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CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES

CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES. Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov. THE CHALLENGE YOU FACE. At Inception: Assess Your Investigative Strategy ?.

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CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES

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  1. CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov

  2. THE CHALLENGE YOU FACE

  3. At Inception: Assess Your Investigative Strategy ? • Do Not Automatically Accept the Proposed Framework of the Case • Independently Assess Scope of the Enterprise • What is Your End Game?

  4. YOUR END GAME Financial Criminal Foreign Country Offshore Bank Shell Corporation Domestic Bank

  5. Preliminary Questions • Are you looking for: • Money? • Defendants? • Both?

  6. Investigative Strategy May Be Defined By Overt/Covert Nature of Investigation • If Covert, Investigative Options Are Limited • Traditional Methods: -Wiretaps -Consensual Monitoring • Non-Traditional: -Sneak & Peek Searches -Desk Top Searches -Proactive Use of Cooperators -Trash Runs

  7. Consider Type of Evidence Your Seeking Domestic & Foreign Business/Financial Records: -Public records -Files/Computers/Ledgers First Hand Evidence: -Wiretaps -Co-conspirator Testimony Hard Asset Evidence -Seizures -Real Personal Property

  8. Business/Financial Record Searches • Don’t wait for your someone else to do the job • Let your fingers do the walking: Use the Internet • Computer searches

  9. Organize Your Financial Evidence

  10. What vehicles are available to locate and seize assets abroad? • Informal Methods • MLATs • Letters Rogatory • Multi-Lateral Conventions

  11. Have you considered whether to use informal channels? • Consider obtaining certified records via informal channels • Use law enforcement contacts

  12. Is formal assistance required? • May be cumbersome • Remember to use TKELA

  13. Dealing With Cooperators • Keep a Hammer Over Them • Take Their Toys • Never Lose Your Objectivity

  14. Keep Your Eye on the Prize:Distill Complex Evidence for Trial

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