CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel...
-
Upload
anne-tracey-hampton -
Category
Documents
-
view
212 -
download
0
Transcript of CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel...
![Page 1: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/1.jpg)
CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES
Paul E. Pelletier, AUSA/SDFLSpecial Counsel for Litigation
Fraud Section [email protected]
![Page 2: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/2.jpg)
![Page 3: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/3.jpg)
THE CHALLENGE YOU FACE
![Page 4: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/4.jpg)
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?
![Page 5: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/5.jpg)
YOUR END GAME
Offshore Bank
Financial Criminal Foreign Country
Shell CorporationDomestic Bank
![Page 6: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/6.jpg)
Preliminary Questions
• Are you looking for:
– Money?
– Defendants?
– Both?
![Page 7: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/7.jpg)
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
![Page 8: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/8.jpg)
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
![Page 9: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/9.jpg)
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
![Page 10: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/10.jpg)
Organize Your Financial Evidence
![Page 11: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/11.jpg)
What vehicles are available to locate and seize assets abroad?
• Informal Methods
• MLATs
• Letters Rogatory• Multi-Lateral
Conventions
![Page 12: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/12.jpg)
Have you considered whether to use informal channels?
• Consider obtaining certified records via informal channels
• Use law enforcement contacts
![Page 13: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/13.jpg)
Is formal assistance required?
• May be cumbersome
• Remember to use TKELA
![Page 14: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/14.jpg)
Dealing With Cooperators
• Keep a Hammer Over Them
• Take Their Toys
• Never Lose Your Objectivity
![Page 15: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/15.jpg)
Keep Your Eye on the Prize:Distill Complex Evidence for Trial
![Page 16: CONDUCTING INVESTIGATIONS IN COMPLEX FINANCIAL CASES Paul E. Pelletier, AUSA/SDFL Special Counsel for Litigation Fraud Section Paul.Pelletier@usdoj.gov.](https://reader034.fdocuments.in/reader034/viewer/2022051820/56649f275503460f94c3fa86/html5/thumbnails/16.jpg)