Year: 2019

Former KPMG partner David Middendorf and former PCAOB official Jeffrey Wada were each found guilty of conspiring to steal secret Board inspection schedules for KPMG to give the firm an edge in the process. U.S v. Middendorf, No. 1:18-cr-00036 (S.D.N.Y.). …

KPMG Partner, PCAOB Official Guilty Stealing Board Inspection Schedules Read More »

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The retail investor focus of the current SEC Enforcement Program was on full display as the Division announced the return of over $125 million to investors from advisers participating in the Share Class Selection Disclosure Initiative announced about one year …

Results from the SCSDI: $125M for Investors, No Penalty for 79 Advisers Read More »

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