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Accounting and Auditing Enforcement Releases Archive 2010

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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First Quarter

Release No. Date Action
First Quarter
AAER-3222 Dec 22, 2010 James M. Schneider, CPA
Other Release Number(s): 34-63600
AAER-3221 Dec 20, 2010 Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA
Other Release Number(s): 33-9166, 34-63579
AAER-3220 Dec 20, 2010 Milan Belans (CPA)
Other Release Number(s): 34-63578
AAER-3219 Dec 20, 2010 Joseph M. Elles
Other Release Number(s): LR-21784
See also:  SEC Complaint
AAER-3218 Dec 16, 2010 Alvin L. Dahl, CPA
Other Release Number(s): 34-63560
AAER-3217 Dec 10, 2010 Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan
Other Release Number(s): LR-21769
See also:  SEC Complaint
AAER-3216 Dec 8, 2010 Paul R. Beckwith (CPA)
Other Release Number(s): 34-63473
AAER-3215 Nov 23, 2010 Jacob (“Kobi”) Alexander, et al.
Other Release Number(s): LR-21753
AAER-3214 Nov 22, 2010 Catherine Rozanski (CPA)
Other Release Number(s): 34-63356
AAER-3213 Nov 10, 2010 LocatePlus Holdings Corporation
Other Release Number(s): LR-21735
See also:  SEC Complaint
AAER-3212 Nov 9, 2010 Duane Martin and Gary Trump
Other Release Number(s): LR-21733
AAER-3211 Nov 5, 2010 Leslie L. Jackson, CPA
Other Release Number(s): 34-63265
AAER-3210 Nov 5, 2010 Robert W. Davis (CPA)
Other Release Number(s): 34-63264
AAER-3209 Nov 5, 2010 Randall D. Imhoff (CPA)
Other Release Number(s): 34-63263
AAER-3208 Nov 5, 2010 Nicholas A. R. Dunning, ACA
Other Release Number(s): 34-63262
AAER-3207 Nov 4, 2010 Tidewater Inc.
Other Release Number(s): LR-21729
See also:  SEC Complaint
AAER-3206 Nov 4, 2010 Noble Corporation
Other Release Number(s): LR-21728
See also:  SEC Complaint
AAER-3205 Nov 4, 2010 Panalpina, Inc.
Other Release Number(s): LR-21727
See also:  SEC Complaint
AAER-3204 Nov 4, 2010 Royal Dutch Shell plc and Shell International Exploration and Production Inc.
Other Release Number(s): 34-63243
AAER-3203 Nov 4, 2010 Pride International, Inc.
Other Release Number(s): LR-21726
See also:  SEC Complaint
AAER-3202 Nov 4, 2010 Transocean Inc.
Other Release Number(s): LR-21725
See also:  SEC Complaint
AAER-3201 Nov 4, 2010 GlobalSantaFe Corp.
Other Release Number(s): LR-21724
See also:  SEC Complaint
AAER-3200 Oct 22, 2010 Gately & Associates, LLC and James P. Gately, CPA
Other Release Number(s): 34-63167
AAER-3199 Oct 21, 2010 Office Depot, Inc.
Other Release Number(s): LR-21703
AAER-3198 Oct 21, 2010 Office Depot, Inc.
Other Release Number(s): 34-63152
AAER-3197 Oct 14, 2010 LocatePlus Holdings Corporation
Other Release Number(s): LR-21692
See also:  SEC Complaint
AAER-3196 Oct 7, 2010 Michael S. Joseph, CPA
Other Release Number(s): 34-63061
AAER-3195 Oct 4, 2010 Victor R. Wahba, CPA
Other Release Number(s): 34-63033
AAER-3194 Oct 4, 2010 Altschuler, Melvoin and Glasser LLP, and G. Victor Johnson, II, CPA
Other Release Number(s): 34-63030, IA-3096
Third Quarter
AAER-3193A Sep 30, 2010 W. Anthony Huff, et al.
Other Release Number(s): LR-21679A
AAER-3192 Sep 30, 2010 Forman, et al.
