Rode, Keith E. of Franklin, WI

Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Rode’s AICPA membership was terminated, effective December 17, 2015, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC). Specifically, through an “Offer of Settlement”, the SEC, pursuant to Section 203(f) of the Advisers Act, barred Mr. Rode from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and pursuant to Rule 102(e)(3)(i) of the Commission’s Rules of Practice, the SEC suspended Mr. Rode from appearing or practicing before the Commission as an accountant in connection with his plea of guilty to one count of mail fraud in violation of Title 18, USC Section 1341 before the United States District Court for the Northern District of California.