A CPA license defense lawyer can assist with ethics complaints, along with any other disciplinary action from the Texas State Board of Public Accountancy (TSBPA). Facing an ethics complaint or disciplinary action that threatens your Texas CPA or tax professional license is an incredibly high-stakes situation.
Not only does your very livelihood hang in the balance, but the repercussions of having your license suspended or revoked could irreparably tarnish your hard-earned reputation. In these circumstances, having an experienced Texas CPA license/tax license defense lawyer
provides invaluable protection and advocacy.
Understanding Common Ethics Violations and Complaints Against Licensed CPAs
As a CPA or tax professional, upholding ethical standards and public trust is paramount. However, even unintentional lapses can lead to conduct being called into question. Some of the most frequent ethics violations and complaints filed include:
- Negligence and substandard work: Failing to apply required professional standards and due care in areas like audits, reviews, financial statements, tax preparation, or other services. Careless or sloppy work that results in tangible harm to clients or the public.
- Breach of client confidentiality: Improperly disclosing confidential client information without permission or valid legal reasons. This violates a core duty of client privacy.
- Conflicts of interest: Representing clients with competing interests that could bias services or engaging in prohibited business relationships like joint ventures with attest clients.
- Dishonesty and criminal convictions: Many types of criminal offenses or dishonorable behaviors involving dishonesty, fraud, or breach of fiduciary duties are grounds for disciplinary action on character and integrity issues.
- Licensing violations: Failure to comply with CPE requirements, renew a license, or properly supervise unlicensed staff can trigger disciplinary proceedings.
The consequences of a successful complaint can range from public reprimands and costly fines to temporary license suspensions or even permanent revocation. These penalties underscore how vital it is to mount an aggressive legal defense. A Texas professional license defense lawyer can help if you face any of these complaints.
The Disciplinary Process for Texas CPAs Who Face Ethics Complaints
If a complaint raises legitimate concerns, the Texas State Board of Public Accountancy (TSBPA) has defined disciplinary procedures it must follow:
- Investigation: The TSBPA enforcement division conducts a full fact-finding inquiry, interviews witnesses, and gathers evidence related to the allegations.
- Settlement conference: Lower-level violations may be resolved through an informal settlement conference, during which the licensee can negotiate a consent order.
- Administrative hearing: For unresolved complaints, a formal administrative hearing is scheduled, during which both sides can present evidence and witnesses before an administrative law judge.
- Final order: After the hearing, the administrative judge issues a proposal for decision which the Board will evaluate in connection with issuing a final disciplinary order, which could include sanctions such as public reprimands, CPE, fines, and license suspension or revocation.
- Judicial Review: If the final order is disputed, a petition for judicial review can be made to have the judicial court system review the case.
Having a license defense lawyer who understands all facets of this complex process from day one is critical to protecting your license and livelihood.
Developing a Robust Defense Strategy
There is no one-size-fits-all defense approach for ethics complaints, which is why an experienced CPA license defense attorney thoroughly evaluates the specific circumstances to formulate the most effective legal strategy.
Key aspects can involve:
- Evidence assessment: A lawyer can carefully review all evidence and documentation the TSBPA or the IRS Office of Professional Responsibility (IRS OPR) is relying on for deficiencies, looking for evidentiary gaps or mitigating factors.
- Procedural errors: An attorney can identify instances where your due process rights were violated, or the oversight body potentially overstepped its jurisdiction or disciplinary scope.
- Rebuttal arguments: A lawyer can craft substantive arguments highlighting inconsistencies or factual or legal reasons why the complaint’s allegations are unfounded or overstated.
- Settlement negotiation: In cases with merit, a lawyer can explore opportunities for informal settlement or disciplinary terms that are more favorable for the licensee.
- Case preparation: If you are going to a formal State Office of Administrative Hearings (SOAH) hearing, an attorney can prepare witnesses, exhibits, expert testimony, and persuasive legal arguments.
- Judicial Review: Should an unfavorable ruling occur, a lawyer can explain the judicial review processes and how to craft judicial court arguments emphasizing errors made.
An ethical lapse doesn’t have to derail your career if promptly handled properly alongside committed legal counsel. You can hire a lawyer who knows how to defend your CPA license.
How an Ethics Complaint Can Impact Your CPA License and Career
While avoiding formal disciplinary actions like CPA license suspensions or revocations is the top priority, even filing an ethics complaint can severely damage your professional reputation and business operations.
Potential impacts include:
- Client relationships: Current clients may terminate services, questioning your ethics and competency. Prospective clients will likely take their business elsewhere after discovering allegations.
- Employment prospects: With background and disclosure requirements, other CPA firms, companies, or public agencies may be unwilling to hire or retain someone with disciplinary issues.
- Civil lawsuits: Dissatisfied clients could use an ethics violation as grounds to pursue civil claims for financial damages, errors, or negligence.
- Professional Standing: You may be stripped of leadership roles, organization memberships, credentials, or even expelled entirely from accounting associations.
- Criminal liability: State or federal criminal charges remain a possibility in egregious cases of fraud, breach of fiduciary duty, embezzlement or intentional statute or regulatory violations.
By engaging a qualified ethics defense lawyer early, you can work on mitigating the potential fallout and salvaging your hard-earned reputation before more permanent damage occurs.
Click to contact our professional license defense lawyers today
How a CPA License Defense Attorney Can Assist with Ethics Complaints
Not every law firm has the experience and practice area focus to defend accountants and tax professionals in ethics complaint cases properly. At Bertolino LLP, our attorneys have spent decades exclusively representing CPAs, EAs, and certified tax preparers facing disciplinary issues.
Our extensive backgrounds dealing with the TSBPA, IRS OPR, and other licensing agencies provide our clients with distinct advantages, including:
- In-depth regulatory knowledge: We maintain a comprehensive command of all state and federal accountancy laws, regulations, and professional conduct codes guiding ethics requirements.
- Proven disciplinary strategies: Having worked on innumerable cases, we deploy finely-tuned legal strategies tailored to the specific allegations and nuances of the complaint.
- Hearing experience: Our lawyers have a wealth of insights from actively participating in scores of administrative and disciplinary hearings over the years.
- Agency relationships: We frequently interact with regulators and staff from bodies like the TSBPA and IRS OPR, understanding their inner workings.
Simply put, leaving your career and livelihood to chance by not retaining license defense counsel is an imprudent risk no CPA or tax pro should take when their credentials are jeopardized. The experienced team at Bertolino LLP is well-equipped to handle these complex disciplinary matters and seek a favorable resolution.
Complete a Case Evaluation form now
Our CPA License Defense Law Firm Can Assist With Your Ethics Complaints—Call Us Now
Our attorneys’ sole focus is defending CPAs, enrolled agents, and other tax professionals against ethics violations, negligence claims, and accusations from the TSBPA or the IRS OPR.
We can assist in resolving ethics complaints, disciplinary hearings, and license defense matters to safeguard your professional standing. Call us now to learn more about how our law firm can help you.
Call or text (512) 476-5757 or complete a Case Evaluation form
