CFE Flashcards

(126 cards)

0
Q

A photograph can be either demonstrative evidence or real evidence.

A

True

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1
Q

In U.S. federal civil cases, either party may take discovery on any relevant, nonprivileged matter, but the parties cannot take discovery on matters that will not be admissible at trial.

A

False

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2
Q

The work product doctrine only protects material prepared by an attorney.

A

False

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3
Q

The legislature may not properly pass, the executive branch may not enforce, and the judiciary may not uphold any law or action that violates the provisions of the U.S Constitution.

A

True

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4
Q

The testimony of an expert witness will be admitted if the testimony is relevant to any issue.

A

False

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5
Q

The body of judge-made law that developed from England and is still used today in the United States is called:

A

Common law

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6
Q

During cross-examination, it is opposing counsel’s golden rule to cross-examine an expert only if it would benefit the case.

A

True

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7
Q

Unless a witness is a non-adversarial, court-ordered witness, he cannot express opinions or draw conclusions in his testimony.

A

False

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8
Q

Which of the following was NOT covered by the Supreme Court’s decision in Katz v. United States?

A

Before interrogating a suspect, the police must warn him that he has a right to the assistance of an attorney.

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9
Q

To recover under the tort of false imprisonment, a plaintiff must show that the defendant knew he had no legal right to restrain the plaintiff’s physical liberty.

A

False

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10
Q

One expert cannot testify about the opinions of another expert.

A

False

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11
Q

The Supreme Court has held that police must have probable cause to briefly detain and question a person for investigative purposes.

A

False

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12
Q

A fidelity bond is a type of bail bond that ensures the defendant will appear at trial or suffer loss of the bond amount.

A

False

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13
Q

Under the “honest services” fraud statute (18 U.S.C. § 1346), the mail fraud and the wire fraud statutes may be used to prosecute any fraudulent conduct that deprives a victim of his right to honest and unbiased services.

A

False

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14
Q

The mail fraud statute is most properly characterized as what type of law?

A

Substantive

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15
Q

Under the Code of Professional Ethics, CFEs who testify as expert witnesses are prohibited from:

A

Testifying to opinions concerning the defendant’s innocence

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16
Q

Which of the following is a reason why most plaintiffs in larger civil actions prefer filing their cases in federal courts over state courts?

A

Plaintiffs have easier access to witnesses in federal courts

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17
Q

What type of challenge occurs when the defense attorney in a criminal trial excuses a juror for no reason?

A

Peremptory

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18
Q

Based on Rule 702 of the Federal Rules of Evidence, which of the following is NOT a question that must be asked in determining whether an expert may testify before the jury?

A

Is the person well-educated in the subject?

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19
Q

Black is a Certified Fraud Examiner for the ABC Company. Green, an employee in the accounting department, steals $40,000 worth of merchandise from the store’s warehouse. If Black eventually refers Green’s case to law enforcement, and the government decides to charge Green with a crime, the prosecutors probably will charge Green with:

A

Larceny

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20
Q

Green has been hired as an expert witness. He may be required to file a written report. This report would include not only his opinions regarding the case, but also a list of publications he has authored and a list of cases in which he has testified.

A

True

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21
Q

Which of the following statements about amendments to the U.S. Constitution is correct?

A

The Sixth Amendment affords subjects in a criminal investigation the right to a speedy trial.

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22
Q

Character witnesses often are used in criminal trials. In general, character witnesses may testify to:

A

Opinion on character, but not specific good deeds

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23
Q

A defendant’s prior convictions usually are NOT introduced at trial unless the defendant takes the stand.

