Dennis Wiser, CPA
Other Release Nos.: 33-10903, 34-90664 |
| AAER-4195 | Dec. 10, 2020 | Mark E. Watson III
Other Release No.: 34-90630 |
| AAER-4193 | Nov. 6, 2020 | Frank G. Mueller
Other Release No.: 34-90369 |
| AAER-4192 | Oct. 29, 2020 | Steven L. Henning, CPA
Other Release No.: 34-90281 |
| AAER-4191 | Oct. 22, 2020 | The Goldman Sachs Group, Inc.
Other Release No.: 34-90243 |
| AAER-4190 | Oct. 15, 2020 | Andeavor LLC
Other Release No.: 34-90208 |
| AAER-4189 | Oct. 14, 2020 | J&F Investimentos, S.A., JBS, S.A., Joesley Batista, Wesley Batista
Other Release No.: 34-90170 |
| AAER-4188 | Oct. 14, 2020 | Allen Garner
Other Release No.: 34-90168 |
| AAER-4187 | Oct. 14, 2020 | Daniel O'Neal
Other Release No.: 34-90167 |
| AAER-4186 | Oct. 14, 2020 | James DePalma, CPA Other Release No.: 34-90166 |
| AAER-4185 | Oct. 5, 2020 | Hill International, Inc. et al.
Other Release No.: LR-24939 |
| AAER-4184 | Oct. 5, 2020 | Nicholas Tornello, CPA
Other Release No.: 34-90089 |
Third Quarter | ||
| AAER-4183 | Sep. 30, 2020 | HP Inc.
Other Release Nos.: 33-10868, 34-90060 |
| AAER-4182 | Sep. 30, 2020 | Hilton Worldwide Holdings Inc.
Other Release No.: 34-90052 |
| AAER-4181 | Sep. 30, 2020 | BGC Partners, Inc.
Other Release Nos.: 33-10867, 34-90050, 34-90050 |
| AAER-4180 | Sep. 29, 2020 | Michael Schneider, CPA
Other Release Nos.: 33-10863, 34-90045 |
| AAER-4179 | Sep. 29, 2020 | Stephen Harrison
Other Release Nos.: 33-10862, 34-90044 |
| AAER-4178 | Sep. 29, 2020 | Andrew Rooke
Other Release Nos.: 33-10861, 34-90043 |
| AAER-4177 | Sep. 29, 2020 | Manitex International, Inc.
Other Release Nos.: 33-10860, 34-90042 |
| AAER-4176 | Sep. 28, 2020 | Kanako Matsumoto, CPA
Other Release No.: 34-90025 |
| AAER-4175 | Sep. 28, 2020 | Interface, Inc., et al.
Other Release Nos.: 34-90017, 34-90018, 34-90018 |
| AAER-4174 | Sep. 28, 2020 | Fulton Financial Corporation
Other Release No.: 34-90017 |
| AAER-4173 | Sep. 25, 2020 | Lam D. Ha, CPA
Other Release No.: 34-90010 |
| AAER-4172 | Sep. 25, 2020 | James L. Thompson, CPA
Other Release No.: 34-90008 |
| AAER-4171 | Sep. 25, 2020 | Aeon Global Health Corp.
Other Release No.: 34-90003 |
| AAER-4170 | Sep. 24, 2020 | Revolution Lighting Technologies, Inc., et al.
Other Release No.: LR-24915 |
| AAER-4169 | Sep. 24, 2020 | Power Solutions International, Inc.
Other Release No.: 34-89984 |
| AAER-4168 | Sep. 21, 2020 | Steven L. Jenkins, CPA
Other Release No.: 34-89936 |
| AAER-4167 | Sep. 14, 2020 | Henry Seth Brock, CPA
Other Release No.: 34-89861 |
| AAER-4166 | Sep. 4, 2020 | SQN Capital Management, LLC
Other Release No.: IA-5573 |
| AAER-4165 | Aug. 28, 2020 | Herbalife Nutrition Ltd.
Other Release No.: 34-89704 |
| AAER-4164 | Aug. 26, 2020 | BorgWarner Inc.
Other Release No.: 34-89677 |
| AAER-4163 | Aug. 25, 2020 | Charles Liang
Other Release No.: 34-89658 |
| AAER-4162 | Aug. 25, 2020 | Howard Hideshima
Other Release No.: 34-89657 |
| AAER-4161 | Aug. 25, 2020 | Super Micro Computer, Inc.
Other Release Nos.: 33-10822, 34-89656, 34-89656 |
| AAER-4160 | Aug. 14, 2020 | Mark P. Frissora
Other Release No.: 34-89569 |
| AAER-4159 | Aug. 13, 2020 | Brian Dee Matlock, CPA
Other Release No.: 34-89552 |
| AAER-4158 | Aug. 6, 2020 | World Acceptance Corporation
Other Release No.: 34-89489 |
| AAER-4157 | Aug. 5, 2020 | Scott M. Dittman, CPA
Other Release No.: 33-10816 |
| AAER-4156 | Aug. 4, 2020 | Tommy Shek, CPA
Other Release No.: 34-89475 |
| AAER-4155 | Jul. 31, 2020 | Tanya R. Carro, CPA
Other Release Nos.: 33-10812, 34-89445 |
| AAER-4154 | Jul. 31, 2020 | J. Michael Pearson
Other Release Nos.: 33-10810, 34-89443 |
| AAER-4153 | Jul. 31, 2020 | Valeant Pharmaceuticals International, Inc. and n/k/a Bausch Health Companies Inc.
Other Release Nos.: 33-10809, 34-89442 |
| AAER-4152 | Jul. 15, 2020 | Paul J. Konigsberg
Other Release No.: 34-89326 |
| AAER-4151 | Jul. 2, 2020 | Alexion Pharmaceuticals, Inc.
Other Release Nos.: 34-89214 |
Second Quarter | ||
| AAER-4150 | Jun. 25, 2020 | Novartis AG
Other Release No.: 34-89149 |
| AAER-4149 | Jun. 23, 2020 | Vereit, Inc. Other Release Nos.: 33-10793, 34-89133 |
| AAER-4148 | Jun. 18, 2020 | PLS, CPA, et al.
Other Release No.: 34-89099 |
| AAER-4147 | Jun. 5, 2020 | Jana Faith Kiena, CPA
Other Release No.: 34-89023 |
| AAER-4146 | Jun. 4, 2020 | Argo Group International Holdings, Ltd.
Other Release No.: 34-89009 |
| AAER-4145 | Jun. 3, 2020 | Christopher D. Larson (CPA)
Other Release No.: 34-88998 |
| AAER-4144 | May 22, 2020 | TSP Capital Management Group, LLC
Other Release No.: IA-5508 |
| AAER-4143 | May 18, 2020 | John Donovan, CPA
Other Release No.: 34-88895 |
| AAER-4142 | May 18, 2020 | Michael Bellach, CPA
Other Release No.: 34-88895 |
| AAER-4141 | May 18, 2020 | Timothy Daly, CPA
Other Release No.: 34-88895 |
| AAER-4140 | May 12, 2020 | TCA Fund Management Group Corp. and TCA Global Credit Fund GP, Ltd.
Other Release No.: LR-24815 |
| AAER-4139 | May 11, 2020 | PLS, CPA, et al. Other Release No.: 34-88851 |
| AAER-4138 | May 5, 2020 | Jeffery A. Curran, CA
Other Release No.: 34-88808 |
| AAER-4137 | May 1, 2020 | Jay Phillip Norris, CPA
Other Release No.: 34-88798 |
| AAER-4136 | May 1, 2020 | PLS, CPA, et al.
Other Release No.: 34-88796 |
| AAER-4135 | May 1, 2020 | Sara M. Brunnquell, CPA
Other Release No.: 34-88794 |
| AAER-4134 | May 1, 2020 | Todd H. Takeyasu, CA
Other Release No.: 34-88791 |
| AAER-4133 | Apr. 28, 2020 | Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab
Other Release No.: LR-24809 |
| AAER-4132 | Apr. 28, 2020 | William M. Aisenberg, CPA
Other Release No.: 34-88762 |
| AAER-4131 | Apr. 24, 2020 | PLS, CPA, et al.
Other Release No.: 34-88739 |
| AAER-4130 | Apr. 22, 2020 | Elliot R. Berman, CPA
Other Release No.: 34-88731 |
| AAER-4129 | Apr. 22, 2020 | Brian M. Storms
Other Release No.: 34-88724 |
| AAER-4128 | Apr. 22, 2020 | Kenneth D. Shifrin, CPA
Other Release No.: 34-88723 |
| AAER-4127 | Apr. 22, 2020 | Brian L. Ferdinand
Other Release Nos.: 33-10775, 34-88720, 34-88720 |
| AAER-4126 | Apr. 22, 2020 | N. Scott Gillis, CPA
Other Release No.: IA-5482 |
| AAER-4125 | Apr. 17, 2020 | Brian Robert Sodi, CPA
Other Release No.: 34-88680 |
| AAER-4124 | Apr. 17, 2020 | Eni S.p.A.
Other Release No.: 34-88679 |
| AAER-4123 | Apr. 16, 2020 | Miranda Suen, CPA
Other Release No.: 34-88659 |
| AAER-4122 | Apr. 15, 2020 | Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP
Other Release No.: 34-88653 |
| AAER-4121 | Apr. 8, 2020 | Jeffrey D. Cordes et al.
Other Release No.: LR-24792 |
First Quarter | ||
| AAER-4120 | Mar. 20, 2020 | Ronald Emma, CPA
Other Release No.: 34-88432 |
| AAER-4119 | Mar. 12, 2020 | David G. Dreslin, CPA
Other Release No.: 34-88377 |
| AAER-4118 | Feb. 28, 2020 | Cardinal Health, Inc.
Other Release No.: 34-88303 |
| AAER-4117 | Feb. 26, 2020 | RSM US LLP (f/k/a/ Mcgladrey LLP) Other Release No.: 34-88287 |
| AAER-4116 | Jan. 27, 2020 | LBB & Associates Ltd., LLP and Carlos Lopez, CPA
Other Release No.: 34-88140 |
| AAER-4115 | Jan. 27, 2020 | Steven M. Des Champs, CPA
Other Release No.: 34-88048 |
| AAER-4114 | Jan. 16, 2020 | Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus, CPA (Corrected Order Granting Petitions for Review and Scheduling Briefs)
Other Release No.: 34-88001 |
| AAER-4113 | Jan. 15, 2020 | Jeffrey Wada, CPA
Other Release No.: 34-87970 |
| AAER-4112 | Jan. 15, 2020 | David Middendorf, CPA
Other Release No.: 34-87969 |
| AAER-4111 | Jan. 3, 2020 | Robert A. Karmann, CPA
Other Release No.: 34-87884 |