Midterm

Question 1

CWB

Answer 1

Counterproductive Workplace Behavior

Question 2

Mens Reya

Answer 2

Guilty Mind

Question 3

Actus Reyus

Answer 3

Active Crime

Question 4

Sentiment Analysis

Answer 4

How to gage the mentality of a group i.e. is it good, bad indifferent?

Question 5

Proxy Server

Answer 5

Makes it look like IP addresses are coming from multiple locations all over the place

Question 6

ROI

Answer 6

Report of Investigation
Final work product of any case - one of 3 recomendations
-to change
-not to change
-more information needed

Question 7

[sic]

Answer 7

Latin for “not my mistake”

Question 8

MOA

Answer 8

Memoranda of Activity
-Any investigative activity that you do that is not an interview
-Every action needs to be documented

Question 9

Merrit Garland

Answer 9

Current Attorney General
Head of the FBI

Question 10

Postal Service

Answer 10

Has two parts
1. US Postal Inspection Service - lead by the postmaster general
2. Office of inspector general(OIG) - acts as internal affairs for postal inspectors

Question 11

Sanctions

Answer 11

Law or executive order that prevents US citizens from doing business with a person group or country

Law - International Emergency Economic Powers act- Created in the shadow of WWII - Allies were becoming frenemies

subject to the determination of the president

Executive order - designates the specific person org or country

Question 12

SDN

Answer 12

Specially Designated National

Question 13

OFAC

Answer 13

Office of Foreign Asset Control

Now makes the designation of SDN’s

Question 14

Elder Abuse

Answer 14

1 in 10 older adults experience abuse

1 out of 2 adults with cognitive impairment experience abuse

1 in 24 cases of elder abuse are reported

Older adults abused have a 3x higher risk of death compared to those who have not been mistreated

Question 15

MMSE

Answer 15

Mini Mental State Examination

Question 16

Incredited investors

Answer 16

Over $1 million of assets to be able to invest

Question 17

Naked shorting

Answer 17

Don’t even own the stock when agreeing to sell in the future

Question 18

Leverage

Answer 18

based on how much skin you have in the game

Question 19

IRR

Answer 19

Interest Rate Risk

Question 20

CAM

Answer 20

Critical Audit Matter - Auditor to identify in the report critical items where the judgement of the public auditor could be wrong

Question 21

Moral Hazard

Answer 21

Moral hazard is a concept used in economics, finance, and insurance to describe a situation where one party can take risks because it does not have to suffer the full consequences of those risks. In other words, when individuals or institutions are protected from the negative outcomes of their actions, they may be more inclined to engage in riskier behavior

Question 22

Blue Sky Laws

Answer 22

State Security Laws

Question 23

Deconfliction

Answer 23

might have multiple agencies working on the same thing

Question 24

Hearsay

Answer 24

Out of Court Statement
Offered for the truth
by a declarant that is not in court

Question 25

Cold Wallet

Answer 25

Airgapped

not attached to the interweb, usually a USB or portable hard drive with spinning disk

Question 26

Hot Wallet

Answer 26

Plugged into the interweb, agencies can gain access to the money

Question 27

PCR Scale

Answer 27

Test for Psyhcopaths

Question 28

Anti-Deficiency Act

Answer 28

Crime for any federal employee or person to use or spend govt funds when they haven’t been authorized for use

Question 29

war driving

Answer 29

driving around searching for unsecured networks or networks with easy passwords

Question 30

Arbitrage

Answer 30

Access to information legally earlier than other people

Question 31

Bates Numbers

Answer 31

Every piece of evidence had a number

Question 32

ACE

Answer 32

Access Data Certified Examiner

Question 33

LIBOR

Answer 33

London Inter Bank Overnight Rate

Question 34

Types of Power

Answer 34

Reward Power
Coercive Power
Expert Power
Legitimate Power
Referent Power

Question 35

Orgs fight fraud by implementing

Answer 35

1. Fraud Prevention
2. Early Fraud Detection
3. Fraud investigation
4. Legal follow up and/or Resolution

Question 36

AAR

Answer 36

After Action Reports

Question 37

3 Primary ways to detect fraud

Answer 37

1. By Chance
2. By providing “Whistleblowing”
3. By Data Mining

Question 38

Predication

Answer 38

refers to circumstances taken as a whole that would lead a reasonable, prudent professional to believe a fraud has occurred, is occurring, or will occur

Question 39

Civil

Answer 39

-To recover money or assets stolen
-rare with employment fraud
-more common when other orgs are involved
-may sue the auditors or others with deep pockets

Question 40

Criminal

Answer 40

-only be brought by law enforcement
-usually fines, prison terms or both
-more difficult to get a criminal conviction than a judgement in a criminal case

Question 41

Alford Plea

Answer 41

is a legal concept in criminal law where a defendant pleads guilty to a crime while maintaining their innocence or without admitting guilt. In an Alford plea, the defendant acknowledges that there is enough evidence to potentially convict them at trial, and they choose to accept a plea deal or a guilty plea as a means of reducing the potential consequences of going to trial and risking a more severe sentence.

