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NYC Accountant License Defense Attorney


NYC Accounting License Defense Attorneys

In New York, as well as all other states, all professions, including Accounting, are heavily regulated. Practice of Accounting in New York is regulated by the Office of the New York State Board for Public Accountancy. The Board is authorized by statute to administer and enforce the legal matters related to Certified Public Accountants (“CPA”) and/or Public Accountants (“PA”). This includes not only setting up educational and other requirements, but also conducting investigations of allegations of professional misconduct and enforcing professional discipline through the NYS Department of Education Office of Professional Discipline (OPD)

If you are a New York accountant and find yourself under investigation by the Board of Public Accountancy or the OPD you need an experienced New York accounting license defense attorney.

What Are The Examples of Professional Misconduct by Accountants

In New York, the statute creates a long list of activities that are considered professional misconduct and will subject violators to discipline.

The New York Board of Public Accountancy and the Office of Professional Discipline will investigate allegations of professional misconduct and impose disciplinary action for substantiated allegations of misconduct. In our practice, most accountants facing discipline have been investigated for the following allegations:

  • Fraudulent obtaining of a license or permit or in connection with the practice of accounting;
  • Criminal convictions of all types, but especially those involving fraud. This includes felony and misdemeanor convictions under state and federal law.
  • failing to comply with the mandatory continuing education requirements
  • Being barred from being an associated person for registered public accounting firm after a disciplinary action was commenced by the Public Company Accounting Oversight Board (PCAOB) where the conduct charged would, if committed in New York State, constitute professional misconduct in New York under the laws of New York State
  • Filing of or assisting with preparation of false or fraudulent documents and connected with the practice of accounting;
  • Failure to comply with established professional standards;
  • Practicing with expired license or registration;
  • Failure to respond to requests for information or to cooperate in a Board investigation;
  • Allowing unlicensed individuals perform accounting functions and failure to disclose or disclaim their license status
  • Engaging in false advertising illegal solicitation
  • The revocation, suspension, reprimand or other professional discipline in any other state or by a federal agency
  • Unlicensed Practice of Accountancy

How New York Accountants Can Be Investigated and Disciplined For Professional Misconduct

While the vast majority of accountants are highly trained and responsible professionals, they are not immune to allegations of professional misconduct. Although they may try their best to provide the professional service to their clients in a diligent and ethical manner, the sad fact is that a dissatisfied client, competitor, colleague, or employee can file a disciplinary complaint against the accountant, which will result in an investigation.

Each year, the OPD receives thousands of complaints. When the complaint is received, the agency assigns an investigator to look into the allegations. In some situations, if the investigator feels that the allegations may not be substantiated, the investigation will be terminated without any adverse consequences for the licensee. In other cases, however, if there is enough evidence to file disciplinary charges, the matter will be forwarded to the investigative committee that will determine the appropriate penalty offer. The license will have the option of negotiating the disposition on consent (similar to plea negotiations in criminal cases) or proceeding to a disciplinary hearing.

What To Do If You Are Under Investigation

All disciplinary matters begin with the initial investigation. Most licensee will be informed that they are the targets of the disciplinary investigation by a letter. The letter will ask the accountant to provide certain documents and/or attend an interview with the investigator. As a licensee, the accountant has a duty to cooperate with the investigation. Failure to do so may result in separate charges of misconduct. However, that usually applies to document and records production, not making statements to the investigators. We strongly advise targets of all government investigations to seek legal advice prior to making any statements to the investigators, however innocuous they may seem. Anything you say will be made part of the investigative file and will be used against you. We suggest retaining competent legal counsel as early as possible to deal with the Board on your behalf.

Many accountants who come under the OPD investigation feel that they can handle the case on their own. While at times it may work out, usually this is not the case. Professionals such as CPAs and PAs, who invested heavily in their education and career advancement, have a lot to loose if allegations of professional misconduct are substantiated. This includes not only serious harm to professional reputation but also the threat to the accountant’s very ability to earn a living.

The Department of Education may take several disciplinary actions against accountants, including license revocation and suspension, probation, censure and reprimand, limit the scope of practice, and imposing fines.

The Spodek Law Group is a top and greatest rated professional license defense law firm. When you get your license , your hard work has paid off and you have finished a rigorous education. You’ve passed your licensing examination, and obtained your license . Unfortunately, you’re now under a disciplinary or criminal investigation for misconduct or another crime. Being charged with a crime can ruin your professional career, your finances, and standing.

In scenarios such as this, you need the Spodek Law Group. If you’re under investigation and your license is at risk of being revoked or suspended, you might want to speak to a professional license defense attorney immediately. You should speak to a license defense law firm immediately because if you are convicted, you could never practice again.

Matters that place your professional license at risk

There are many activities which can set a professional license in danger. These actions can vary from misconduct in the work place, to fraud and other offenses . Below are common examples of illegal activities that can put your professional license at risk:

Practicing under influence of drugs
Insurance Fraud
Domestic Violence

When situations arise, you require a license defense lawyer to help protect your rights. Our license defense lawyers can assist you at every phase of the process. Even after you’ve worked so hard to earn your license, the simple fact is the government has the ability to take it away. They have the power to take away all of your future earning potential. It’s critical you hire an attorney at stages like this. This can happen either through the licensing board, the state authorities, or through the national government. Each of these entities has the power to perform investigations which can result in either disciplinary actions, or criminal charges, which may activate either a suspension or revocation of your license.

Whatever the situation is, we fight hard for you and protect you from aggressive government actions. We work hard every day to protect licensed professionals from government investigations and government activities.

Being a licensed professional means you adhere to a set of responsibilities and levels of behavior, and ahve an obligation to follow standard of professional acceptance. The reason you’re being investigated is because it’s alleged you failed to do so. Failure to perform according to those requirements is deemed professional misconduct and can lead to disciplinary action.

Legal defenses
Professionals often don’t fully understand the effect a conviction can happen when charged with a misdemeanor, or felony. Criminal convictions can end your career. Whether you’re facing a DUI, drug charge, Domestic Violence, harassment, or another crime – you need an aggressive lawyer to assist you. When you hire an experienced license defense lawyer, he or she will work with you to avoid disciplinary actions or criminal convictions. When you’re being researched your first step should be to hire a lawyer. You should avoid speaking to any investigator. Our license defense attorneys work tirelessly to protect your rights.

Along with disciplinary action, you could be sentenced to jail time, face fines, and community service.

Authorities believe a professional license is a privilege, not a right
Your ability to practice is a privilege, not a right. If the government tries to take it away, you need to defend yourself. If your license is suspended, the suspension takes effect immediately. It means your main source of income is cut away. It is important to reach out to our attorneys as soon as possible.

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