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Fact Finding: Locating & Researching Persons, Companies, and Property: Fact Research Tips

This guide offers paid and free resources for locating contact information, financials, and other information about individuals and business entities.

Steps for Fact Research

1. Identify what information you already have and verify it

  • