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.

Date Sort ascending	Respondents
Date: April 10, 2023	Respondents: Bobby Peavler and William Eric Meek Release No. LR-25690, AAER-4399
Date: April 7, 2023	Respondents: William Eric Meek Release No. 34-97270, AAER-4398
Date: April 7, 2023	Respondents: Bobby Peavler Release No. 34-97269, AAER-4397
Date: April 6, 2023	Respondents: James Fitts, CPA, Release No. 34-97259, AAER-4396
Date: April 4, 2023	Respondents: Jason Jianxun Tang, CPA (POSTPONEMENT ORDER) Release No. 34-97246, AAER-4395
Date: March 29, 2023	Respondents: Spicer Jeffries LLP and Sean P. Tafaro Release No. 34-97216, AAER-4394
Date: March 28, 2023	Respondents: Alan J. Markowitz (Order Setting Deadline for Markowitz's Answer) Release No. 34-97209, AAER-4393
Date: March 21, 2023	Respondents: Philip R. Jacoby, Jr., et al. Release No. LR-25671, AAER-4392 See Also: Judgment
Date: March 14, 2023	Respondents: DXC Technology Company Release No. 33-11166, 34-97140, AAER-4391
Date: March 13, 2023	Respondents: Evoqua Water Technologies Corp. and Imran Parekh Release No. LR-25662, AAER-4390 See Also: SEC Complaint
Date: March 10, 2023	Respondents: Alan J. Markowitz, CPA (Order Regarding Service) Release No. 34-97113, AAER-4389
Date: March 7, 2023	Respondents: Andy Chin Fong Chen, CPA (Order Scheduling Briefs and Amending Caption) Release No. 33-11164, 34-97061, AAER-4387
Date: March 7, 2023	Respondents: Jia Roger Qian WangJia Roger Qian Wang, et al. (Order Extending Time to File an Answer) Release No. 34-97074, AAER-4388
Date: March 6, 2023	Respondents: Rio Tinto plc Release No. 34-97049, AAER-4386
Date: March 6, 2023	Respondents: Flutter Entertainment and plc as successor-in-interest to The Stars Group, Inc. (Corrected) Release No. 34-97044, AAER-4384 See Also: Administrative Summary
Date: March 6, 2023	Respondents: Barry D. Loveless, CPA Release No. 34-97050, AAER-4385
Date: March 1, 2023	Respondents: Noe Corrales Reye (Order Regarding Service) Release No. 34-97004, AAER-4381
Date: March 1, 2023	Respondents: Ramón Lafarga Bátiz (Order Regarding Service) Release No. 34-97007, AAER-4383
Date: Feb. 28, 2023	Respondents: Carlos Javier Moctezuma Velasco (Order Regarding Service) Release No. 34-97005, AAER-4382
Date: Feb. 28, 2023	Respondents: Markowitz, Alan J., CPA Release No. 34-96995, AAER-4380
Date: Feb. 27, 2023	Respondents: Jia Roger Qian Wang, CPA, and Wang Certified Public Accountant, P.C. (Order Granting in Part Motion for Extension of Time to File an Answer) Release No. 34-96994, AAER-4379
Date: Feb. 22, 2023	Respondents: African Gold Acquisition Corp. Release No. 34-96960, AAER-4377
Date: Feb. 22, 2023	Respondents: Alan A. Tucker Release No. 34-96961, AAER-4378
Date: Feb. 16, 2023	Respondents: Jia Roger Qian WangJia Roger Qian Wang, et al. (Order) Release No. 34-96949, AAER-4376
Date: Feb. 14, 2023	Respondents: Roadrunner Transportation Systems, Inc. Release No. 33-11156, 34-96909, AAER-4375 See Also: Administrative Summary
Date: Feb. 8, 2023	Respondents: Wang, Jia Roger Qian, CPA and Wang Certified Public Accountant, P.C. Release No. 34-96852, AAER-4374 See Also: Administrative Summary
Date: Feb. 7, 2023	Respondents: Gentex Corporation and Kevin C. Nash Release No. 34-96819, AAER-4373 See Also: Administrative Summary
Date: Jan. 29, 2023	Respondents: Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision) Release No. 34-96771, AAER-4372
Date: Jan. 19, 2023	Respondents: Andy Chin Fong Chen, CPA (Order Denying Petition to Lift Temporary Suspension and Directing Hearing) Release No. 33-11148, 34-96710, AAER-4371
Date: Jan. 13, 2023	Respondents: Kurt W. Streams Release No. 34-96659, AAER-4370
