- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Kyle Brasseur2023-03-30T17:13:00
A Colorado-based audit firm and one of its engagement partners were spared financial penalties in settling with the Securities and Exchange Commission (SEC) over allegations of improper professional conduct during the audits of two private funds.
Spicer Jeffries agreed to be censured and retain an independent consultant to review certain of its policies and procedures as part of its settlement with the SEC announced Wednesday. Engagement partner Sean Tafaro received a one-year suspension from appearing and practicing before the agency as an accountant.
In 2019, Spicer Jeffries and Tafaro allegedly failed to do the following in their work at the two private funds:
2023-03-28T13:19:00Z By Kyle Brasseur
Friedman agreed to pay a $100,000 penalty to settle charges by the Public Company Accounting Oversight Board it over-relied on the work of unregistered Chinese firms across 12 public company audits.
2023-03-15T13:57:00Z By Kyle Brasseur
IT services provider DXC Technology Company agreed to pay an $8 million penalty to settle Securities and Exchange Commission charges it made material misstatements regarding its non-GAAP disclosures over a two-year period.
2023-03-14T16:38:00Z By Adrianne Appel
Evoqua Water Technologies Corp. agreed to pay $8.5 million to resolve charges the actions of a former company finance director led the firm to misstate its revenue in filings with the Securities and Exchange Commission.
2025-07-02T18:31:00Z By Aaron Nicodemus
Emerging enforcement priorities of the U.S. Department of Justice’s health care fraud division align with the Trump administration’s emphasis on prosecuting transnational criminal organizations and ending opioid trafficking.
2025-07-01T23:26:00Z By Oscar Gonzalez
Since President Donald Trump took office, the U.S. Federal Trade Commission has yet to keep up the level of enforcement it had under previous chair Lina Khan. The agency, however, returned to antitrust action in the case of fuel stations, just in time for the July 4th holiday.
2025-06-25T16:29:00Z By Oscar Gonzalez
In May, three commissioners for the Consumer Product Safety Commission were abruptly fired by President Donald Trump and sued for their jobs shortly after. A federal judge has ruled that the commissioners should be reinstated, although it’s unclear whether that ruling may itself be reversed.
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