Freeman, Rick C. – Tulsa, OK 


    Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Freeman’s AICPA membership was terminated, effective June 23, 2014, in connection with the disciplinary action taken by the Public Company Accounting Oversight Board (PCAOB). Specifically, the PCAOB permanently barred Mr. Freeman from being an associated person of a registered public accounting firm. This decision was based on the PCAOB’s findings that Mr. Freeman: (a) violated PCAOB rules and auditing standards in connection with the audits of three issuer clients and Section 10A(a) of the Securities Exchange Act of 1934 in connection with his Firm’s audit of one issuer client; (b) violated  Section 10A(j) of the Exchange Act, Exchange Act Rule 10A-2, and PCAOB rules and auditing standards in connection with his Firm’s audits of two issuer clients; (c) directly and substantially contributed to the Firm’s violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder in connection with all three issuer audits in 2011; and (d) directly and substantially contributed to the Firm’s violation of PCAOB quality control standards.



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