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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Sudran, Mark of Plainview, NY

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and the New York State Society of CPAs, Mr. Sudran with the firm of Sudran, Dizenhaus and Associates, entered into a settlement agreement under the Joint Ethics Enforcement Program effective January 17,
Published on March 09, 2017

Vogt, III, Carlton of Warwick, NY

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Vogt’s AICPA membership was suspended for three years, effective June 7, 2016, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
Published on March 07, 2017

Quintanilla, Tim of San Juan Capistrano, CA

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Quintanilla’s AICPA membership was terminated, effective February 9, 2017, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
Published on March 07, 2017

Muhlstock, Andrew of New York, NY

Disciplinary Actions As a result of a decision by a hearing panel of the Joint Trial Board, Mr. Muhlstock’s AICPA membership was suspended for one year, effective February 9, 2017.
Published on March 07, 2017

Grant, Alan C. of Milledgeville, GA

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and the Georgia Society of CPAs, Mr. Grant with the firm of James M. Grant, CPA, P.C., entered into a settlement agreement under the Joint Ethics Enforcement Program effective December 2, 2016.
Published on March 07, 2017

Gardner, Edward S. of Mars, PA

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Gardner, entered into a settlement agreement under the Joint Ethics Enforcement Program effective December 2, 2016.
Published on February 08, 2017

Mui, Lam of New York, NY

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Mui was admonished, effective December 21, 2016, in connection with the disciplinary action taken by the Public Company Accounting Oversight Board (PCAOB).
Published on February 08, 2017

Mohammadpour, Ali of South Euclid, OH

Disciplinary Actions As a result of an investigation of an alleged violation of the codes of professional conduct of the AICPA and the Ohio Society of CPAs (“OSCPA”), Mr. Mohammadpour entered into a settlement agreement under the Joint Ethics Enforcement Program, effective January 12, 2017.
Published on February 08, 2017

Totty, Bill W. of Edmond, OK

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and the Oklahoma Society of CPAs, Mr. Totty, with the firm of Bill Totty, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program effective December 14, 2016.
Published on February 08, 2017

Klein, Robert 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. Klein with the firm of Klein, Mandelblatt & Co., entered into a settlement agreement under the Joint Ethics Enforcement Program effective December 14, 2016.
Published on February 08, 2017

Joyce, Daryl of Cutler Bay, FL

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Joyce, with the firm of Joyce & Co., LLC, entered into a settlement agreement under the Joint Ethics Enforcement Program effective December 14, 2016.
Published on February 08, 2017

Fronckiewicz, Craig of Spring, TX

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Fronckiewicz’ AICPA membership was suspended for two years, effective October 18, 2016, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
Published on February 08, 2017

Fong, Henry M. of New York, NY

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and the New Jersey Society of CPAs, Mr. Fong, with the firm of Henry M. Fong, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program effective December 2, 2016.
Published on February 08, 2017

Carlson, Jerome of Des Moines, IA

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Carlson’s AICPA membership was suspended for one year, effective September 15, 2016, in connection with the disciplinary action taken by the Public Company Accounting Oversight Board (PCAOB).
Published on February 08, 2017

Daugerdas, Paul of Wilmette, IL

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Daugerdas’ AICPA membership was terminated, effective December 8, 2016, because of a final judgment of conviction for a crime punishable by imprisonment for more than one year.
Published on February 08, 2017

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