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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Boothe, Kenneth C. of Big Spring, TX

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and Texas Society of CPAs, Mr. Boothe with the firm of Kenneth C. Boothe & Company, P.C., entered into a settlement agreement under the Joint Ethics Enforcement Program effective May 19, 2016.
Published on September 05, 2016

Frimpong, Ricky A. of Manchester, 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, Mr. Frimpong, with the firm of Frimpong & Company, PC, entered into a settlement agreement under the Joint Ethics Enforcement Program effective August 8, 2016.
Published on September 05, 2016

Best, Raymond of Arlington, TX

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Best  was admonished, effective June 28, 2016, in connection with the disciplinary action taken by the Texas State Board of Public Accountancy.
Published on September 05, 2016

Connolly, Janna of Destin, FL

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Connolly’s AICPA membership was suspended for three years, effective October 27, 2015, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
Published on September 05, 2016

Cully, Michael M. of Sunnyvale, CA

Disciplinary Actions In lieu of an investigation of alleged violations of the Codes of Professional Conduct of the AICPA and the Illinois CPA Society, Mr. Cully entered into a settlement agreement under the Joint Ethics Enforcement Program effective July 19, 2016.
Published on September 05, 2016

Griffith, Jason of Henderson, NV

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Griffith’s AICPA membership was suspended for three years, effective September 18, 2015, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
Published on September 05, 2016

Knapp, Arthur of San Jose, CA

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Knapp’s AICPA membership was terminated, effective June 28, 2016, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
Published on September 05, 2016

Harcar, Daniel of Litchfield, 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. Harcar entered into a settlement agreement under the Joint Ethics Enforcement Program, effective July 18, 2016.
Published on September 05, 2016

Houston, Jack D. of Grayson, GA

Disciplinary Actions As a result of a decision of a hearing panel of the Joint Trial Board, Mr. Houston’s AICPA membership was terminated effective August 6, 2016.
Published on September 05, 2016

Gersten, Harvey G. of Forest Hills, NY

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Gersten with the firm of Harvey Gersten, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program effective May 19, 2016.
Published on September 05, 2016

Lopez-Lima Levi, Raimundo of Coral Gables, FL

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Levi, with the firm of Lopez Levi & Associates, LLC, entered into a settlement agreement under the Joint Ethics Enforcement Program effective May 19, 2016.
Published on September 05, 2016

Moran, John 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. Moran, with the firm of John Moran, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program effective July 19, 2016.
Published on September 05, 2016

Ortego, Ben of Houston, TX

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Ortego’s AICPA membership was suspended for three years, effective September 18, 2015, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
Published on September 05, 2016

Portnoy, Jay Robert of Jacksonville, FL

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Portnoy, with the firm of Portnoy CPA, P.A., entered into a settlement agreement under the Joint Ethics Enforcement Program effective July 19, 2016.
Published on September 05, 2016

Porter, Suzette E. of Miramar, FL

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA, Ms. Porter, with the firm of BAS Partners, LLC, entered into a settlement agreement under the Joint Ethics Enforcement Program effective July 19, 2016.
Published on September 05, 2016

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