Prospective Client/ Client Continuation Report Strategies

Report Elements Level I Level II Level III
Address History and Social Security Number Trace (additional fee if not provided)
Corporate Records
Business Information Report
Media Sources
Company Web Site Review
Civil Litigation Records
Criminal Felony Records
Federal Court – Civil Records
Federal Court – Criminal Records
Bankruptcy Records
Tax Lien Records – Federal, State and County
Judgment Records – Debtor
Uniform Commercial Code (UCC) Tax Lien and Judgment Records
Public Company Accounting Oversight Board (PCAOB) Disciplinary Records
Federal Securities & Self-Regulatory Organization (SEC, FINRA, CFTC & NFA) Registration and Violation Records
State Department of Securities Registration and Violation Records
State Insurance Regulators
Regulators of Banks, Savings Associations and Credit Unions (federal and local)
United States Postal Service False Representation Orders
Federal Excluded Parties Index
International Fraud and Politically Exposed Persons (PEPs) Database; includes records from the Office of Foreign Assets Control (OFAC)
Professional License/Certificate/Membership Verification (U.S. institutions)
Education Verification (Highest degree, U.S. Institutions)


Fees are based on record searches of one subject (company or individual) in one jurisdiction and a 10-year scope.
“Jurisdiction” refers to a geographical area, such as a county or federal district, within which a legal body/court
adjudicates cases.

Supplemental Elements

Consumer Credit Report (signed release required)
Industry-Specific Regulatory Authority Records
ADV Form Retrieval/Information
Professional License/Certificate/Membership Verification (U.S. entities)
Education Verification (highest degree, post high-school, U.S. institutions)
International Professional License/Certificate Verification
International Education Verification
Driving Record (signed release required)
Property Records
Document Retrieval
Additional Court Jurisdictions
Civil Litigation Records
Criminal Felony Records
Criminal Misdemeanor Records
Federal Court – Civil Records
Federal Court – Criminal Records
Bankruptcy, Tax Lien, Judgment Records

Other Fees

Searches of names other than those provided by the subject or appearing on a driver’s license or state identification card will incur additional charges that will be determined on a case-by-case basis.

A surcharge is applied for subjects with residential and/or employment jurisdictions in the state of New York, which mandates that criminal searches be conducted on a statewide basis through the Office of Court Administration.

Search strategies may be customized to attain client objectives, and will be priced on a case-by-case basis.

Court records search scope:
Level II: seven years;
Level III: 10 years (one jurisdiction)

Standard turnaround time:
Level I:  five business days;
Levels II and III:  eight business days.

Expedited turnaround time: 25-percent surcharge of total fee.

Notification of negative findings is provided immediately upon identification with the subject.