Other Release Number(s): LR-21677
AAER-3191 Sep 29, 2010 ABB Ltd
Other Release Number(s): LR-21673
AAER-3190 Sep 29, 2010 Stephen Durland (CPA)
Other Release Number(s): 34-63013
AAER-3189 Sep 24, 2010 Sunopta, Inc., Steven R. Bromley, CGA, and John H. Dietrich, CA
Other Release Number(s): 34-62988
AAER-3188 Sep 22, 2010 Delphi Corporation, John Blahnik, et al.
Other Release Number(s): LR-21660
AAER-3187 Sep 21, 2010 True North Finance Corporation, f/k/a CS Financing Corporation, et al.
Other Release Number(s): LR-21657
AAER-3186 Sep 15, 2010 Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling
Other Release Number(s): LR-21650
AAER-3185 Sep 13, 2010 KMJ Corbin & Company, LLP, Kendall G. Merkley, CPA, and Anthony J. Price, CPA
Other Release Number(s): 34-62899
AAER-3184 Sep 10, 2010 Patti M. Dodge, CPA
Other Release Number(s): 34-62889
AAER-3183 Sep 10, 2010 David N. Kenneally, CPA
Other Release Number(s): 34-62888
AAER-3182 Sep 9, 2010 Affiliated Computer Services, Inc.
Other Release Number(s): LR-21643
See also:  SEC Complaint
AAER-3181 Sep 8, 2010 Kevin J. Schott, CPA
Other Release Number(s): 34-62865
AAER-3180 Sep 1, 2010 Sujata Sachdeva and Julie Mulvaney
Other Release Number(s): LR-21640
See also:  SEC Complaint
AAER-3179 Sep 1, 2010 Lucent Technologies, Inc., et al.
Other Release Number(s): LR-21639
AAER-3178 Aug 31, 2010 Urs Kamber
Other Release Number(s): LR-21636
AAER-3177 Aug 27, 2010 Robert W. Davis and Randall D. Imhoff
Other Release Number(s): LR-21634
See also:  SEC Complaints SEC v. Davis and SEC v. Imhoff
AAER-3176 Aug 26, 2010 Stephen D. Chanslor (CPA)
Other Release Number(s): 34-62773
AAER-3175 Aug 24, 2010 Stephen Burke, CPA
Other Release Number(s): 34-62761
AAER-3174 Aug 24, 2010 Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA
Other Release Number(s): LR-21630
AAER-3173 Aug 20, 2010 Matthew W. Hardey
Other Release Number(s): 34-62752
AAER-3172 Aug 20, 2010 L. Cyrus DeBlanc
Other Release Number(s): 34-62751
AAER-3171 Aug 9, 2010 Dohan + Company CPAs, Steven H. Dohan, CPA, Nancy L. Brown, CPA, and Erez Bahar, CA
Other Release Number(s): 34-62666
AAER-3170 Aug 6, 2010 Universal Corporation, Inc. and Alliance One International, Inc.
Other Release Number(s): LR-21618
See also:  SEC Complaints v. Universal Corporation and Alliance One International
AAER-3169 Aug 5, 2010 Joe Summers
Other Release Number(s): LR-21617
See also:  SEC Complaint
AAER-3168 Aug 5, 2010 James W. McIntosh, et al., and Mark T. Schwetschenau
Other Release Number(s): LR-21616
See also:  SEC Complaints v. McIntosh et al. and Schwetschenau
AAER-3167 Aug 5, 2010 David P. Turner and Ousama M. Naaman
Other Release Number(s): LR-21615
See also:  SEC Complaint
AAER-3166 Aug 5, 2010 Mark T. Schwetschenau
Other Release Number(s): 34-62654
AAER-3165 Aug 5, 2010 Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz
Other Release Number(s): 33-9132, 34-62653
AAER-3164 Aug 4, 2010 Thomas P. Flanagan and Patrick T. Flanagan
Other Release Number(s): LR-21612
See also:  SEC Complaint
AAER-3163 Aug 4, 2010 Thomas P. Flanagan, CPA
Other Release Number(s): 34-62636
AAER-3162 Jul 30, 2010 Brad A. Morrice et al.
Other Release Number(s): LR-21609
AAER-3161 Jul 30, 2010 Matthew W. Hardey, L. Cyrus DeBlanc, and Joe E. Penland
Other Release Number(s): LR-21608
AAER-3160 Jul 29, 2010 Larry E. Hulse, CPA
Other Release Number(s): 34-62589
AAER-3159 Jul 27, 2010 General Electric Company; Ionics, Inc.; and Amersham plc
Other Release Number(s): LR-21602
See also:  SEC Complaint
AAER-3158 Jul 23, 2010 Kenneth J. Abod, CPA
Other Release Number(s): 34-62563
AAER-3157 Jul 23, 2010 Sunrise Senior Living, Inc., et al.
