BACKGROUND INVESTIGATIONS & PRE-EMPLOYMENT
These are the issues we typically examine during a background investigation of an individual whether it is in the context of an investment being contemplated by a venture capital or private equity fund or a potential C-level hire by an employer:
• pending and closed federal and state civil litigation and criminal prosecutions;
• judgments, liens, including UCC financing statements, and bankruptcies;
• disciplinary and enforcement actions instituted by regulatory and licensing agencies;
• filings made by the individual with regulatory agencies (e.g., Forms D and Forms 3,4 & 5 filed with the SEC);
• current and former business affiliations;
• newspaper, magazine and trade journal articles, press releases, blogs, videos, interviews and social media comments made by and about the individual;
• analysis of credit histories;
• review of driving record;
• confirmation of education, professional credentials and licensing; and
• domestic (OFAC) and foreign Watch List checks.
We check for litigation in courts of general and limited jurisdiction, and if we find litigation, we provide an analysis of the key claims asserted and the damages sought, the replies set out in answers and counterclaims and other pleadings, and the disposition of the case if it is not pending.
We provide similar analyses for any matters we identify that require clarification. We also investigate any specific issues of concern to our clients.
• pending and closed federal and state civil litigation and criminal prosecutions;
• judgments, liens, including UCC financing statements, and bankruptcies;
• disciplinary and enforcement actions instituted by regulatory and licensing agencies;
• filings made by the individual with regulatory agencies (e.g., Forms D and Forms 3,4 & 5 filed with the SEC);
• current and former business affiliations;
• newspaper, magazine and trade journal articles, press releases, blogs, videos, interviews and social media comments made by and about the individual;
• analysis of credit histories;
• review of driving record;
• confirmation of education, professional credentials and licensing; and
• domestic (OFAC) and foreign Watch List checks.
We check for litigation in courts of general and limited jurisdiction, and if we find litigation, we provide an analysis of the key claims asserted and the damages sought, the replies set out in answers and counterclaims and other pleadings, and the disposition of the case if it is not pending.
We provide similar analyses for any matters we identify that require clarification. We also investigate any specific issues of concern to our clients.