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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Sarna, Dennis of Thousand Oaks, CA

Disciplinary Actions As a result of an investigation of alleged violations of the AICPA and Nevada Society of CPAs’ codes of professional conduct, Mr. Sarna with the firm of DJS Partners, LLP, entered into a settlement agreement under the Joint Ethics Enforcement Program effective March 2, 2017.
Published on June 06, 2017

Schuh Jr., William of San Antonio, TX

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and the Texas Society of CPAs, Mr. Schuh, with the firm of Sagebiel, Ravenburg & Schuh P.C., entered into a settlement agreement under the Joint Ethics Enforcement Program effective March 17, 2017.
Published on June 06, 2017

Ushijima, Gregory of Honolulu, HI

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and the Hawaii Society of CPAs, Mr. Ushijima, with the firm of G. Ushijima CPA LLC, entered into a settlement agreement under the Joint Ethics Enforcement Program effective May 3, 2017.
Published on June 06, 2017

Samson, Ruben of Northridge, CA

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Samson, with the firm of Katz & Varon, P.C., entered into a settlement agreement under the Joint Ethics Enforcement Program effective March 17, 2017.
Published on June 06, 2017

Das, Soumya of North Hills, CA

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Das, with the firm of Katz & Varon, P.C., entered into a settlement agreement under the Joint Ethics Enforcement Program effective March 17, 2017.
Published on June 06, 2017

Katz, Stanley of Los Angeles, CA

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Katz, with the firm of Katz & Varon, P.C., entered into a settlement agreement under the Joint Ethics Enforcement Program effective March 17, 2017.
Published on June 06, 2017

Keller, Thomas of Montoursville, PA

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and the Pennsylvania Institute of CPAs, Mr. Keller, with the firm of Thomas B. Keller, CPA entered into a settlement agreement under the Joint Ethics Enforcement Program, effective May 3, 2017.
Published on June 06, 2017

Walker, John of Orange, CA

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Walker, with the firm of Walker & Associates, entered into a settlement agreement under the Joint Ethics Enforcement Program effective May 3, 2017.
Published on June 06, 2017

Williams, Gregory of Birmingham, AL

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Williams’ AICPA membership was terminated, effective April 11, 2017, in connection with the disciplinary action taken by the Alabama State Board of Public Accountancy.
Published on June 06, 2017

Alvarez, Domingo of Miami, FL

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Alvarez, with the firm of Alvarez & Mendoza, PA, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective March 2, 2017.
Published on June 06, 2017

London, Stuart W. of Beachwood, OH

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and the Ohio Society of CPAs, Mr. London, with the firm of London Group CPAs, Inc., entered into a settlement agreement under the Joint Ethics Enforcement Program effective May 3, 2017.
Published on June 06, 2017

Pollard, John of Tarboro, NC

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Pollard was admonished, effective April 11, 2017, and directed to complete remedial actions (listed below) in connection with the disciplinary action taken by the North Carolina State Board of Certified Public Accountant Examiners.
Published on June 06, 2017

2017 Disciplinary Actions

Article Browse AICPA 2017 disciplinary articles.
Published on May 22, 2017

2016 Disciplinary Actions

Article Browse 2016 disciplinary articles.
Published on May 22, 2017

2015 Disciplinary Actions

Article Browse 2015 disciplinary articles.
Published on May 22, 2017

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