Date: Jan. 12, 2023	Respondents: Cooper J. Morgenthau Release No. 34-96652, AAER-4369
Date: Dec. 19, 2022	Respondents: Honeywell International Inc. (Corrected) Release No. 34-96529, AAER-4368
Date: Nov. 18, 2022	Respondents: Daniel Moser Release No. 34-96349, AAER-4367
Date: Nov. 17, 2022	Respondents: Tang, Jason Jianxun, CPA Release No. 34-96347, AAER-4366
Date: Nov. 16, 2022	Respondents: Ira S. Viener (Second Order Regarding Service) Release No. 34-96325, AAER-4365
Date: Nov. 10, 2022	Respondents: Chen, Andy Chin Fong, CPA Release No. 33-11133, 34-96299, AAER-4364
Date: Nov. 4, 2022	Respondents: Scott David Mahoney Release No. 34-96235, AAER-4363
Date: Nov. 3, 2022	Respondents: Ira S. Viener, CPA (Order) Release No. 34-96224, AAER-4362
Date: Nov. 1, 2022	Respondents: Koppers Holdings Inc. Release No. 33-11129, 34-96193, AAER-4360 See Also: Administrative Summary
Date: Nov. 1, 2022	Respondents: Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision) Release No. 34-96196, AAER-4361
Date: Oct. 25, 2022	Respondents: Scott A. Woodward, CPA Release No. 34-96153, AAER-4359 See Also: Administrative Summary
Date: Oct. 24, 2022	Respondents: William Hilson, CPA, CA Release No. 33-11124, 34-96138, AAER-4358
Date: Oct. 24, 2022	Respondents: Cronos Group Inc. Release No. 33-11123, 34-96137, AAER-4357
Date: Oct. 21, 2022	Respondents: Mattel, Inc. Release No. 33-11122, 34-96126, AAER-4355
Date: Oct. 21, 2022	Respondents: Abrahams, Joshua, CPA Release No. 34-96127, AAER-4356
Date: Oct. 13, 2022	Respondents: Badree Komandur, et al. Release No. 34-96071, AAER-4354
Date: Oct. 4, 2022	Respondents: Steven H. Davis, et. al Release No. LR-25549, AAER-4352
Date: Oct. 4, 2022	Respondents: Ira S. Viener, CPA (Order Regarding Service) Release No. 34-95980, AAER-4353
Date: Sept. 30, 2022	Respondents: Daniel Moser Release No. LR-25543, AAER-4351 See Also: SEC Complaint
Date: Sept. 30, 2022	Respondents: Lisa Sanford Release No. 33-11111, 34-95947, AAER-4345
Date: Sept. 30, 2022	Respondents: Steven Kirn, CPA, Michael Piqueira, CPA and Richard Condon, CPA Release No. 34-95949, AAER-4347
Date: Sept. 30, 2022	Respondents: Anthony G. Roth Release No. 34-95952, AAER-4348
Date: Sept. 30, 2022	Respondents: RSM US LLP Release No. 34-95948, AAER-4346
Date: Sept. 30, 2022	Respondents: BrookWeiner, et al. Release No. 34-95958, AAER-4349 See Also: Administrative Summary
Date: Sept. 30, 2022	Respondents: Berkower LLC; Michael G. Mullen, CPA; and Maurice Berkower, CPA Release No. 34-95959, AAER-4350 See Also: Administrative Summary
Date: Sept. 29, 2022	Respondents: Tupperware Brands Corporation Release No. 34-95943, AAER-4343 See Also: Administrative Summary
Date: Sept. 29, 2022	Respondents: Deloitte Touche Tohmatsu Certified Public Accountants, LLP Release No. 34-95938, AAER-4342
Date: Sept. 29, 2022	Respondents: Barclays PLC and Barclays Bank PLC Release No. 33-11110, 34-95944, AAER-4344
Date: Sept. 23, 2022	Respondents: James R. Thompson, et al. Release No. LR-25517, AAER-4341 See Also: SEC Complaint
Date: Sept. 23, 2022	Respondents: Friedman LLP Release No. 34-95887, AAER-4339 See Also: Administrative Summary
Date: Sept. 23, 2022	Respondents: Compass Minerals International, Inc. Release No. 33-11107, 34-95889, AAER-4340
Date: Sept. 22, 2022	Respondents: Viener, Ira S., CPA Release No. 34-95884, AAER-4338 See Also: Administrative Summary
Date: Sept. 21, 2022	Respondents: Manuel A. Romero Release No. 34-95856, AAER-4337
Date: Sept. 21, 2022	Respondents: Terrence J. Walton, CPA Release No. 34-95852, AAER-4336
Date: Sept. 19, 2022	Respondents: Matthew W. Dreyer, CPA Release No. 34-95833, AAER-4335 See Also: Administrative Summary
