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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Disciplinary Actions

Overview 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.
Published on April 05, 2016

Strand, Brian D. of Sarasota, FL

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Strand’s AICPA membership was suspended coincident with the duration of the suspension period imposed by the Department of Business & Professional Regulation–State of Florida.
Published on April 05, 2016

Hebebrand, D. David of Porterville, CA

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Hebebrand, with the firm of D.E.H. and Associates, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective January 4, 2016.
Published on April 05, 2016

Alexander, Michael of Stamford, 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. Alexander, with the firm of Kolbrenner & Alexander, LLC, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective September 7, 2015.
Published on April 05, 2016

Smith, Nancy of Miami Lakes, FL

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Ms. Smith, with the firm of Nancy C. Smith, C.P.A., P.A. entered into a settlement agreement under the Joint Ethics Enforcement Program, effective December 8, 2015.
Published on April 05, 2016

Mortenson, Swen A. of Salt Lake City, UT

Disciplinary Actions As a result of an investigation of alleged violations of the code of professional conduct of the AICPA, Mr. Mortenson, with the firm of Swen A. Mortenson, C.P.A., Inc., entered into a settlement agreement under the Joint Ethics Enforcement Program, effective March 2, 2016.
Published on April 05, 2016

Engelmann, Thomas C. of Davenport, IA

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Engelmann, with the firm of Tom Engelmann, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective January 20, 2016.
Published on April 05, 2016

Millsap, W. Douglas of Riverside, CA

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Millsap, with the firm of W. Douglas Millsap, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective January 4, 2016.
Published on April 05, 2016

Tolliver, Robert J. of Dorsey, IL

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and the Missouri Society of CPAs, Mr. Tolliver, with the firm of R. J. Tolliver, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective September 25, 2015.
Published on April 05, 2016

LaManna, James M. of Bradenton, FL

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. LaManna, with the firm of James M. LaManna, CPA, PA, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective January 20, 2016.
Published on April 05, 2016

Sra, Kanwaldev S. of Dix Hills, NY

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Sra, with the firm of K. SRA CPA P.C., entered into a settlement agreement under the Joint Ethics Enforcement Program, effective January 20, 2016.
Published on April 05, 2016

DiCalogero, Vincent J. of Port Jefferson Village, NY

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. DiCalogero, with the firm of Basile & DiCalogero, CPA’s, LLC, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective November 5, 2015.
Published on April 05, 2016

Cottrell, Ronald C. of Kansas, 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. Cottrell, with the firm of Ronald C. Cottrell, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective March 2, 2016.
Published on April 05, 2016

Black, Alex Kelly of Baton Rouge, LA

Disciplinary Actions As a result of an investigation of the alleged violations of the codes of professional conduct of the AICPA and the Society of Louisiana CPAs, Mr. Black, with the firm of A. Kelly Black, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective May 1, 2015.
Published on April 05, 2016

DAmico, Dennis M. of Lebanon, IN

Disciplinary Actions As a result of an investigation of alleged violations of the codes of professional conduct of the AICPA and the Indiana CPA Society, Mr. D’Amico, with the firm of Dennis D’Amico, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective March 2, 2016.
Published on April 05, 2016

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