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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    2009 Disciplinary Actions

    Disciplinary Actions 2009 Disciplinary Actions
    Published on February 19, 2015

    2010 Disciplinary Actions

    Disciplinary Actions Disciplinary actions for 2010.
    Published on February 19, 2015

    Applewhite, Jeffery Los Angeles, CA

    Disciplinary Actions In consideration of the AICPA foregoing a full investigation of his alleged misconduct, Mr. Applewhite entered into a settlement agreement under the Joint Ethics Enforcement Program effective October 28, 2014.
    Published on January 05, 2015

    Berman, Elliot Boca Raton, FL

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Berman’s AICPA membership was suspended for one year, effective October 24, 2014, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
    Published on January 05, 2015

    Bottini, Nicholas R. Webster, NY

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Bottini’s AICPA membership was suspended for two years, effective July 1, 2014, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
    Published on January 05, 2015

    Dickey, Carter E. Tucson, AZ

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Dickey’s AICPA membership was terminated, effective September 25, 2014, in connection with the disciplinary action taken by the Arizona State Board of Accountancy.
    Published on January 05, 2015

    Edwards, Dennis J. Holton, KS

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Edwards’ AICPA membership was suspended coincident with the duration of the suspension period imposed by the Kansas State Board of Accountancy.
    Published on January 05, 2015

    Egan, Jack New Rochelle, NY

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Egan’s AICPA membership was terminated, effective October 29, 2014, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
    Published on January 05, 2015

    Fardy, Thomas E. Andover, MA

    Disciplinary Actions As a result of a decision by a hearing panel of the Joint Trial Board, Mr. Fardy’s AICPA membership was terminated effective November 14, 2014.
    Published on January 05, 2015

    Goldstein, Irving L. - Sunrise, FL

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Goldstein’s AICPA membership was terminated, effective October 15, 2014, because of a final judgment of conviction for a crime punishable by imprisonment for more than one year.
    Published on January 05, 2015

    Gray, Robert M. Raleigh, NC

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Gray’s AICPA membership was terminated, effective October 15, 2014, in connection with the disciplinary action taken by the North Carolina State Board of Certified Public Accountant Examiners.
    Published on January 05, 2015

    Lobock, Alan Scottsdale, AZ

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Lobock’s AICPA membership was terminated, effective September 25, 2014, in connection with the disciplinary action taken by the Arizona State Board of Accountancy.
    Published on January 05, 2015

    Murphy, Donald K. Conyers, GA

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Murphy was admonished, effective October 29, 2014, in connection with the disciplinary action taken by the North Carolina State Board of Certified Public Accountant Examiners.
    Published on January 05, 2015

    Nowling, Gregory L. - Indianapolis, IN

    Disciplinary Actions As a result of an investigation of alleged violations of the Codes of Professional Conduct of the AICPA and Indiana CPA Society, Mr. Nowling, with the firm of Comer, Nowling & Associates, PC, entered into a settlement agreement under the Joint Ethics Enforcement Program, effective November 20, 2014.
    Published on January 05, 2015

    Pickering, Stanley H. Knoxville, TN

    Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Pickering was admonished, effective October 29, 2014, in connection with the disciplinary action taken by the Tennessee State Board of Accountancy.
    Published on January 05, 2015

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