Date: Sept. 14, 2022	Respondents: Badree Komandur, et al. Release No. 34-95767, AAER-4334
Date: Sept. 12, 2022	Respondents: VMware, Inc. Release No. 33-11099, 34-95744, AAER-4333
Date: Sept. 8, 2022	Respondents: Charles Pratt & Company, LLC Release No. IA-6107, AAER-4332 See Also: Administrative Summary
Date: Sept. 2, 2022	Respondents: David Pope Release No. LR-25497, AAER-4331 See Also: SEC Complaint
Date: Sept. 2, 2022	Respondents: CHS Inc. Release No. 34-95663, AAER-4330 See Also: Administrative Summary
Date: Aug. 26, 2022	Respondents: Mark C. Kelly, CPA Release No. 33-11096, 34-95612, AAER-4329 See Also: Administrative Summary
Date: Aug. 25, 2022	Respondents: Taronis Technologies, Inc., et al. Release No. LR-25484, AAER-4328 See Also: SEC Complaint
Date: Aug. 25, 2022	Respondents: James H. Roberts Release No. 34-95609, AAER-4325
Date: Aug. 25, 2022	Respondents: Jigisha Desai Release No. 34-95611, AAER-4327
Date: Aug. 25, 2022	Respondents: Laurel Krzeminski Release No. 34-95610, AAER-4326
Date: Aug. 24, 2022	Respondents: Farber Hass Hurley LLP; Michel Abedian, CPA; and Michael Hurley, CPA Release No. 34-95593, AAER-4324 See Also: Administrative Summary
Date: Aug. 24, 2022	Respondents: The Bancorp, Inc. Release No. 34-95589, AAER-4323 See Also: Administrative Summary
Date: Aug. 17, 2022	Respondents: Ronald D. Paul Release No. LR-25471, AAER-4322 See Also: SEC Complaint
Date: Aug. 16, 2022	Respondents: Eagle Bancorp, Inc. Release No. 33-11092, 34-95505, AAER-4321
Date: Aug. 9, 2022	Respondents: Frank Okunak, CPA Release No. 34-95451, AAER-4320
Date: Aug. 3, 2022	Respondents: Brian K. Hutchison Release No. LR-25463, AAER-4319 See Also: Complaint , Administrative Proceedings Release
Date: Aug. 3, 2022	Respondents: Surgalign Holdings, Inc. and Robert P. Jordheim Release No. 33-11088, 34-95415, AAER-4318 See Also: Complaint
Date: Aug. 3, 2022	Respondents: Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision) Release No. 34-95413, AAER-4317
Date: July 8, 2022	Respondents: Arcangelo Loberto, CPA and CA Release No. 34-95224, AAER-4316
Date: July 8, 2022	Respondents: Steven J. Sheinfeld, CPA Release No. 34-95223, AAER-4315
Date: July 1, 2022	Respondents: voxeljet AG and Rudolf Franz Release No. 34-95193, AAER-4314 See Also: Administrative Summary
Date: June 28, 2022	Respondents: Ernst & Young LLP Release No. 34-95167, AAER-4313
Date: June 9, 2022	Respondents: Lijuan "Sandra" Hao, CPA Release No. 34-95076, AAER-4312 See Also: Administrative Summary
Date: June 8, 2022	Respondents: CohnReznick LLP Release No. 34-95066, AAER-4309
Date: June 8, 2022	Respondents: Steven C. Avis, CPA, and Steven W. Hurd, CPA Release No. 34-95071, AAER-4311
Date: June 8, 2022	Respondents: Stephen M. Wyss, CPA, Stephen H. Jackson, CPA and Robert G. Hilbert, CPA Release No. 34-95067, AAER-4310
Date: June 7, 2022	Respondents: John Murdock Release No. 34-95053, AAER-4306
Date: June 7, 2022	Respondents: Clayton "Charlie" Thomas Release No. 34-95050, AAER-4303
Date: June 7, 2022	Respondents: Ronald Prague, Esq. Release No. 34-95055, AAER-4308
Date: June 7, 2022	Respondents: Daniel Ives Release No. 34-95052, AAER-4305
Date: June 7, 2022	Respondents: Synchronoss Technologies, Inc. Release No. 34-95049, AAER-4302
Date: June 7, 2022	Respondents: Stephen G. Waldis Release No. 34-95054, AAER-4307
Date: June 7, 2022	Respondents: Marc Bandini Release No. 34-95051, AAER-4304
Date: May 24, 2022	Respondents: PMB Helin Donovan, LLP, Christopher Bauer, CPA and Jeffrey Jamieson, CPA Release No. 34-94976, AAER-4301
Date: May 13, 2022	Respondents: Douglas A. Richardson, CPA Release No. 34-94906, AAER-4300