Investigation Info Sources/Financial Analysis Flashcards
metasearch
instead of getting results from one search engine, getting the best combined search results from a variety of engines
guidestar.org
gathers and publicizes info about NPOs; can access NPOs IRS Form 990
archive.org
Wayback Machine - part of archive.org; it is a 501(c)(3) founded to build an internet library with purpose of offering permanent access of records in digital format. (includes texts, audio, images, software, etc)
Dun & Bradstreet
provides insight on businesses. Contains more than 140 million records.
To contract/get grants from US Gov, required to have DUNS number.
DUNS # is unique 9 digit sequence recognized as universal standard for identifying & keeping track of businesses worldwide.
County Probate Records (Indexes):
Associated to county’s Clerk of Court
Lists administrators, guardians & beneficiaries concerning trusts, wills & inventory of estates
Actions listed alphabetically, by name of estate or petitioner, and w/ filing date & docket #
May list causes of action and rulings regarding an estate and status of potential beneficiaries
May lead to personal identifiers, aliases, address history & past/current family relationships, leads to undisclosed assets
Limited Liability Company (LLC)
business structure where owners have limited personal liability for debts and actions of LLC
Secretary of State Records
identification info on all corporations incorporated or doing business in the state. Records will show: Corp. officers or partners Address Date of incorporation Registered agent Current standing Corp list - annual filings Initial charter filings Info on partnership and professional associations formed in the state
Uniform Commercial Code (UCC Index)
liens secured by personal property (all property not considered real estate)
what info will UCC index show?
Name identifiers (SSN) Lines of credit by banks & amount Associates Names of debtors Undisclosed assets Financial statements
State Vital Statistics Bureau:
records that provide info on births, deaths & adoptions
bankruptcy records
maintain info on actual bankruptcy, and info on assets & creditors
Supervised by and litigated in U.S. Bankruptcy courts
May provide starting point for net worth purposes, lead to creditors & hidden assets
Financial Crimes Enforcement Network (FinCEN)
agency designated by Congress for the central collection, analysis, and dissemination of data obtained pursuant to the Bank Secrecy Act (BSA)
Access to BSA data by fed, state & local LE
Helps with anti-money laundering & financial crimes investigations nationwide
currency transaction report (CTR)
Banks, casinos & other financial institutions are required to file a CTR when they are involved in a transaction with a customer involving currency more than $10,000.
examples of other financial institutions
Banks Depository institutions Brokers or dealers in securities Money transmitters Currency exchangers or dealers Check cashers Issuers & seelers of money orders, travelers checks Telegraph company USPS
when does a financial institution need to file CTR with FinCEN?
within 15 days of transaction date; need to file if within same day, same person deposited or received more than 10k at same FI
IRS/FinCEN Form 8300
Report of Cash Payments over $10,000 received in a Trade of Business
Requires trade or business that receives more than $10,000 in cash in one transaction or two+ related actions within a 12 month period
Must file with IRS within 15 days after currency was received
Trade/business includes: auto dealers, boat dealers, jewelers, pawnshops, real estate brokers, bail bondsmen, and attorneys
National Crime Information Center (NCIC)
computerized information system containing documented criminal justice info. In all 50 US states, DC, & US possessions/territories
Contains info on wanted persons, missing persons & stolen property.
Recently, files include individuals who may pose a danger to others
Operated and maintained by DOJ
National Law Enforcement Telecommunications System (NLETS)
International Justice & Public Safety Network -
Operated and controlled by individual states
Networking system that makes certain state & local data from all 50 states, DC, US possessions/territories & Canada available to legitimate users.
Provide LEO with drivers’ licence & vehicle registration data
who maintains system integrity and security for NCIC and Nlets systems?
DOJ contributes and delegated day to day operations to the FBI
-computer edits rejects certain types of data, automated purges of records, quality control checks by FBI, validation of records
what is Originating Agency Identifier (ORI)
ORI 9 character idenfier assigned by NCIC to agency to identify agency in NCIC system
what is ORI File?
ORI File maintains pertinent info on virtually every CJ agency in the US, Puerto Rico & US Virgin Islands as well as certain foreign CJ agencies
wanted person file
contains records on individuals for whom a felony, serious misdemeanor, or federal warrant is outstanding as well as parole & probation violators
foreign fugitive file
permits INTERPOL office to enter records for fugitives who are wanted in other countries for crimes that would be considered felonies if committed in the US and who are subjects of red or blue notices
red notice
provisional warrant or to seek the arrest of wanted persons with a view to extradition
blue notice
used to collect additional info about a persons identity or activities in relation to a crime
NCIC/Nlets Hit Confirmation
any agency that receives a record in response to an NCIC/Nlets inquiry must confirm the “hit” on the record - hit must be made prior to taking any action such as arrest, detaining, seizing property
Guarantee a 24-hour a day hit confirmation availability
priority 1 hit confirmation
urgent - confirm hit within 10 minutes
priority 2
routine - confirm hit within 1 hour
offline search
special technique used to obtain info from NCIC that cannot be obtained from an online inquiry. Results may provide valuable info such as:
Transaction Log: reveals whether LE inquiries were made on a person, or property for a specified timeframe (i.e during traffic stop)
Purged Records: can determine if a property item theft was entered and then removed due to its retention expiration or removed b a specific ORI
case management system
used to facilitate reporting, gather statistical data, conduct supervisory reviews, analyze crime trends, etc.
case organization
relates to investigators availity to effectively and efficiently identify what they have (reports, evidence, etc.) and where they obtained it.
challenges for LEO without case org. system
Losing sight of investigative focus
Expending more time & effort with little result
Inability to properly present investigative efforts to judicial or administrative authorities
Failure to identify evidence b/c of volume of material
Failure to build a prosecutable case within the statute of limitations
Subjects receives a more lenient penalty and/or jail time
Primary reason to use an automated investigative record keeping program is that it allows investigators to access, organize and track items. Info included in electronic inventory:
MOIs, documents, photos, SW inventory, subpoenaed documents
Investigative plans, interviews, record checks
Admin. Items
Requests for information, op plans, contact reports, etc.
what is IFI?
investigative file inventory - electronic case organization method using a spreadsheet
what does IFI contain?
Witness 1 - primary witness (person interviewed) identifies who can testify to an evidentiary item
Witness 2 - secondary witness (agent who conducted interview) - identifies a 2nd person who can testify
Keyword Description: keyword description of item (MOI, Trash Pull,etc)
Date - date agent received item or conducted interview
Hyperlink - link to digital image of item
Relevant info - agent notes that summarize evidentiary value of the item
