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SEC charges Marcum employee for quality control lapses in latest gatekeeper enforcement

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Photo: Alfred Gescheidt/Archive Photos/Getty Images

Julie DiMauro

3 min read
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Former executive at audit firm charged for failing to deal with deficiencies in quality control systems.

A former national office leader at audit firm Marcum LLP has been charged by the US SEC over quality control failures. The regulator said Alfonse Gregory Giugliano, a certified public accountant, failed to address and remediate deficiencies in the firm’s quality control system sufficiently.

Giugliano served as National Assurance Services

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