Forgery in New York

What puts a person or entity at risk of prosecution?

In New York, a person is guilty of forgery in the first degree when he or she intends to “defraud, deceive or injure another” and so creates a document or asset that purports to be:

Money, stamps, securities or other valuable government instruments or assets; or
Stock, bonds or other valuable corporate instruments or assets.

Actions related to forgery, which can range from misdemeanor forgery in the third degree to class C felony forgery in the first degree above, are defined under New York Penal Codes § 170.05 – § 170.65.

To better understand, if you insert a false name on a legal document or create a document that purports to represent a legal claim, you are at risk of prosecution. Similarly, if you falsely sign a valuable asset such as a check or a piece of art, you put yourself at risk of prosecution, as well.

Examples of Forgery

The following are examples of situations where charges of forgery might be filed:

Example 1. You altered another person’s will in order to benefit. In other words, you inserted yourself or someone else as a beneficiary. You could be at risk of being charged with forgery.

Example 2. You falsified a physician’s signature on a prescription or falsified the entire prescription in order to get medications – generally controlled substances. In this case, you could also risk a forgery charge.

Example 3. You falsified an artist’s signature or logo on an existing artwork or one that you created in order to represent it as genuine. You could be prosecuted for forgery.

Example 4. You changed or altered immigration documents in order to modify your legal status to remain in the United States. This could also put you at risk for forgery charges.

The Legal Definition of Forgery

N.Y. Penal Codes § 170.05 – § 170.65 lay out the legal definitions of various forms of forgery. The base case of forgery generally is a forgery in the third degree, which is a Class A misdemeanor.

According to N.Y. Penal Law § 170.05, an individual is legally guilty of forgery in the third degree when he or she “falsely makes, completes or alters a written instrument” “with intent” to deceive.

Note the use of the word “intent.” We’ll discuss its importance later. Most potential charges related to forgery incorporate the base case. However, depending on the financial cost of the damage inflicted on another party, it can get much worse.

In fact, forgery can rise to the level of the first or second degree, which carries significantly higher penalties than forgery in the third degree. Specifically, you face heightened penalties if the material you forged:

Constitute deeds, government-issued IDs, public records, prescriptions – this usually leads to charges of second-degree forgery

Constitute currency, securities, stocks or bonds – this usually leads to charges of first-degree forgery

Elements of Forgery

The “elements” of forgery are what the prosecutor must prove for you to be found guilty of this crime. Essentially, for a defendant to be convicted in a trial for forgery under N.Y. Penal Law § 170.05 – N.Y. Penal Law § 170.65, all the following must be true:

You must have created, modified, used, or owned false material in an attempt to deceive another party in order to benefit.
The forged document must also have legal significance.
The material must have been modified or created in a meaningful way in order to appear genuine and represent something it is not.
You must have intended to defraud or cheat another party.

Let’s dig deeper in order to gain a clearer understanding of the meaning of these elements.

Element #1: Deliberately committing the offense in order to benefit.

To find an individual guilty of forgery, the prosecutor must prove that the individual deliberately changed a document in order to benefit. Thus, if you place a false statement into a letter, but it does not alter the letter’s meaning to your benefit, it would not be considered forgery under the legal definition.

Moreover, merely possessing a forged document does not equate to forgery under this element if you did not know that the document was forged.

For example, you are brokering the sale of an asset, and you process a forged check as payment. You are not criminally liable unless you knew that the check had been forged.

Another example. In People v. Johnson, the defendant presented a check that was payable to another person, Ronald Doty, and which Ronald Doty seemingly had endorsed. The defendant also used Ronald Doty’s check cashing card. The check was issued by Flower City Building Services and signed by Raymond F. Levitt.

The prosecutor established that the check was one of several blank checks that had been stolen from Flower City and that the signature was false, as no one named Raymond F. Levitt had ever worked at Flower City.

Moreover, Ronald Doty testified that he had no knowledge regarding the check and that prior to the incident; he had reported his customer check cashing card missing. The prosecution had sufficient evidence to show that the defendant had knowledge of the forged nature of the instrument in his possession (i.e., the check).

Element #2: Material must have legal significance.

Material with legal significance, according to the penal code, includes deeds, wills, codicils, contracts, credit cards or other items that show, transfer, terminate or impact a legal right, interest, obligation or status.

It could also include a prescription or a public record or material of value that can be used in lieu of money. This element has been interpreted broadly, as we will see in a case involving concert tickets.

Element #3: Fabrication or alteration must be meaningful.

Simply falsifying a letter or document does not constitute forgery unless the alteration or creation of the document is sufficiently meaningful so that the material appears genuine enough to deceive and defraud another person or entity.

Element #4: Intention to deceive.

The use of the word “intent” is key. To be specific, simply falsifying a document does not constitute forgery unless the person does so with the intent to defraud.