Other Release Number(s): LR-21600
See also:  SEC Complaint
AAER-3156 Jul 22, 2010 Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning
Other Release Number(s): LR-21599
See also:  SEC Complaint
AAER-3155 Jul 22, 2010 Andrew D. Petrofsky, CPA
Other Release Number(s): 34-62548, IA-3055
AAER-3154 Jul 16, 2010 Trident Microsystems, Inc., Frank C. Lin, and Peter Y. Jen
Other Release Number(s): LR-21593
See also:  SEC Complaint
AAER-3153 Jul 14, 2010 L. Rex Andersen, CPA
Other Release Number(s): 34-62499
AAER-3152 Jul 13, 2010 Matthew C. Gless
Other Release Number(s): 34-62486
AAER-3151 Jul 8, 2010 Ephraim Fields
Other Release Number(s): 33-9127, 34-62474, IA-3051
AAER-3150 Jul 7, 2010 Ilse Cappel, CPA
Other Release Number(s): 34-62465
AAER-3149 Jul 7, 2010 ENI, S.p.A. and Snamprogetti Netherlands, B.V.
Other Release Number(s): LR-21588
Second Quarter
AAER-3148 Jun 29, 2010 Stephen Hozie
Other Release Number(s): 34-62401
AAER-3147 Jun 28, 2010 Technip
Other Release Number(s): LR-21578
See also:  SEC Complaint
AAER-3146 Jun 24, 2010 Fei-Fei Catherine Fang, CPA
Other Release Number(s): 34-62372
AAER-3145 Jun 14, 2010 Joseph P. Collins
Other Release Number(s): LR-21555
AAER-3144 Jun 10, 2010 L. Rex Andersen, CPA
Other Release Number(s): 34-62262
AAER-3143 Jun 10, 2010 Harry O. Nicodemus IV, CPA
Other Release Number(s): 34-62260
AAER-3142 Jun 9, 2010 Lucent Technologies, Inc., et al.
Other Release Number(s): LR-21551
AAER-3141 Jun 9, 2010 William G. Mortensen and Feng Zheng
Other Release Number(s): LR-21550
AAER-3140 Jun 8, 2010 Anthony Bonica
Other Release Number(s): 34-62242
AAER-3139 Jun 7, 2010 China Yuchai International Limited
Other Release Number(s): 34-62235
AAER-3138 Jun 3, 2010 Walter A. Forbes and E. Kirk Shelton
Other Release Number(s): LR-21548
AAER-3137 Jun 2, 2010 Diebold, Inc.; Walden O'Dell; and Gregory Geswein, Kevin Krakora, and Sandra Miller
Other Release Number(s): LR-21543
See also:  SEC Complaint v. Diebold; SEC Complaint v. O'Dell; SEC Complaint v. Geswein, Krakora, and Miller
AAER-3136 May 20, 2010 Charles McCall
Other Release Number(s): LR-21527
AAER-3135 May 19, 2010 Michael G. Lutze, CPA
Other Release Number(s): 34-62136
AAER-3134 May 11, 2010 Diatect International Corp., et al.
Other Release Number(s): LR-21524
AAER-3133 May 11, 2010 Robert S. Furst, et al.
Other Release Number(s): LR-21523
AAER-3132 May 6, 2010 Exotics.com, Inc., et al.
Other Release Number(s): LR-21519
AAER-3131 May 5, 2010 Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin
Other Release Number(s): LR-21515
See also:  SEC Complaint
AAER-3130 Apr 28, 2010 Marlin R. Brinsky, CPA
Other Release Number(s): 34-61998
AAER-3129 Apr 23, 2010 David R. Cosgrove, CMA
Other Release Number(s): 34-61976
AAER-3128 Apr 22, 2010 Exotics.com, Inc., et al.
Other Release Number(s): LR-21498
AAER-3127 Apr 19, 2010 Collins & Aikman Corporation, et al.
Other Release Number(s): LR-21491
AAER-3126 Apr 7, 2010 Symbol Technologies, Inc., et al.
