Evidence Gathering in a Fraud Investigation

Why Should You Attend:

For corporate management it is increasingly important to recognize and then initiate and oversee the investigation of possible fraud schemes. The existence of, and need to investigate, possible fraud schemes raises unique operational, supervisory, financial and compliance issues for corporate employees in the financial, internal audit or operational fields. Primary among these concerns is the need to conduct a fraud investigation in a way that is credible but yet adequately protects the company’s legitimate confidentiality interests. This requires properly planning the investigation and then carrying it out by selecting and then appropriately executing effective investigative techniques.

This webinar will discuss how to maximize an investigation’s credibility by properly organizing the investigation and then carrying it out via targeted, thorough and responsible evidence gathering. Attendees will understand the strategic and tactical considerations in planning a fraud investigation as well as what evidence-gathering techniques exist and when and how they should be employed. By attending this webinar attendees will help their corporate employers or clients deal responsibly with the ever-growing risk posed to every company by fraudulent schemes, whether committed against, through or by the company.

Areas Covered in the Webinar:

• Discussion of available investigative techniques in an internal investigation.
• Evidence-gathering challenges and solutions.
• Whether and how to use outside counsel in an internal investigation.
• How to ensure the credibility of an internal investigation.
• How to preserve confidentiality and the attorney-client privilege in an internal investigation.
• How to locate and preserve relevant (hard copy and electronic) documents in an investigation.
• How to conduct effective witness interviews.
• How to draft effective interview reports.
• How to draft comprehensive investigative reports.
• Whether and how to report evidence of fraud to law-enforcement authorities.

Who Will Benefit:

• Corporate Financial Management
• Corporate Operations Management
• Corporate Compliance Personnel
• Internal Auditors
• Staff with roles and responsibilities in compliance departments
• Staff with roles and responsibilities in risk assessment departments

Eli J Richardson
Member, Bass Berry and Sims PLC

Eli J. Richardson, is a Member of Bass, Berry & Sims PLC, based in the firm’s Nashville office and practicing in its Compliance and Government Investigations practice group. Eli concentrates on white-collar criminal and quasi-criminal matters. His practice encompasses conducting internal investigations, advising on compliance matters, and defending corporate and individual clients under investigation by the Department of Justice, the Securities and Exchange Commission, various Offices of Inspector General, and other federal and state enforcement agencies.

Eli has more than 20 years of legal experience, including an extensive background in government enforcement and regulatory matters. He has served in high-profile positions with the Department of Justice (DOJ), the United States Attorney’s Office for the Middle District of Tennessee, and the Federal Bureau of Investigation (FBI).

Prior to joining Bass, Berry & Sims, Eli was DOJ’s Resident Legal Advisor to Serbia, providing training, advice, and legislation-drafting assistance to Serbian judges, police, and prosecutors on matters involving organized crime, corruption, criminal procedure, and war crimes. He was the U.S. government’s primary liaison to key Serbian prosecutors, judges and Justice Ministry officials. In addition, during 2010 he served as an anti-corruption expert monitor for the Organisation for Economic Cooperation and Development (OECD). Eli was an Assistant U.S. Attorney in the United States Attorney’s Office for the Middle District of Tennessee from 2004 to 2009, focusing largely on corruption matters while also serving as Anti-terrorism Coordinator, then Deputy Criminal Chief, and finally Criminal Chief. He was honored with the Director’s Award in December 2009 for superior performance by an Assistant U.S. Attorney. From 2002 to 2004, Eli served as an Assistant U.S. Attorney in the United States Attorney’s Office for the District of New Jersey. Prior to that, he spent four years as a Special Agent with the FBI in New Jersey, focusing on corruption and terrorism matters.

He began his legal career with six years in private practice. He received his J.D. from Vanderbilt University and his undergraduate degree from Duke University. He is an adjunct instructor of trial advocacy at Belmont College of Law and a frequent speaker on topics relating to white-collar government enforcement. He has published extensively in law reviews and legal practice publications.

Topic Background:

Allegations and other signs of fraud are commonplace throughout the corporate landscape. Fraud can be committed upon a company rendering the company a victim of fraud. Conversely, fraud can also be committed by a company’s employees and agents thus potentially rendering the company itself liable as a perpetrator of fraud. Either way it is crucial for companies to properly investigate indications of fraud whenever they appear. This entails structuring the investigation appropriately and then collecting available evidence to determine the nature and extent of any fraud that has been committed.

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