Related Offenses

Charges of Forgery could be pursued instead of or in addition to charges of certain other related offenses, including those listed below:

Related Offense #1: Forgery of a vehicle identification number

According to N.Y. Penal Code § 170.65, a person is guilty of forgery of a vehicle identification number, which is a class E felony, when the individual knowingly:

Removes a vehicle identification number label, sticker or plate from the vehicle;
Destroys or alters a vehicle number, label, sticker or plate unless the individual has done so in compliance with the relevant regulations;
Places a vehicle identification number on a vehicle unless it is done so in compliance with the relevant regulations;
Manufactures or reproduces a vehicle identification number label, sticker or plate which was not made by the vehicle manufacturer in compliance with the relevant regulations, with intent to defraud

Related Offense #2: Criminal possession of forgery devices

According to N.Y. Penal Code § 170.40, which is considered a class D felony, an individual is guilty of criminal possession of forgery devices when he or she:

Knowingly makes or owns any equipment designed specifically to use in counterfeiting or forging written instruments; or
Makes or owns any equipment that can be adapted “with intent” to use for counterfeiting or forgery

What are some of the essential and impactful cases?

There are several noteworthy cases that can help better understand forgery charges in New York.

In the 1986 case of People v Dunn, the prosecutor alleged that the defendant represented himself under an alias in order to acquire $5,000 in travelers’ checks. He used the checks by signing an alias. The defendant was charged with three counts of forgery in the second degree and three counts of criminal possession of a forged instrument in the second degree.

In People v Roberts, the defendant was accused of trying to buy in excess of $1,000 worth of merchandise in a New York City store using a credit card and driver’s license that each featured the same alias. He was charged and convicted of one count of identity theft in the second degree (Penal Law § 190.79) and two counts of criminal possession of a forged instrument in the second degree.

In People v Mitchell, the prosecution charged the defendant with attempting to purchase items using a counterfeit $20 bill. The police were called, and the defendant was arrested. The police found that the defendant possessed five such counterfeit $20 bills on his person. Thus, he was charged with five counts of possession of a forged instrument. The jury convicted of one count and acquitted on the other four. The prosecutor recommended a prison sentence of 5 to 10 years of incarceration.

In People v Watts, the defendant was accused of selling counterfeit concert tickets and charged with multiple counts of criminal possession of a forged instrument in the second degree. On appeal, the Supreme Court agreed that a concert ticket does “affect a legal right, interest, obligation or status,” because it “grants the right to enter the venue and view the performance to the holder.”

All of these cases help shed light on the manner in which forgery is prosecuted in New York.

What agencies detect, investigate, and prosecute Forgery?

Forgery is investigated and prosecuted by numerous agencies.

For instance, in People v Mitchell noted above, the police were able to reach the scene swiftly and collect essential evidence. Local law enforcement – the police or county sheriff’s office – will generally assist in the collection of evidence. In addition to their ability to be onsite quickly, they also have tools to investigate and seize evidence, such as search warrants, preservation letters, subpoenas, and forensic programs.

Sometimes, a company that has uncovered forgery will conduct an internal investigation and then turn evidence over to local law enforcement. If the evidence warrants an arrest, that also generally falls to the local law enforcement agency, although sometimes the Federal Bureau of Investigation gets involved, as well. Even if the alleged crime originates in New York, victims in other states and jurisdictions are sometimes impacted.

In some cases depending on the forged instrument and the locations of the alleged crime, the Department of Treasury, Secret Service, Internal Revenue Service and/or United States Postal Service might also get involved.

Once an arrest has been made, if the evidence is sufficient, the local prosecutor will then charge the defendant with the crime. This includes the State’s Office of the Attorney General or the Federal Office of the Attorney General.

What are the statutory penalties if you are convicted of this crime?

Penalties for Violating N.Y. Penal Law § 170.05:

Forgery in the third degree is often the base case. It is generally charged as a Class A misdemeanor, with potential penalties that can include up to $1,000 in fines, and up to one-year imprisonment.

Many potential charges related to forgery incorporate forgery in the third degree, but it can get much worse from there, depending on the financial cost of the damage caused to another party. Forgery can rise to the level of the first or second degree, and charges often can include criminal possession of forgery devices (think of a forged check), as well.

These charges generally carry higher penalties than forgery in the third degree. You need a rigorous defense to try to avoid or mitigate these charges. We outline the associated punishments below.

