Penal Code 115 PC – Filing False Documents

Penal Code 115 PC is the California statute that makes it a crime knowingly to file, register or record a false or forged document with a government office in the state.¹

Probably the most common form of this California fraud crime is the filing of false or forged real estate deeds or deeds of trust—a variation on the crime of real estate fraud.²

However, you may be accused of filing false documents for filing, recording or registering virtually any kind of false or forged document in a California public office.³

Examples

Here are some examples of situations where defendants could be charged with filing a false document under Penal Code 115:

• A woman forges a notarized deed transferring ownership of her elderly father’s house to her and files it with the county clerk.
• A house painter, angry with one of his clients, creates a fraudulent mechanic’s lien for money the client does not actually owe him and files it with the county clerk.
• The owner of a fishing boat files false fishing activity records with the California Department of Fish and Wildlife.

Penalties

Filing false or forged documents is a California felony.⁴

The potential penalties include sixteen (16) months, two (2) years or three (3) years in California state prison, and/or a fine of up to ten thousand dollars ($10,000).⁵

You may also face an additional fine of up to seventy-five thousand dollars ($75,000) if the alleged false document affects title to or places an encumbrance or mortgage on a single-family residence.⁶

In addition, filing false or fraudulent documents could be considered a crime of moral turpitude—which means that a conviction for PC 115 may have immigration consequences for non-citizen defendants.⁷

Legal defenses

If you or a loved one is charged with filing a false document, you will certainly benefit from the help of an experienced criminal defense attorney who can help you assert one of the following common legal defenses:

• You had consent to file the document;
• You didn’t know that the document was false or forged; and/or
• You were falsely accused.

In order to help you better understand the law, our California criminal defense attorneys will address the following:

• 1. Legal Definition of Filing False Documents
• 2. Penalties
  • 2.1. Sentence enhancements
  • 2.2. Immigration consequences of a filing false documents conviction
• 3. Legal Defenses 
• 4. Related Offenses
  • 4.1. Senior fraud
  • 4.2. PC 470 forgery
  • 4.3. PC 118 perjury
  • 4.4. VC 10501 false reports of auto theft

If, after reading this article, you would like more information, we invite you to contact us at Shouse Law Group.

California Penal Code 115 PC makes it a crime to knowingly file, register or record a false or forged document with a government office in the state.

1. Legal Definition of Filing False Documents

The legal definition of California Penal Code 115 filing a false or forged document consists of the following “elements of the crime” (that is, facts that the prosecutor must prove in order for you to be guilty of this offense):

1. You either a) offered a false or forged document for filing, recording or registration in a public office in California, or b) caused a false or forged document to be filed, recorded or registered in a public office in California;
2. When you did so, you knew that the document was false or forged; and
3. The document was one that, if genuine, could have been filed, recorded or registered in a California public office.⁸

Let’s take a closer look at these elements in order to better understand how the legal definition of filing false documents works.

Offered or causing a document to be filed

You can be found guilty of filing false documents if you either:

1. Offer a document for filing, recording or registration; or
2. Cause a document to be filed, recorded or registered.⁹

“Offering” a document simply means that you present it to a government office to be filed, recorded or registered. If it does not actually get filed, you could still be convicted of PC 115 (as opposed to the lesser offense of attempting to file a false document).

Example: Araceli goes to the county clerk’s office in her rural county to record a real estate deed. The deed is signed and notarized and transfers some land owned by Araceli’s mother to Araceli herself.

But the county clerk is suspicious because he knows that Araceli and her mother haven’t spoken in years. So he calls the notary public whose seal is on the deed. The notary claims that she did not actually notarize this deed and her seal and signature must have been forged.

Upon hearing this, the county clerk does not record the deed. Instead, he contacts the police.

Araceli can be convicted of filing a false document even though she did not succeed in getting the deed recorded—because she offered the deed for recording in a government office.

You violate California Penal Code 115 when you either present for filing, or cause to be filed, a false or forged document.

You can also be convicted of filing false or forged papers if you cause a document to be filed, recorded or registered. This means that you do not need to have done the filing yourself—you can cause someone else to do it for you.¹⁰

Example: Scott runs a foreclosure fraud scheme targeting immigrants whose English is poor and who are behind on their mortgage payments. He tells his victims that he will help them avoid foreclosure by negotiating reduced payments with their bank.

Scott presents documents for his victims to sign and claims that these simply give him permission to negotiate with the bank on their behalf. In fact these documents are deeds that transfer ownership of the victims’ homes to Scott.

Scott works closely with his secretary Michelle, who is a notary. She travels with Scott to his victims’ homes and notarizes the deeds that they sign. Then what typically happens is that Michelle will drive the victim to the county clerk’s office, without Scott, and she and the victim will file the deed together.

Scott is not actually filing the false deeds himself. But he is still guilty of Penal Code 115 PC filing false deeds, because he causes Michelle and the victims to do the filing.

