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DOJ Archives

Californian Convicted of Filing False Tax Returns

A resident of Saratoga, California, was recently convicted of filing false tax returns and making false statements to an Internal Revenue Service (IRS) agent during an audit. The taxpayer, who owns part of a home-based international trading business, failed to report profits related to sales to China during 2006 and 2007, and he made false statements concerning ownership of foreign bank accounts.

California Resident May Face Ten Years in Prison for Conspiring to File Fraudulent Tax Returns

On April 18, 2018, Ana Bajo, a California resident, pleaded guilty in the Northern District of California to conspiring to file fraudulent claims for more than $9.7 million in refunds by obtaining the personal information of others and filing more than 2,300 fraudulent income tax returns with her co-conspirators. The Internal Revenue Service (IRS) paid over more than $7.5 million as a result of the scheme. Bajo now faces a maximum of ten years in prison, plus supervised release, restitution, and monetary penalties. Her sentencing is scheduled for September 26, 2018.

DOJ Shuts Down Southern California Tax Return Preparer

The Department of Justice has permanently barred a Southern California tax preparer from preparing federal returns for others, following a complaint filed by the government that the tax professional had been filing returns claiming a total of more than $9 million in fraudulent refunds since at least 2009. She agreed to the injunction and pleaded guilty to conspiracy to file false, fictitious, and fraudulent claims, tax evasion, and aggravated identity theft.

Employment Tax Crimes Can Lead to Significant Prison Time

The Department of Justice recently reminded taxpayers that evading personal or business-related tax obligations can lead to "substantial fines and penalties, and even long prison sentences." Last month, the husband-and-wife owners of a Tennessee staffing company were sentenced to 75 months and one year, respectively, of prison time for failure to pay over $2.8 million in employment-related taxes and withholdings, and for filing false employment tax returns.

California Shareholder in Prison for Filing False Returns

On October 6, 2017, Shiv D. Kumar, the sole shareholder of a California transportation company that serves disabled individuals, was sentenced to 30 months in prison for filing false corporate returns. The Department of Justice found that Kumar provided his accountant with false books and records, leading to the underreporting of the business' income to the IRS by over $2 million per year in 2009 and 2010.

What Does a San Jose Priest Have in Common with Al Capone? Prison!

No one is beyond the certainty of taxes, as a priest for the Roman Catholic Diocese of San Jose, California, discovered last week. Hien Minh Nguyen was sentenced to 36 months in prison for taking cash and checks donated to the Diocese by parishioners and depositing them into his personal bank account to pay for personal expenses. The court found that the priest embezzled a total of $1.4 million from the Catholic Church and, by concealing the embezzlement from his return preparer, evaded over $500,000 in income taxes owed to the IRS.

DOJ Still Prosecuting Tax Cheats in U.S. and Abroad

Susanne D. Rüegg Meier, a citizen and resident of Switzerland, pleaded guilty on July 19, 2017, to conspiring with U.S. taxpayers and other Swiss bankers to defraud the United States as the head of a team of bankers for Credit Suisse AG between 2002 and 2011. She was responsible for the accounts of over 1,000 clients and handled approximately $400 million in assets. Her conduct led to an estimated U.S. tax loss of between $3.5 and $9.5 million. Sentencing in this case is scheduled for early September 2017; Rüegg Meier faces a maximum of five years in prison, a period of supervised release, and restitution penalties.

New DOJ Charging and Sentencing Policy

On May 10, 2017, U.S. Attorney General Jeff Sessions issued a memorandum to all Federal prosecutors, laying out the core principles of charging and sentencing policy for the Department of Justice under the Trump Administration. Namely, prosecutors have been instructed to "charge and pursue the most serious, readily provable offense" and "disclose to the sentencing court all facts that impact the sentencing guidelines or mandatory minimum sentences." Exceptions to the "strict application" of these guidelines must be clearly documented and then approved by a U.S. Attorney, Assistant Attorney General, or designated supervisor. This new policy memorandum explicitly rescinds certain policies set forth by the Obama Administration.

UBS Provides Foreign Records to IRS

The US Department of Justice recently determined that the Singapore affiliate of UBS (UBS AG) "has complied with an Internal Revenue Service (IRS) summons for bank records" related to a taxpayer whose liabilities are at issue. The international financial institution refused to produce the records when first served the summons. After a petition was filed to enforce the summons formally, UBS and the IRS resolved the matter amicably and the petition was voluntarily dismissed.

Department of Justice Reaches Its Final Non-Prosecution Agreement in the Swiss Bank Program

On January 27, 2016, the Department of Justice announced that it reached its final non-prosecution agreement under Category 2 of the Swiss Bank Program with HSZH Verwaltungs AG (HSZH). The department has executed agreements with 80 banks since March 30, 2015, when it announced the first Swiss Bank Program non-prosecution agreement with BSI SA.

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