New York Notary Penalties and Misconduct — What Can Get Your Commission Revoked

How the State Handles Notary Misconduct

The Department of State's Division of Licensing Services oversees notary commissions. Under Executive Law § 130, the Secretary of State may suspend or remove a notary public for misconduct. Anyone who believes they are the victim of an untrustworthy or incompetent DOS licensee, or who is aware of unlicensed conduct, may file a complaint. Complaints can be submitted using the Preliminary Statement of Complaint (Form DOS-1507-f), by email or mail to the Complaint Review Office, or through government-agency referrals. Complaints can come from document signers, employers, attorneys, county clerks, or law enforcement.

Once a complaint is filed, the DOS investigates. If the evidence supports the allegation, the outcome can range from a formal warning to suspension or revocation of the commission. The severity depends on the nature of the misconduct, whether the notary was aware of the violation, and whether the violation caused harm to a third party.

A revoked commission ends the current appointment; any later application or review follows the DOS process.

The Most Serious Violation: Issuing a False Certificate

Under Penal Law § 175.40, a notary public who, as a public servant authorized to issue official certificates, knowingly issues a certificate containing false information with intent to defraud, deceive, or injure another person is guilty of issuing a false certificate, a Class E felony. This is not merely an administrative penalty — it is a criminal charge classified as a Class E felony.

A "false certificate" means the notary certifies something they know is untrue. Common scenarios include certifying that a signer appeared in person when they did not, back-dating a notarial certificate to a date when the notarization did not occur, or certifying the identity of a signer without actually verifying their identification.

This provision exists because notarized documents carry legal weight — courts, government agencies, financial institutions, and real estate recording offices rely on the notary's certification as a guarantee that proper procedures were followed. A false certificate undermines that entire system.

Unauthorized Practice of Law

Non-attorney notaries who draft, prepare, or modify legal documents cross from notarial service into the unauthorized practice of law (UPL). In New York, UPL violations can result in misdemeanor charges under Judiciary Law § 485, a civil enforcement action by the Attorney General under § 476-a, and commission suspension or removal under Executive Law § 130.

The line between notarizing and practicing law is clearer than most people think. You can notarize a power of attorney — meaning you verify the signer's identity and witness their signature. You cannot select which type of power of attorney the signer should use, explain what legal rights they are granting, or fill in the substantive terms of the document. The moment you start advising the signer about the content or legal effect of what they are signing, you have crossed the line.

This restriction is especially relevant for notaries who serve non-English-speaking communities. Translating a document's legal terms or explaining its consequences — even with good intentions — may constitute legal advice that only a licensed attorney can provide.

Notarizing Without Physical Presence

Performing a notarization when the signer is not physically present is illegal under New York law, unless the notary holds a separate electronic notary registration and is conducting a fully compliant remote online notarization session under Executive Law § 135-c.

"Not physically present" includes notarizing a document that someone dropped off at your office for signature later, notarizing over a regular phone call, or notarizing via a non-compliant video chat (FaceTime, Zoom without RON-compliant identity proofing). A false personal-appearance certificate is a felony under Penal Law § 175.40 only when the notary knowingly makes the false certification with intent to defraud, deceive, or injure another person.

Notarizing With a Conflict of Interest

Generally, a notary cannot take an acknowledgment when they are a party to or directly and pecuniarily interested in the transaction. Notarizing your own mortgage refinancing or a document that transfers property to you is prohibited. Executive Law § 138 provides a limited corporate exception: a notary who is a corporation's stockholder, director, officer, or employee may take an acknowledgment or proof of any party to an instrument executed to or by that corporation, unless the notary executes it individually or as the corporation's representative.

The conflict-of-interest prohibition generally applies when a notary has a direct financial or beneficial interest. Under Executive Law § 138, however, a notary who is a corporation's stockholder, director, officer, or employee may take acknowledgments or proofs of instruments executed to or by that corporation, unless the notary is a party executing the instrument individually or as the corporation's representative. Outside that exception, a notary's direct interest can create a violation even if their name does not appear on the document, potentially leading to commission discipline and civil liability.

Consequences Beyond the Commission

Notary misconduct in New York does not stop at commission revocation:

• Civil liability — under Executive Law § 135, a notary who engages in misconduct while performing notarial powers is liable to injured parties for damages sustained.
• Criminal prosecution — Executive Law § 135-a makes it a misdemeanor to hold oneself out as a notary without appointment, or for a notary to commit fraud or deceit not otherwise punished under that act. False certificates, UPL, and other fraud can result in misdemeanor or felony charges under the specific statutes that apply.
• Professional consequences — for notaries who also hold professional licenses (attorneys, real estate agents, insurance brokers), a notary misconduct finding can trigger disciplinary review by their professional licensing board.

How to Report Notary Misconduct

If you believe a notary has engaged in misconduct, you can file a complaint with the DOS Complaint Review Office by mail (PO Box 22001, Albany, NY 12201-2001) or by email ([email protected]). The complaint form — Preliminary Statement of Complaint, Form DOS-1507-f — is available on the DOS website.

For consumer fraud or deceptive practices, a separate complaint can be filed through the Division of Consumer Protection's Consumer Assistance Unit.

Understanding what can trigger penalties is part of responsible practice. The New York Notary Commission guide covers prohibited acts, compliance requirements, and the journal mandate alongside the commissioning process itself.

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