A

True

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24
In the closing arguments, defense counsel cannot attack the motives and credibility of the government's witnesses.
False
25
All of the following are examples of a "protected computer" under the Fraud and Related Activity in Connection with Computers statute EXCEPT:
A computer used intrastate by a single user
26
Which of the following laws prohibits deceptive and fraudulent practices commonly used in email?
CAN-SPAM Act
27
Since a grand jury can only indict an individual, not sentence him, witnesses who appear before a grand jury do not have a Fifth Amendment right against self-incrimination.
False
28
An immunized witness is one who cannot be compelled to testify.
False
29
Under the Federal Rules of Criminal Procedure, both the prosecution and defense are permitted closing arguments after the evidence has been presented. Which of the following statements about closing arguments is correct?
None of the above
30
An immunity order protects a witness from:
Criminal prosecution but not civil liability
31
What type of challenge occurs when an attorney in a criminal trial requests that a prospective juror be dismissed because his predispositions make him unfit to serve as a juror?
For cause
32
Which of the following requirements is necessary for a search warrant to be issued in conformity with the Fourth Amendment?
The warrant must be judicially sanctioned and supported by probable cause.
33
All of the following represent notable differences between criminal and civil trials EXCEPT:
The burden of proof for a criminal prosecutor is lower than that of the civil plaintiff.
34
Due process requires that the jury in a criminal trial reflect a cross-section of the defendant's community.
False
35
Under which of the following circumstances will a testifying expert be LEAST likely to enjoy immunity from a civil lawsuit?
The party that hired the expert seeks to sue the expert for negligent testimony
36
A manager at F&B Hardware, a publicly-traded corporation, suspects one of his employees of stealing company inventory and calls the local police. An officer tells the manager that the police do not have the resources to investigate, but that the manager should see if he can secretly search the trunk of the employee's car during office hours. The manager does so and finds stolen inventory. Which of the following statements is true?
F&B Hardware may be in violation of the Fourth Amendment because it is acting at the suggestion of the government.
37
There are exceptions for the Fourth Amendment requirement that a police officer must obtain a search warrant before conducting a search. Which of the following is NOT an exception?
Searches where there is "reasonable belief" in the suspect's guilt
38
Which of the following is one of the three questions that Federal Rule of Evidence 702 requires judges to answer before allowing expert testimony?
Is the person qualified as an expert witness?
39
Which of the following is the federal statute that criminalizes the theft of commercial trade secrets to obtain an economic advantage?
Economic Espionage Act
40
Which of the following is NOT a common legal defense asserted by defendants in criminal cases?
Misfeasance
41
White, a Certified Fraud Examiner, was asked by the management of Incredible Universe, a transportation company, whether or not prospective employees could be required to take a polygraph before being hired. White should advise the company that pre-employment polygraphs:
Cannot be given to prospective employees
42
Giving a public official something of value to reward or compensate the official for performing duties he lawfully is required to perform constitutes an illegal gratuity under Section 201(c) of Title 18, U.S. Code. But to establish a violation under Section 201(c), the government must prove that the gratuity was given for the purpose of influencing an official act.
False
43
Which of the following choices describes a qui tam suit?
A suit in which a private individual sues on the government's behalf to recover damages for criminal or fraudulent actions
44
Which of the following is NOT a legal element that a plaintiff must prove to recover for defamation?
The statement was highly offensive to the subject.
45
Which of the following is NOT an element that must be proven to establish a perjury offense as defined in Sections 1621 and 1623 of Title 18, U.S. Code?
The false statement was uttered in a court of law.
46
Sue, a CFE, works for a state agency. She wants to search the desk of Bob, a state employee, who is suspected of fraud. Which of the following statements is most correct?
Sue does not need a warrant to search Bob's desk because public employers are not generally required to obtain a warrant for workplace searches.
47
Able is an investigator for XYZ Corporation. Able wants to search for information on an employee's credit history. Able's search will come under the Fair Credit Reporting Act (FCRA) if he hires a third party to check the employee's credit history, but Able's search will not come under the FCRA if he gets the information through an online public records service.
False
48
Which of the following statements is INCORRECT with respect to mail fraud?
The mailing must contain the false or fraudulent misrepresentation.
49