Question 42

What is the difference between civil and criminal laws?

Answer 42

The law that handles infringements of communal nature associated with society’s harm is known as criminal law, where as civil law is the law that protects the right and duties of an individual

Question 43

Evidence Square

Answer 43

Testimonial Evidences - from a third party
Documentary Evidences - collected from written documents
Physical Evidences - from the objects and the area of theft
Personal Observations - collected by the investigation team

Question 44

Civil Litigation Process

Answer 44

Every Civil case involves 4 basic stages

1. Investigation and pleadings
2. Discovery
3. Motion practice and negotiation
4. Trial and appeal

Question 45

Components of Criminal Litigation Process

Answer 45

Filing criminal charges
Arresting and charging the defendant
Preliminary hearings
Grand Jury
Arraignment
Discovery
Pretrial Motions
Trial and Appeal

Question 46

Arresting for a crime occurs in 3 ways

Answer 46

1. Arrest without a warrant by a private citizen or police office who observes a crime being committed
2. Arrest after a warrant has been issued(obtaining a warrant requires a preliminary showing or probable cause)
3. Arrest after and indictment by the grand jury(the purpose of the grant jury is to determine whether probable cause exists; grand jury indictments are generally used in fraud cases)

Question 47

4th Amendment

Answer 47

Requires that probable cause exist before a defendant is arrested or searched.

Question 48

5th Amendment

Answer 48

Requires an indictment of a grand jury before a defendant is held for a capital crime
* Precludes a person from being tried twice for the same crime.
* Gives the defendant the right to refuse to incriminate himself or herself
* Requires the state to apply due process of law
* Forbids the state from taking a private party’s property without just compensation

Question 49

Grand Jury

Answer 49

• A grand jury is a body of 16 to 23 people, selected from the community, who are
  sworn as jurors and deliberate in secret.
• Grand jurors listen to evidence presented by witnesses and prosecutors.
• Because a preliminary hearing is an opportunity for the defendant to obtain
  discovery of the prosecution’s case without disclosing its evidence, the
  prosecution generally prefers to obtain a grand jury indictment.
• Defendants do not have a right to be notified that a grand jury is considering
  evidence against them.
• At trial, the defendant will have the Sixth Amendment protections denied during
  the grand jury process.

Question 50

Sixth Amendment Protections

Answer 50

• The Sixth Amendment protections relate only to trials.
• This amendment provides the defendant with the following rights:
• Receive a speedy and public trial
• Be heard by an impartial jury
• Have a trial held in the state and district in which the crime was committed
• Be informed of the accusation
• Confront witnesses against him or her
• Compel witnesses to attend the trial
• Be represented by legal counsel

Question 51

Arraignment

Answer 51

Generally, in a fraud trial, the grand jury will hear evidence of wrongdoing before
the defendant is in custody.
* Once the defendant is indicted, he or she will receive summons to attend an
arraignment that includes the time and place to appear.
* Alternatively, the defendant may be arrested and brought to the arraignment.
* At arraignment, charges against the defendant are read.
* Defendant may plead guilty, not guilty, or nolo contendere.

Question 52

Pretrial Motions

Answer 52

• Before a criminal trial, the defendant can file motions with the court.
• Two motions that are frequently made include the following:
• A request that the charges be dismissed as a matter of law
• A request to suppress certain evidence because it was illegally obtained

Question 53

Expert Witnessing

Answer 53

• An expert witness is a person whose opinion, by virtue of education, training,
  certification, skills, or experience, is accepted by the judge as an expert in a court
  case or tribunal.
• An expert witness is the only witness who can render an opinion (as opposed to
  stating facts) in a legal case.
• Experts are qualified by the judge to render an expert opinion through a process
  called voir dire.

