Saturday, February 23, 2013 9:54:11 AM
There's no advantage to be gained by having an unlicensed auditor.
5. SWH’s license expired on January 31, 2010 and was not renewed until May
19, 2011. Scott Hatfield knew that SWH’s license had expired.
6. Scott Hatfield successfully renewed SWH’s firm license on May 19, 2011.
7. Between January 31, 2010 and May 19, 2011, while SWH’s public
accounting license was expired, SWH issued 38 audit reports that 21 issuers included in
periodic reports and registration statements filed with the Commission (see Appendix).
Scott Hatfield, as SWH’s sole proprietor, consented to the inclusion of SWH’s audit reports
in these filings. Issuers relied on SWH’s audit reports to, among other things, issue
securities. Scott Hatfield and SWH billed issuers $199,722 in connection with audits
conducted or completed while SWH’s license was expired.
http://www.sec.gov/litigation/admin/2012/34-67793.pdf
"If people let government decide what foods they eat and what medicines they take, their bodies will soon be in as sorry a state as are the souls of those who live under tyranny." - Thomas Jefferson
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