Forgery in the second degree (§ 170.1)
- Class D felony.
- Sentence of up to 7 years in prison
- Fines up to $5,000 or 2x the amount of the gain from commission of the forgery
Forgery in the first degree (§ 170.15) is even more serious.
- Class C felony
- Incarceration of up to 15 years in prison.
- Fines of up to the higher of $5,000 or 2x the gain from commission of the forgery
Criminal possession of forgery devices (§ 170.4), is a Class D felony, and penalties can include:
- Sentence of up to 7 years in prison
- Probation of up to 7 years
- Fines
- Community service
Forgery of a vehicle identification number
- Class E felony

Forgery in the third degree is often the base case. It is generally charged as a Class A misdemeanor, with potential penalties that can include up to $1,000 in fines, and up to one-year imprisonment.

These charges generally carry higher penalties than forgery in the third degree. You need a rigorous defense to try to avoid or mitigate these charges. We outline the associated punishments below.

Forgery in the second degree (§ 170.1)
- Class D felony.
- Sentence of up to 7 years in prison
- Fines up to $5,000 or 2x the amount of the gain from commission of the forgery
Forgery in the first degree (§ 170.15) is even more serious.
- Class C felony
- Incarceration of up to 15 years in prison.
- Fines of up to the higher of $5,000 or 2x the gain from commission of the forgery
Criminal possession of forgery devices (§ 170.4), is a Class D felony, and penalties can include:
- Sentence of up to 7 years in prison
- Probation of up to 7 years
- Fines
- Community service
Forgery of a vehicle identification number
- Class E felony
- Sentence of up to 4 years in prison

What are some of the additional consequences of being convicted?

If you are convicted of forgery or a related crime, you will face serious additional consequences, as well as financial penalties and potential incarceration. Beyond facing up to 15 years in a state penitentiary, your reputation will be tarnished – perhaps permanently. A conviction often makes it difficult to obtain employment. If you hold state or federal licenses, you risk losing them.

Felony convictions are very serious. Unless records are sealed, they are a permanent “flag” that follow people for the rest of their lives. Individuals are barred from voting while in prison and on parole. They are ineligible for enlistment in the U.S. Armed Forces.

If incarcerated for more than 15 months, a foster care agency could seek termination of your parental rights. You will be prohibited from possessing a firearm indefinitely. These are all serious consequences, and if you want to protect your rights, you must do everything possible to fight a conviction.

Who are at risk of being deported if they are convicted?

Moreover, immigrants or individuals holding green cards are at risk of being deported if they are convicted of a “crime of moral turpitude” or CMT. This is a murky area, as CMTs are not well-defined under U.S. immigration law, but crimes involving dishonesty and theft can rise to the level of CMT.

Legal Defenses to Forgery

While these are considered “white collar” crimes, law enforcement and prosecutors pursue these cases vigorously.

You do not want to go to prison or pay a fine. You certainly don’t want a conviction for forgery on your record. It will make it difficult to find work and people may start to associate you with this crime for the foreseeable future, if not forever.

There are several powerful legal defenses you can use to fight these charges. These defenses rely upon negating parts of the statute. They include:

Lack of intent to defraud
Lack of knowledge that an instrument was forged
Mental disease or defect
The defendant is a minor (for individuals under the age of 16)

Defense #1: No intent to defraud

N.Y. Penal Law refers to someone who “intentionally” changes material to cheat someone else. Mere falsifying a document does not constitute forgery unless you did it to cheat another person or entity. So a potential defense is that the defendant believed he or she had authority to sign another person’s the name.

Defense #2: No knowledge that the item was forged

N.Y. Penal Law refers to someone who “knowingly” forges material. Thus, another possible defense is that the defendant had no knowledge that the document or item was forged. Just possessing a forged document does not constitute forgery without knowledge that the material or document was false.

Defense #3: Mental disease or defect

Another possible defense is that the defendant was not fully cognizant of his actions at the time. The defense could argue that the defendant is not responsible for his or her actions because of an episodic or persistent mental disease that existed at the time.

Defense #4: Defendant is a minor (for individuals under the age of 16)

This defense is self-explanatory and only pertains to defendants who are not yet 16 years old.

Call us for help

For questions about N.Y. Penal Law § 170.05 – N.Y. Penal Law § 170.65, and forgery, or to discuss your case with one of our criminal defense attorneys, do not hesitate to contact us. The discussion will be kept in the strictest confidence. Forgery carries the possibility of up to 15 years in prison with numerous other consequences, so you do not want to face these charges without professional legal counsel.

An experienced attorney can help you during every step of the way, from the initial interrogation with the police and negotiations with the investigator and prosecutor and with a trial if your case advances to that. A professional attorney can be critical in helping you devise a strong defense strategy.

If you have been charged with forgery or someone you love faces these charges, you should do everything you can to defend yourself. Your reputation, your freedom, and your livelihood are at stake. Our organization has a strong track record of defending clients against forgery charges. We understand how to provide you or your loved ones with the best chances of successfully defending against any forgery charges that might arise. Please consult one of our professional attorneys located in our local law offices in your area. They are there to help you or your loved ones clear your name and fight these charges.

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