The defendant in a U.S. criminal trial has the right to see copies witness statements against him prior to the time that a witness testifies.
False
50
Evidence that proves or disproves facts by inference is called direct evidence.
False
51
The final report of an expert hired to testify on behalf of a client is generally protected from discovery by the attorney work product doctrine.
False
52
Blue, a Certified Fraud Examiner, conducted an investigation of Brown, a fraud suspect. Brown became so upset at being investigated that he sued Blue for intentional infliction of emotional distress. For Brown to prevail, he has to show that:
All of the above
53
According to the Federal Rules of Evidence, which of the following is NOT a basis for a witness to be qualified as an expert?
Reputation
54
The Foreign Corrupt Practices Act (FCPA) has two major parts. The first part criminalizes the bribery of a foreign public official to obtain or retain business. The second part pertains to money laundering, requiring publicly traded companies to adopt policies, procedures, and internal controls reasonably designed to prevent money laundering.
False
55
In which case listed below did the U.S. Supreme Court establish the principle that the prosecution must disclose all evidence requested by the defendant in criminal cases that is material to guilt or punishment?
Brady v. Maryland
56
In the course of a grand jury investigation, the prosecution may grant immunity from criminal prosecution to a witness who refuses to testify based on the Fifth Amendment.
True
57
During a deposition, the deponent or counsel can object to particular questions as in a trial, but even if an objection is made, the deponent must answer the questions.
True
58
Under the federal system, documents in civil cases are obtained from the opposing party by using which of the following devices?
Requests to produce documents
59
According to the Federal Rules of Criminal Procedure, which of the following statements concerning grand juries is NOT correct?
A grand jury may be used solely to obtain evidence to be used in a parallel civil trial.
60
According to the Federal Rules of Criminal Procedure, a defendant in a felony case cannot waive the requirement of an indictment.
False
61
For a civil action in a federal court, the complaint is required to include three things. Which of the following is NOT one of them?
List of witnesses
62
Which of the following is NOT an element that must be proven to establish a violation of Section 656 (bank embezzlement) of Title 18, U.S. Code?
The defendant was an officer, director, agent, or employee of a federally or non-federally insured bank.
63
Walter Smith is being sued in a civil case for fraudulent conduct, and the conduct at issue could potentially form the basis of a criminal matter. The plaintiffs in the case have subpoenaed Smith's records, which could later be used against him in a separate criminal case; however, he refuses to produce the information, asserting his Fifth Amendment privilege against self-incrimination. Smith's claim is invalid because the Fifth Amendment privilege cannot be asserted in civil proceedings.
False
64
The Fair Credit Reporting Act is enforced by which federal agency?
Federal Trade Commission
65
Which of the following is NOT a common pre-trial motion in criminal trials?
Motion for selective relief
66
Under the federal mail fraud statute (Title 18, U.S. Code, Section 1341), how much can be lost by the victim before the statute applies?
None of the above
67
Which of the following is NOT an element of the tort of intentional infliction of emotional distress?
The victim's distress manifested itself in the form of a diagnosable disorder.
68
Blake is a purchasing agent for the government, and White is a vendor who contracts with the government. After Blake steered business to White, White gave Blake a new Rolex watch. Under these facts, which of the following crimes would the government likely use to bring charges against Blake and White?
Illegal gratuity
69
Which of the following best describes probable cause in search and seizure cases?
Those facts that would induce a person of reasonable caution to believe that a crime has been committed and that the accused committed the crime
70
Johnson, a fraud defendant, is being tried in a criminal case. Blue, a Certified Fraud Examiner, is a key fact witness in Johnson's trial. At what point does Johnson have a right to see written statements by Blue that relate to the subject matter of Blue's testimony?
After Blue testifies
71
In a civil suit, the defendant can bring its own claims against the plaintiff. For example, if ABC Company sues Fred, a fraud offender, Fred may sue ABC for false imprisonment during an interview. In this situation, the claim by Fred against ABC Company is called what?
Counter claim
72
Green, a Certified Fraud Examiner, is employed by the ABC Corporation. He conducts an admission-seeking interview of White, a fraud suspect. Under these facts, which of the following is correct?
None of the above
73
Which of the following communications between attorneys and experts are protected by the attorney work product privilege (assuming the communications are prepared at the direction of the attorney in anticipation of litigation)?
None of the above
74
Assume that an appellate court finds that there was a harmless error in a lower court's case that resulted in conviction. Which of the following is most likely to result?
