BUSINESS BACKGROUND / CREDIT UNDERWRITING STRATEGIES

Report ElementsLevel ILevel IILevel IIILevel IV
Address History and Social Security Number Trace✓✓✓✓
Corporate Records✓✓✓
Fictitious Business Name Statements✓✓✓
Securities and Exchange Commission (SEC) Proxy Statements for Officer/Director Affiliation Records✓
Media Sources✓✓✓
Civil Litigation Records✓✓✓✓
Criminal Felony Records✓✓✓✓
Criminal Misdemeanor Records✓✓✓✓
Federal Court – Civil Records✓✓✓✓
National Criminal Database Records✓✓✓✓
Bankruptcy Records✓✓✓✓
Tax Lien Records – Federal, State & County✓✓✓✓
Judgment Records – Debtor✓✓✓✓
Uniform Commercial Code (UCC) Tax Lien and Judgment Records✓✓✓✓
County Recorder’s Index✓✓✓
Federal Securities and Self-Regulatory Organization (SEC, FINRA, CFTC & NFA) Registration and Violation Records✓✓
State Department of Securities Registration and Violation Records State Insurance Regulators✓✓
Dodd-Frank: SEC Rule 506 Exemption Disqualifying Event Records✓
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)✓
Nationwide Sex Offender Registry Records✓✓✓✓
Panama Papers Records✓✓✓

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.

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

Search strategies may be customized to attain client’s objectives.