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Adjudicated Disciplinary Orders and Opinions

The list below provides links to opinions, orders, and other final Board action imposing sanctions in contested disciplinary proceedings, as well as links to Securities and Exchange Commission action on review of those sanctions.

Under the Sarbanes-Oxley Act, any person sanctioned by the Board may seek review by the SEC in accordance with SEC rules, and any such application for review operates as a stay of the sanction. Normally, SEC review proceedings are public pursuant to Rule 301 of the SEC's Rules of Practice. However, the Act prohibits the Board from reporting the sanction to the public unless and until the SEC lifts the stay of the sanction. Because of the stay, the Board does not publish Board orders and opinions before the SEC review has occurred or the opportunity to seek SEC review has passed. In addition, because of the stay, the effective date of the sanctions imposed by the Board is different from the date of the Board action imposing the sanctions.

 

 Adjudicated Disciplinary Orders

 
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RespondentCountryDate of Board ActionEffective Date of SanctionsRelated SEC Actions
P.S. Yap & AssociatesPDF DocumentMalaysiaMay 8, 2014June 18, 2014
Stan Jeong-Ha Lee and Stan J.H. Lee, CPAPDF DocumentUnited StatesJune 19, 2013July 30, 2013-
S.W. Hatfield, CPA and Scott W. Hatfield, CPAPDF DocumentUnited StatesFeb. 8, 2012July 11, 2013
Eric C. Yartz, P.C.PDF DocumentUnited StatesMay 7, 2013June 18, 2013-
Kenneth J. McBridePDF DocumentUnited StatesMay 7, 2013June 18, 2013-
Buckno Lisicky & Company, P.C.PDF DocumentUnited StatesJan. 9, 2012Feb. 22, 2012-
Paul GaynesPDF DocumentUnited StatesJan. 3, 2012Feb. 15, 2012-
R.E. Bassie & Co. and R. Everett Bassie, CPAPDF DocumentUnited StatesOct. 6, 2010Jan. 10, 2012
Cordovano and Honeck LLP and Samuel D. Cordovano, CPAPDF DocumentUnited StatesAug. 29, 2011Oct. 12, 2011-
Davis Accounting Group, P.C. and Edwin R. Davis, Jr., CPAPDF DocumentUnited StatesMarch 29, 2011June 14, 2011
Larry O'Donnell, CPA, P.C. and Larry O'Donnell, CPAPDF DocumentUnited StatesOct. 19, 2010Dec. 14, 2010-
Gately & Associates, LLC and James P. Gately, CPAPDF DocumentUnited StatesJune 4, 2009Oct. 22, 2010
   
 

Rules

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To view an order, click on the firm name.

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To sort this list by respondent, country, date of board action, or effective date, select from the "Sort By" drop down menu. The list will appear in ascending order. Click the arrow next to the drop down menu to change to descending order.

To Group Orders

To group this list by respondent, country, date of Board action, effective date, or year select from the "Group By" drop down menu. The groupings may be collapsed or expanded by selecting the "-" or "+" sign. The list will appear in ascending order, but can be changed to descending order by clicking the arrow next to the drop down box.

To Filter Orders

To further narrow the selections, filter this list by respondent, country, date of Board action, effective date, or year. Select the "Filter" option to the left of the "Sort By" and "Group By" options, then choose from the drop down menu. Only filter by one option at a time.