The appellate court will uphold the conviction.
75
Non-expert witnesses are not allowed to express opinions unless they pass a three-part test. Which of the following is NOT a part of the test?
The opinion must require scientific, technical, or other specialized knowledge.
76
Which of the following is the most accurate statement about the Truth in Negotiations Act (TINA)?
TINA requires that government contractors submit cost or pricing data and certify that such information is current, accurate, and complete before the award of any negotiated contract.
77
To prove a defendant is guilty of accepting an illegal gratuity, the prosecution must show that the defendant was influenced by the acceptance of the improper payment.
False
78
Bailey, a fraud defendant, was granted immunity from prosecution in order to testify against his boss. The two of them had conspired together to commit an embezzlement. During the course of Bailey's grand jury testimony, it was revealed that Bailey had also committed a second, unrelated fraud. With respect to Bailey, which of the following is correct?
Bailey is immune from being prosecuted for the first fraud, but not the second.
79
Which of the following statements about a plea of nolo contendere is correct?
A plea of nolo contendere is the same as a guilty plea for purposes of punishment
80
Which of the following is NOT a legal element that must be shown to prove a criminal conspiracy under the conspiracy to defraud statute (Title 18, U.S. Code, Section 371)?
The purpose of the conspiracy was accomplished.
81
Which of the following is a punishment that CAN result from a criminal conviction?
Community service
82
Under the Federal Rules of Evidence, a person cannot testify as an expert witness in court unless counsel establishes that, based on the candidate's formal education and work experience, the candidate is an expert on some subject.
False
83
is comprised of the basic laws of rights and duties. When people refer to something that is "against the law," they are usually referring to this type of law.
Substantive
84
The Fourth, Fifth, and Sixth amendments to the U.S. Constitution are largely about:
Protections for those accused of committing a crime
85
Although expert witnesses are allowed to present their opinions in narrative form, they are not allowed to demonstrate their opinions on hypothetical situations presented by counsel because hypotheticals are not adequately grounded in the evidence.
False
86
A ___________ is the document that directs an individual to bring originals or copies of records to a deposition or other court proceeding.
Subpoena duces tecum
87
Criminal laws are statutory. Civil actions can be based on either statutes or common law.
True
88
Evidence that tends to prove or disprove a fact of consequence is called:
Relevant evidence
89
Able, a Certified Fraud Examiner, has just finished testifying on direct examination. During cross-examination, the opposing counsel attempts to make Able feel safe. Which of the following best explains why opposing counsel might try to make Able feel safe during cross-examination?
To encourage Able to offer information that he otherwise would not give
90
Under the Federal Rules of Evidence, evidence of a prior felony committed by a criminal trial defendant can be introduced only for the purpose of attacking the defendant's credibility. However, if the prior conviction is more than ___________ years old, it generally cannot be introduced even then.
None of the above
91
Which of the following statements about a grand jury hearing is correct?
The accused has no absolute right to appear during a grand jury hearing.
92
Although expert witnesses can base their testimony on publications reasonably relied upon by experts in the particular field, experts cannot base their testimony on publications deemed inadmissible by the court.
False
93
Able, a Certified Fraud Examiner, and Baker, an attorney, are conducting a fraud investigation concerning allegations of misconduct on the part of Green. Able, at Baker's request, interviews Green's former roommate. Able makes a verbatim transcription of what the roommate says. Green's attorney requests a copy of this transcription. The transcript is probably:
None of the above
94
To preserve a proper chain of custody for an item of evidence, those responsible must maintain log files containing information indicating the succession of individuals who handled the item before it was collected for evidentiary purposes.
False
95
A fraud case built on circumstantial evidence is rare.
False
96
In certain circumstances, the defendant may be allowed to plead guilty, although continuing to assert his or her innocence. This procedure is called:
The Alford plea
97
Although experts, when retained, should determine if any conflicts of interest exist in a particular case because a conflict may result in the expert being impeached for bias, there are no penalties for consulting or acting as an expert in a conflict of interest.
False
98
Privating is the practice of obtaining or attempting to obtain private information by impersonating someone else or making false, fictitious, or fraudulent statements, and it is prohibited by the Gramm-Leach-Bliley Act (GLBA) and the Telephone Records and Privacy Protection Act of 2006 (TRPPA).
False
99
