Tag: audit failure

This Week In Securities Litigation (Week ending Nov. 4, 2016)

The Commission brought actions this week centered on the failure to properly conduct audits, an offering fraud and for acting as an unregistered broker. FINRA sanctioned eight firms for failing to adequately supervise the sale of a complex investment product.

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SEC Brings Two Proceedings Naming Auditors

The Commission initiated two proceedings involving auditors who improperly and repeatedly signed off on unqualified audit opinions. One action involved audits for a municipality and settled. In the Matter of Domenick F. Consolo, CPA, Adm. Proc. File No. 3-17654 (Oct.

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