False or forged documents

Penal Code 115 PC applies to a broad range of documents that may be filed or recorded in government offices.¹¹

Specifically, California’s law against filing false instruments applies to any false or forged document if either of the following is true:

1. The information contained in the document is of such a nature that the government is required or permitted by law to rely on it; or
2. The information contained in the document materially affects the rights of third parties, in a way that is contemplated by the law or regulation providing for the document to be filed in a public office.¹²

It is common for filing false documents cases to involve mortgage fraud.

According to City of Orange fraud crimes defense attorney John Murray¹³:

“The classic PC 115 case involves real estate documents like title deeds or deeds of trust. But the fact is that prosecutors can charge you with filing false instruments over pretty much any kind of document that is commonly filed or recorded with a government office. The penalties under this statute are pretty tough, and in recent years prosecutors have been relying on it in a wider variety of cases.”

Here are some examples, drawn from actual cases, of less-intuitive uses of PC 115 to prosecute defendants:

Example: Mike and his ex-girlfriend Donna have a rocky relationship, and each has accused the other of domestic abuse.

Mike persuades a family law judge to issue him a temporary restraining order that will prevent Donna from contacting or harassing him. Mike is responsible for filing the order with the marshal’s office. On his way there, he alters the TRO to add the additional condition that Donna’s new boyfriend Paul stay away from both him and Donna.

The marshal suspects that the altered TRO has been tampered with and contacts the police instead of serving it on Donna and Paul.

Mike is guilty of California Penal Code 115 filing false documents for filing an altered (forged) TRO with the marshal’s office.¹⁴

Example: After pleading guilty to a California misdemeanor, Iris is placed on misdemeanor (summary) probation. One of the conditions of her probation is that she perform a specified number of community service hours.

Iris is referred to a community service center for this requirement. It turns out that this center has earned a reputation for filling out forms for probationers claiming that they have completed community service hours that they haven’t actually completed.

Iris happily makes use of this service. She repeatedly files with the probation office forms stating that she has performed volunteer work that she hasn’t actually performed.

Iris can be found guilty of filing false documents under California Penal Code 115 for submitting these documents.¹⁵

Knowing that the document was false or forged

You are not guilty of filing a false or forged document unless you knew that the document was false or forged.¹⁶

This is often the hardest element to prove in a Penal Code 115 PC case. Without knowledge, there is no guilt.

Example: Let’s return to the example of Scott above. Scott runs a foreclosure fraud scam that involves persuading people facing foreclosure to sign over title to their property.

Scott’s secretary Michelle is usually the one who actually records the deeds. But Michelle’s English is not particularly good, and she does not know that the documents she is recording are anything other than what Scott says they are.

If Michelle is charged with filing false documents, she can probably fight the charges by arguing that she did not record the deeds knowingly.

You are only guilty of recording a false or forged document if you knew the document was false or forged.

2. Penalties

Filing false documents is a California felony. The potential penalties are:

• Felony (formal) probation;
• Sixteen (16) months, two (2) years or three (3) years in California state prison; and/or
• A fine of up to ten thousand dollars ($10,000).¹⁷

It is important to note that you can be charged with a separate count of filing false documents for each document you offer for filing/recording. This is true even if the documents are closely related to each other.¹⁸

AND you will not be eligible to receive a sentence of probation if either of the following are true:

1. You have a prior conviction for violating California Penal Code 115 PC; or
2. You are convicted of more than one count of PC 115, and your actions resulted in a total loss to a victim or victims of more than one hundred thousand dollars ($100,000).¹⁹

2.1. Sentence enhancements

There are a number of sentence—and fine—enhancements that could apply to a PC 115 conviction.

First, if the false or forged document affects title to or places an encumbrance or mortgage on a single-family residence with up to four (4) residential units, then you may face an additional fine of up to seventy-five thousand dollars ($75,000).²⁰

Second, if your actions end up depriving a victim or victims of more than sixty-five thousand dollars ($65,000)—and the prosecutor can prove that you intended to cause that loss—then you may face an additional and consecutive sentence of one (1) to four (4) years in prison.²¹

Third, you will face California’s so-called “aggravated white collar crime enhancement” if all of the following are true:

1. You are convicted of two (2) or more felonies involving fraud or embezzlement (one of which can be PC 115 filing false or forged documents) in the same criminal proceeding;
2. The felonies are part of a pattern of related criminal conduct;
3. The felonies are committed either against two (2) or more separate victims, or against the same victim on two (2) or more separate occasions; and
4. Your actions are alleged to have deprived the victim or victims of more than one hundred thousand dollars ($100,000).²²

This aggravated white collar crime enhancement can lead to an additional one (1) to five (5) years in state prison, and/or an additional fine of as much as five hundred thousand dollars ($500,000) or double the amount of the fraud (whichever is greater).²³

Filing false documents with intent to defraud is a crime of moral turpitude.

2.2. Immigration consequences of a filing false documents conviction

If the prosecutor can prove that you acted with “intent to defraud,” then a conviction for filing a false or forged document will be considered a crime involving moral turpitude.²⁴

This means that defendants who are not American citizens may face immigration consequences if they are convicted of PC 115 filing a false instrument.