Other Release Number(s): LR-21480
AAER-3125 Apr 7, 2010 Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA
Other Release Number(s): 33-9116, 34-61856, IA-3009, IC-29203
AAER-3124 Apr 2, 2010 Michael Degennaro
Other Release Number(s): 34-61833
AAER-3123 Apr 1, 2010 J. Michael Broullire (CPA)
Other Release Number(s): 34-61827
First Quarter
AAER-3122 Mar 24, 2010 Brian K. Rabinovitz, CPA
Other Release Number(s): 34-61771
AAER-3121 Mar 19, 2010 Exotics.com, Inc., et al.
Other Release Number(s): LR-21456
AAER-3120 Mar 11, 2010 Robert John Hipple
Other Release Number(s): 34-61688, IC-29173
AAER-3119 Mar 10, 2010 Jay Lapine
Other Release Number(s): LR-21444
AAER-3118 Mar 4, 2010 Joseph Grendys et al.
Other Release Number(s): LR-21435
AAER-3117 Mar 3, 2010 Verint Systems Inc.
Other Release Number(s): LR-21428
See also:  SEC Complaint against Verint; Order Instituting Proceedings
AAER-3116A Mar 1, 2010 Gerard A. M. Oprins, CPA and Wendy McNeeley, CPA
Other Release Number(s): 34-61607A
AAER-3115 Feb 25, 2010 Daniel Bonventre
Other Release Number(s): LR-21424
See also:  SEC Complaint
AAER-3114 Feb 16, 2010 Nevanna Sacks, CPA
Other Release Number(s): 34-61518
AAER-3113 Feb 12, 2010 Michael J. Byrd, CPA
Other Release Number(s): 34-61516
AAER-3112 Jan 29, 2010 Mark Evan Bloom (CPA)
Other Release Number(s): 34-61445, IA-2980
AAER-3111A Jan 28, 2010 Tsukuda-America Inc. et al.
Other Release Number(s): LR-21396A
See also:  SEC Complaint; SEC Rel. No. 33-9102 (January 26, 2010) and the related Division of Enforcement Statement.
AAER-3110 Jan 27, 2010 Karen T. Baker, CPA
Other Release Number(s): 34-61432
AAER-3109 Jan 21, 2010 Assurant, Inc.
Other Release Number(s): LR-21388
See also:  SEC Complaint
AAER-3108 Jan 20, 2010 General Re Corporation
Other Release Number(s): LR-21384
See also:  SEC Complaint
AAER-3107 Jan 20, 2010 Deanna J. Seruga, CPA
Other Release Number(s): 34-61385
AAER-3106 Jan 20, 2010 John W. Dwyer, CPA
Other Release Number(s): 34-61384
AAER-3105 Jan 20, 2010 Theodore P. Noncek, CPA
Other Release Number(s): 34-61383
AAER-3104 Jan 19, 2010 Diane Bjorkstrom (CPA)
Other Release Number(s): 34-61375
AAER-3103A Jan 13, 2010 Applied Wellness Corporation
Other Release Number(s): 34-61344A
AAER-3102 Jan 11, 2010 NATCO Group Inc.
Other Release Number(s): LR-21374
AAER-3101 Jan 11, 2010 NATCO Group Inc.
Other Release Number(s): 34-61325
AAER-3100 Jan 7, 2010 Pollard Kelley Auditing Services, Inc. and Terance Kelley, CPA
Other Release Number(s): 34-61315
AAER-3099 Jan 7, 2010 David C. Mayfield, CPA
Other Release Number(s): 34-61307
AAER-3098 Jan 7, 2010 John W. Jacobsen, CPA
Other Release Number(s): 34-61306
AAER-3097 Jan 7, 2010 Charles A. Gray, CPA
Other Release Number(s): 34-61305
AAER-3096 Jan 6, 2010 Scott T. Veech, CPA
Other Release Number(s): 34-61301
AAER-3095 Jan 6, 2010 Osvaldo Pitters
Other Release Number(s): 34-61300
AAER-3094 Jan 6, 2010 Daniel H. Bayly, et al.
Other Release Number(s): LR-21361

 

http://www.sec.gov/divisions/enforce/friactions/friactions2010.shtml


Modified: 01/07/2011