David Smyth

David Smyth

Brooks Pierce

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SEC Sanctions Auditor, Should Make Small Issuers Think Twice

The SEC brought a settled administrative action against an auditor on October 24th. Often I’ll take a case like this and write something about it to warn other auditors (or investment advisers or broker-dealers, or whomever)...more

11/4/2014 - Auditors Audits Broker-Dealer Compliance Enforcement Investment Adviser SEC

PCAOB Brings Case on Audit Documentation

The Public Company Accounting Oversight Board brought a settled action on November 13th against three outside auditors whose errors were measured not in substance, but in process. Dale Arnold Hotz, Jyothi Nuthulaganti...more

12/4/2012 - Audits Public Accounting Oversight Board

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