Defendant Name:
Frazer Frost, LLP
Defendant Type:
Other
Document Reference:
33-10092
Document Details
Legal Case Name
In the Matter of Frazer Frost, LLP; Susan Woo, CPA; and Miranda Suen, CPA
Document Name
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice
Document Date
07-Jun-2016
Document Format
Administrative Proceeding
AAER
3781
Allegation Type
Issuer Reporting and Disclosure
Document Summary
The Commission stated that [r]espondents have submitted Offers of Settlement (the "Offers") that the Commission has determined to accept. Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting or denying the findings herein, except as to the Commission's jurisdiction over them and the subject matter of these proceedings, which are admitted, and except as provided herein in Section V, Respondents consent to the entry of this Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act and Sections 4C and 21C of the Exchange Act and Rule 102(e) of the Commission's Rules of Practice ("Order")."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Barred from practicing before the Commission as an accountant for 5 years
Monetary Penalties:
Disgorgement
Individual:
$50,000.00
Shared:
Civil Penalty
Individual:
$50,000.00
Shared:
Pre-Judgment Interest
Individual:
$6,914.56
Shared:
Other Defendants in Action:
