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Browse: Home / KPMG

KPMG

Ex KPMG partner banned over insider trading | ICAEW Economia

By Securities Docket on August 8, 2019, 11:03 am

A former KPMG US partner accused of insider trading is to pay the US Securities & Exchange Commission (SEC) $125,000 (£102,771) in a final judgment that will also see him banned for life from practising as a listed company accountant or auditor. Thomas Avent Jr agreed to the final judgment without admitting or denying the […]

Posted in SEC, Top | Tagged Insider Trading, KPMG

KPMG to Pay as Much as $50 Million to Settle SEC Probe – WSJ

By Securities Docket on June 15, 2019, 1:24 pm

KPMG LLP is preparing to pay as much as $50 million to settle civil claims related to the conduct of former partners who learned which of their audits would be subject to surprise regulatory examinations, according to people familiar with the matter. The fine would be one of the highest ever imposed on an auditor […]

Posted in SEC, Top | Tagged Audits, KPMG

KPMG Partner, PCAOB Official Guilty Stealing Board Inspection Schedules – SEC ACTIONS

By Securities Docket on March 13, 2019, 8:00 am

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. Each was found guilty of conspiracy to commit wire fraud and wire fraud but acquitted of conspiracy to defraud the government. […]

Posted in Criminal, Top | Tagged KPMG, PCAOB

Six people fired after KPMG probe of ethical breach — Bloomberg

By Securities Docket on April 12, 2017, 12:58 pm

Six employees at KPMG were fired after an internal probe into a leak, the accounting firm said Tuesday. The Wall Street Journal reported that a KPMG employee received “improper advance warnings” of inspections and shared it with executives. The newspaper said the firm notified the Securities and Exchange Commission and the Public Company Accounting Oversight […]

Posted in Industry, Top | Tagged KPMG

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