____________ is any intentional or deliberate act to deprive another of property or money by guile, deception, or other unfair means.
Fraud
100
The reading of the indictment or information in open court where the defendant pleads to the charges is called:
Arraignment
101
Which of the following is NOT considered an example of obstruction of justice?
Showing disrespect to a judge
102
Which of the following must be included as an automatic disclosure about an expert witness to an opposing party under Rule 26 of the Federal Rules of Civil Procedure?
The amount of compensation paid to the expert for his review and testimony
103
Grand jury proceedings are criminal in nature, and evidence obtained in a grand jury proceeding may NOT be used in civil or other legal proceedings.
False
104
Gray, a private investigator, illegally searched the house of a fraud suspect. Gray is guilty of violating the suspect's Fourth Amendment rights.
False
105
Which of the following is NOT a legal element that must be shown to prove a misrepresentation of material facts claim?
The defendant acted negligently.
106
Privacy rights are triggered under the Fourth Amendment in which of the following situations?
A government employer performs an electronic search of an employee's personal cell phone.
107
Which of the following statements about questions of laws and facts in legal proceedings is most accurate?
In most civil trials, juries decide questions of fact.
108
According to Rule 702 of the Federal Rules of Evidence, expert testimony is intended to:
Assist the trier of fact to understand the evidence or to determine the fact in issue
109
Officers and directors of a corporation have a fiduciary duty to act solely in the best interest of non-shareholder constituencies.
False
110
Under Title 18, U.S. Code Section 1001 (false statements), a statement is false if:
The defendant knew the information was untrue when he made it
111
Lloyd is the defendant in a criminal trial for larceny. During the presentation of witnesses, the defense attorney calls Lloyd's priest to the stand and asks that the priest testify that Lloyd is honest, ethical, and not the type of person to commit larceny. Could the priest's testimony be admitted?
Yes, because criminal defendants may offer evidence of their good character.
112
Blue, a United States Congressman, agrees with Brown to support congressional legislation to Brown's benefit if Brown will agree to make a sizable contribution to Blue's re-election campaign. Blue supports the bill, but it does not pass. Out of a sense of obligation, Brown later makes the contribution. Blue and Brown may be guilty of:
Bribery (18 U.S.C. § 201(b)) and conspiracy (18 U.S.C. § 371)
113
Bob is an employee of ABC Company. He creates a blog at home and posts information about the company. Which of the following statements is most correct?
BC Company can monitor information posted publicly about it on the blog.
114
"Relevant evidence" is evidence that tends to prove or disprove a fact in issue.
True
115
The process by which prospective jurors are questioned by counsel or the court before being selected to serve on a jury is known as:
Voir dire
116
he work product doctrine applies only to documents and things prepared in anticipation of litigation or for trial.
True
117
Which of the following is NOT a legal element that must be shown to prove a criminal conspiracy under the conspiracy to defraud statute (Title 18, U.S. Code, Section 371)?
The overt act was criminal in nature.
118
According to Miranda v. Arizona, which of the following must be present before a law enforcement officer is required to inform a person of his constitutional rights?
The suspect is in the custody of public authorities.
119
Which of the following is NOT one of the elements the federal government must prove to successfully claim a violation of the provisions of Title 18, U.S. Code, Section 1001 (false statements)?
The government relied on the false statement.
120
The statute that specifically outlaws the giving or receiving of anything of value for the purpose of improperly obtaining or receiving favorable treatment in connection with U.S. government contracts is:
The Anti-Kickback Act of 1986
121
Which of the following statements about civil lawsuits is correct?
Civil lawsuits begin with the filing of a complaint, usually in the jurisdiction in which the defendant or plaintiff resides or where the claim arose
122
At the close of all evidence in a criminal trial and before the case is submitted to the jury, the defense may make or renew its motion for a judgment as a matter of law on the grounds that even if the government's evidence is true, the defendant still is entitled to an acquittal.
True
123
Under a common law system like that of the United States, judges are not bound by precedent and are free to decide cases based on their interpretation of the matters at issue.
False
124
Which of the following is the most accurate statement about preliminary examinations?
A preliminary examination is a hearing before a judge to determine whether the government has sufficient evidence to show probable cause to hold the defendant for further proceedings.
125
According to the Federal Rules of Criminal Procedure, each defendant is entitled to a preliminary examination before a magistrate. Which of the following is NOT allowed at a preliminary hearing?
Motions to suppress evidence