Specifically:

• You may face deportation if you are convicted of filing false documents with intent to defraud within five (5) years of being admitted to the United States;²⁵
• You may face deportation if you are convicted of Penal Code 115 with intent to defraud and you already have a conviction for another “crime involving moral turpitude” on your record;²⁶ and
• You will be deemed “inadmissible” for only one conviction of a crime of moral turpitude, no matter when it occurs. Being “inadmissible” means that you cannot re-enter the country after leaving, become a U.S. citizen, or apply for a green card.²⁷

In addition, a conviction for a crime of moral turpitude can have serious consequences for your professional license if you are in certain professions (such as lawyer, doctor, etc.).

Consent to file the document is a potential defense to filing false document charges.

3. Legal Defenses

Fortunately, there are a variety of legal defenses to filing forged documents charges that an experienced fraud crimes defense attorney can assert on your behalf. Some of the most common include:

You had consent to file the document

Many Penal Code 115 PC cases involve allegations that the defendant tricked an unsophisticated homeowner into signing a deed to his/her property, or even forged the homeowner’s signature on a deed. In these cases the homeowner is often an elderly or disabled person.

But even though the situation may look suspicious, that doesn’t mean that there really was any wrongdoing involved. In many of these cases, the homeowner actually did consent to the defendant recording the deed. But maybe s/he then forgot about that consent, or was convinced by a friend or relative to rescind it.

In any event, if you recorded a property document with the consent of the owner—or what you believed to be the consent of the owner—you should not be convicted of filing a false document.

You didn’t know that the document was false or forged

As we discussed above, knowledge is a key element of the crime of filing false instruments.²⁸ If the prosecutor can’t prove that you knew the document was false or forged, you are not guilty of this offense.

This defense can be especially useful in cases where employees are charged for alleged fraud schemes spearheaded by their employers. Very often people who are just doing their jobs have no idea that they are doing something that could break the law.

You were falsely accused

In our experience, it is shockingly common for people to be accused of crimes they did not commit. Filing false documents is no different. Business or property disputes, or family drama, often lead to one person out-and-out lying about the actions or intentions of someone else.

If you find yourself a victim of false accusations, your best move is to contact an experienced criminal defense attorney immediately. S/he will know how to investigate the situation thoroughly and make sure the true story comes out.

Senior fraud/financial elder abuse is often charged along with filing false documents.

4. Related Offenses

Related offenses that are often charged along with—or instead of—Penal Code 115 PC filing false documents include:

4.1. Senior fraud

Fraud crimes—also known as “financial abuse”—against people who are sixty-five (65) or older are addressed by California’s “senior fraud” laws (Penal Code 368 PC).²⁹

It is very common for filing false documents cases to involve alleged victims who are 65 or older. In these cases, the defendant is often charged both under Penal Code 115 PC and under Penal Code 368 PC.

In cases involving alleged fraud worth more than $950, senior fraud is what is known as a “wobbler” in California law. This means that it may be charged as either a misdemeanor or a felony, at the prosecutor’s discretion.

When charged as a felony, senior fraud carries a potential prison sentence of two (2), three (3) or four (4) years.³⁰

4.2. PC 470 forgery

Penal Code 470 PC California forgery is the act of doing any of the following with intent to commit a fraud:

• Signing someone else’s name;
• Faking a seal or someone else’s handwriting;
• Changing or falsifying a legal document; or
• Faking, altering or presenting as genuine a false financial document.³¹

So if you forge someone’s signature or seal on a recordable document, or alter a recordable document, and then present it to a government office for recording/filing—you are likely to be charged with both filing a false document and forgery.

Forgery is a wobbler. The potential felony sentence is sixteen (16) months, two (2) years or three (3) years.³²

4.3. PC 118 perjury

You commit Penal Code 118 PC perjury when you deliberately give false information while under oath.³³

You could be charged with both perjury and filing false documents if you knowingly provide incorrect information on a government document and then attempt to file or record it with a public office.

Perjury is a felony and carries a potential sentence of two (2), three (3) or four (4) years.³⁴

4.4. VC 10501 false reports of auto theft

Vehicle Code 10501 VC false reports of auto theft is the crime of making or filing a false report of a stolen vehicle to a law enforcement agency, with intent to deceive. For first offenders, this crime is a misdemeanor.³⁵

When a defendant files a false written report of an auto theft with a law enforcement agency, his or her behavior will meet the legal definition of both filing false documents and filing a false report of vehicle theft. But California courts have decided that s/he may only be charged with false reports of vehicle theft--a less serious offense.³⁶

For additional help…

Contact us for help.

For questions about the California crime of filing a false document, or to discuss your case confidentially with one of our California criminal defense attorneys, do not hesitate to contact us at Shouse Law Group.

We have local criminal law offices in and around Los Angeles, San Diego, Orange County, Riverside, San Bernardino, Ventura, San Jose, Oakland, the San Francisco Bay area, and several nearby cities.

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