Question 54

DOs and DON’Ts at Deposition or Trial

Answer 54

1. Do listen carefully and concentrate on each question.
2. Do think about the question and digest it before attempting to respond; don’t give snap answers.
3. Don’t try to guess or bluff your way through an answer. If you do not know the answer to a
   question or do not understand the question, say so.
4. Do restrict your answer to the question asked; don’t editorialize your answer or volunteer
   information.
5. Don’t respond to statements or observations, only to questions.
6. Do answer questions convincingly; don’t repeatedly attempt to hedge your answers or be
   overcautious.
7. Don’t memorize answers to questions you expect to be asked; do phrase your response in your
   own words.
8. Do answer questions honestly; don’t attempt to figure out what the best answer to each question
   might be.
9. Do speak out the answer to each question. Body language, such as hand signals or nods, cannot be
   recorded by the stenographer.
10. Do be cautious before answering any hypothetical question and make sure you understand the
    assumptions, and then spell them out as part of your answer.
11. Do try to “read messages” intended by objections to questions by the lawyer with whom you are
    working. His or her objection may be designed to caution you about some risk or problem with the
    question.
12. Don’t hesitate to take the time necessary to review exhibits presented to you before responding
    to questions based on them.
13. Do explain all assumptions on which your conclusions are based and do be prepared for opposing
    counsel to attack them.

Question 55

Additional DOs and DON’Ts at Trial

Answer 55

1. Do be mindful that your personal characteristics and professionalism may influence the jury as
   much as or even more than the substantive content of your testimony.
2. Do be yourself; jurors are apt to sense when you are not being natural.
3. Do your best to appear authoritative, credible, businesslike, serious, assertive, polite, assured,
   self-confident, sincere, candid, forthright, fair, and spontaneous.
4. Don’t appear pompous, aggressive, insincere, or unfair.
5. Do remember that you are independent—avoid bias or unnecessary advocacy of the client’s
   position.
6. Do focus on the lawyer asking the questions, but remember to look at and direct your answers to
   the jury as well. Don’t overlook the reactions of the jurors to your answers; do try to be
   responsive to their nonverbal signals.
7. Do correct any errors you make as soon as you can.
8. Do tailor your answers to the jury’s educational level and do your best to speak in plain English;
   don’t use technical terms that laypeople will not understand.
9. Don’t bore the jury; try to speak with clarity and feeling and avoid long, overly detailed answers.
10. Don’t hesitate to raise your voice; pause or use some other natural gesture to emphasize an
    important point.
11. Do speak just loud enough and just fast enough to be comfortably understood by the jury.
12. Don’t bring notes, work papers, or other material to the witness stand unless counsel for your
    side approves.
13. Don’t try to play lawyer while on the stand. Your job is to answer the questions honestly and
    responsively; counsel for your side will take care of the legal matters.
14. Don’t look to counsel for your side or the judge or anyone else to bail you out if a question
    stumps you or you otherwise get yourself into a hole.

Question 56

DOs and DON’Ts in Cross-examination

Answer 56

1. Don’t lose your temper or become angry or antagonistic; do recognize that it is opposing
   counsel’s job to attempt to discredit you.
2. Don’t be concerned if opposing counsel scores points, which is entirely to be expected when your
   side relinquishes the offensive to the other side; all you can do is try to keep the damage to
   minimum.
3. Don’t quibble unduly or become argumentative with opposing counsel.
4. Don’t respond evasively or ambiguously to questions, no matter how difficult they may be.
5. Do be extra careful if opposing counsel takes on friendly air, which may be tactic designed solely
   to catch you off guard.
6. Don’t become hostile if opposing counsel tries to bully you. Jurors are likely to respect you for not
   becoming unduly perturbed and to sympathize with you if you get “beat up.”
7. Do resist responding with simple yes or no answers that may be misleading without some
   qualification or explanation. Either provide the qualification or explanation directly by responding
   “yes, but” or “no, but” or request the opportunity to do so.
8. Do your best to recognize signals, such as careless answers, that you may be getting tired or
   losing your competitive edge. It is advisable in such situation to indicate the need for break.
9. Don’t allow opposing counsel to entice you into answering questions that concern matters
   outside your area of expertise.
10. Do maintain the position you took in your direct testimony.
11. Don’t allow opposing counsel to con you into an advocacy role; unduly taking your client’s side
    can cause you to lose your independence in the eyes of the jury.

Question 57

Interrogatory

Answer 57

A series of written questions that specifically identifies information needed from the opposing party.