Notice to the secretary of state when false financing statement filed
§ 440.70 Notice to the secretary of state when false financing statement
filed.
Upon conviction of any person for a crime where the defendant intentionally filed or caused to be filed a financing statement pursuant to article nine of the uniform commercial code on form UCC1 that falsely claims that a person is indebted or obligated to such defendant, the court wherein such conviction is entered, or the clerk thereof, shall issue and cause to be filed a certificate with the New York secretary of state: (a) certifying that a judgment of conviction has been entered in such court against the defendant who was listed as the secured party in such form; and (b) specifying the date and location of the filing, any filing or indexing number assigned to such filing, the debtor named in such statement, and a description of the collateral encumbered by the instrument.
On conviction where the defendant intentionally filed a false UCC1 financing statement (UCC art. 9) falsely claiming someone owes them, the court or clerk must file a certificate with the NY Secretary of State certifying the conviction and specifying the filing's date/location, any filing/index number, the named debtor, and the collateral described. ★
★ Exam hits:
§ 440.10 = vacate the conviction, any time, off-record grounds (jurisdiction, fraud, false evidence, mental incapacity, newly discovered evidence, DNA, constitutional violations, trafficking victim). § 440.20 = set aside an illegal sentence, any time. Sentence-only issues go to 440.20, not 440.10.
§ 440.10 has MUST-deny (subd. 2 — already decided on appeal, or reviewable on a pending appeal) and MAY-deny (subd. 3 — could-have-raised-it) rules; ineffective-assistance and trafficking claims are carved out.
§ 440.30 hearing: defendant bears the burden by a preponderance of the evidence. Court must grant without hearing on conceded/documented facts; may deny without hearing in the listed situations. DNA/property requests carry a 5-year limit (tolled 5 years if in custody).
People's sentence motion (§ 440.40) has a 1-year deadline; a harsher resentence auto-extends the defendant's appeal time.
Resentencing tracks: § 440.46 class B drug felonies pre-1/13/2005 (excludes violent-felony predicates within 10 years); § 440.46-a marihuana (auto-vacate + petition, presumptions rebutted by clear and convincing evidence); § 440.47 DV survivors — 8-year term, § 60.12, two corroborating pieces (one official).
Notice duties: victim letter within 60 days (violent felony / art. 125 / art. 130) — § 440.50; Education Dept on a licensee felony — § 440.55; probation-director → DA on invalid probation — § 440.60; child protective services — § 440.65; Secretary of State on false UCC1 — § 440.70 (filed by the court or clerk).
Verbatim statute: CPL - Article 440
Marked in the text: penalties, time limits, sums of money. Editorial emphasis added by this edition; it does not appear in the statute as enacted.
In print
This provision appears in Volume 3 — The JG-22 Criminal Procedure Law and in Volume 1 — The JG-22 in Plain English.