Disciplinary Actions

    Disciplinary Actions 

    Where feasible, disciplinary articles are periodically removed from this site in accordance with the following guidelines:

    • Terminations generally remain on the Web site for a maximum of seven years. If the member has his/her membership reinstated, their article will remain for a minimum of five years or the date of reinstatement, whichever is longer.
       
    • Suspensions will generally be removed from the Web site one year after the member’s suspension period has ended. Suspensions coincident with the state boards of accountancy will generally be removed when the member has sent notification that their suspension has been lifted by the state board. However, all suspensions will remain on the Web site for a minimum of one year.
       
    • Admonishments will generally be removed from the Web site one year after the effective date of admonishment. 

    Help Protect the Public Interest

    Members who notice, suspect or are aware of significant deficiencies in the work of another member should seriously consider referring the matter to the Professional Ethics Division. Prior to referral, consider your responsibilities under Rule 301 of the Code of Professional Conduct if the member is affiliated with a client (e.g., CFO of an audit client). If you are unsure of the applicability of Rule 301, call the Ethics Hotline at 888.777.7077.

    Disciplinary actions are updated quarterly.


    *Articles have been removed according to the retention schedule.

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    2008 Disciplinary Actions

    Disciplinary Actions Disciplinary actions for 2008.
    Published on June 30, 2015

    Ferguson, David - Fayetteville, AR

    Disciplinary Actions As a result of an investigation of alleged violations of the Codes of Professional Conduct of the AICPA and the Arkansas Society of CPAs, Mr. Ferguson, with the firm of David M. Ferguson, CPA, PLLC, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective October 20, 2014.
    Published on April 03, 2015

    Webb, Robert A. - Birmingham, AL

    Disciplinary Actions As a result of an investigation of alleged violations of the Codes of Professional Conduct of the AICPA and the Alabama Society of CPAs, Mr. Webb, with the firm of Robert A. Webb & Associates, CPA, LLC entered into a settlement agreement under the Joint Ethics Enforcement Program, effective December
    Published on April 03, 2015

    Swarts, Curtis - Las Vegas, NV

    Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Swarts, with the firm of Swarts & Swarts, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective January 9, 2015.
    Published on April 03, 2015

    Schwartz, James K. Leawood, KS

    Disciplinary Actions In consideration of the AICPA foregoing a full investigation of his alleged misconduct, Mr. Schwartz entered into a settlement agreement under the Joint Ethics Enforcement Program effective September 10, 2014.
    Published on April 03, 2015

    Regier, Nancy Overland Park, KS

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Ms. Regier’s AICPA membership was suspended for six months, effective December 22, 2014, in connection with the disciplinary action taken by the Kansas Board of Accountancy.
    Published on April 03, 2015

    Ragonese, Thomas Shelton, CT

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Ragonese’s AICPA membership was terminated, effective January 20, 2015, because of a final judgment of conviction for a crime punishable by imprisonment for more than one year.
    Published on April 03, 2015

    Peterson, David R. Salt Lake City, UT

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Peterson was admonished, effective January 14, 2015, in connection with the disciplinary action taken by the Utah Board of Accountancy.
    Published on April 03, 2015

    McLane, Charles A. Scottsdale, AZ

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. McLane’s AICPA membership was suspended for one year, effective February 23, 2015, as a result of the Consent Order that he entered into with the Arizona State Board of Accountancy, in lieu of formal disciplinary proceedings.
    Published on April 03, 2015

    Kinder, Kevin Round Rock, TX

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Kinder was admonished, effective February 23, 2015, in connection with the disciplinary action taken by the Texas State Board of Public Accountancy.
    Published on April 03, 2015

    Hohl, Timothy Tampa, FL

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Hohl’s AICPA membership was suspended for two years, in connection with the disciplinary action taken by the Florida State Board of Accountancy.
    Published on April 03, 2015

    Greenwald, Daniel D. Sunrise, FL

    Disciplinary Actions As a result of a decision by a hearing panel of the Joint Trial Board, Mr. Greenwald’s AICPA membership was terminated effective February 13, 2015.
    Published on April 03, 2015

    Glick, Daniel Orland Park, IL

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Glick’s AICPA membership was terminated, effective February 23, 2015, in connection with the disciplinary action taken by the Illinois Department Professional Regulation.
    Published on April 03, 2015

    Gabler, George Asheville, NC

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Gabler’s AICPA membership was terminated, effective February 23, 2015, in connection with the disciplinary action taken by the North Carolina State Board of Certified Public Accountant Examiners.
    Published on April 03, 2015

    Free, Paul R. Oakland, MI

    Disciplinary Actions In lieu of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Free entered into a settlement agreement under the Joint Ethics Enforcement Program.
    Published on April 03, 2015

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