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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Brown, Stuart of New York, NY

Disciplinary Actions As a result of a decision of a hearing panel of the Joint Trial Board, Mr. Brown’s AICPA membership was terminated effective June 18, 2016.
Published on July 06, 2016

Gray, Wayne of Dallas, TX

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Gray’s AICPA membership was suspended for one year effective March 10, 2016, in connection with the disciplinary action taken by the Securities and Exchange Commission.
Published on July 06, 2016

Burrill, G. Stephen of San Francisco, CA

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Burrill’s AICPA membership was terminated, effective May 26, 2016, in connection with the disciplinary action taken by the Securities and Exchange Commission.
Published on July 06, 2016

Hesselgesser, Robert of Hamilton, OH

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Hesselgesser’s AICPA membership was suspended for two years effective April 19, 2016, in connection with the disciplinary action taken by the Securities and Exchange Commission.
Published on July 06, 2016

Zucker, Robert of Boca Raton, FL

Disciplinary Actions As a result of a decision of a hearing panel of the Joint Trial Board, Mr. Zucker was admonished effective June 18, 2016.
Published on July 06, 2016

Schain, Beverly of Flat Rock, NC

Disciplinary Actions As a result of a decision of a hearing panel of the Joint Trial Board, Ms. Schain was admonished effective June 18, 2016.
Published on July 06, 2016

Sipos, Mark of Akron, OH

Disciplinary Actions As a result of a decision of a hearing panel of the Joint Trial Board, Mr. Sipos’ AICPA membership was terminated effective June 18, 2016.
Published on July 06, 2016

Nelson, Mark of Greensboro, NC

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Nelson’s AICPA membership was suspended for one year effective February 18, 2016, in connection with the disciplinary action taken by the Public Company Accounting Oversight Board.
Published on July 06, 2016

2009 Disciplinary Actions

Disciplinary Actions 2009 Disciplinary Actions
Published on June 27, 2016

Downey, Steven of Louisville, KY

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Downey’s AICPA membership was suspended for three years, effective July 8, 2015, in connection with the disciplinary action taken by the Security Exchange Commissioner.
Published on June 03, 2016

Burns, Gregg J. of Danvers, MA

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Burns, with the firm of GJ Burns, CPA, LLC, (formerly of K.E. McGillivray & Company, LLC) entered into a settlement agreement under the Joint Ethics Enforcement Program, effective January 4, 2016.
Published on June 03, 2016

Coats, Jesse F. of Plantation, FL

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Coats, with the firm of Coats & Associates, P.A., entered into a settlement agreement under the Joint Ethics Enforcement Program effective April 8, 2016.
Published on June 03, 2016

Haase, Susan M. of South San Francisco, CA

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Ms. Haase, with the firm of Peninsula Accounting Services, Inc.; entered into a settlement agreement under the Joint Ethics Enforcement Program effective April 8, 2016.
Published on June 03, 2016

Confessore, Richard of Sarasota, FL

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Confessore’s AICPA membership was suspended for two years, effective December 10, 2015, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
Published on June 03, 2016

Harrison, Sandra G. of Woodbury, CT

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and the Connecticut Society of CPAs, Ms. Harrison, with the firm of Kelley & Fitzgerald, P.C., entered into a settlement agreement under the Joint Ethics Enforcement Program effective January 4, 2016.
Published on June 03, 2016

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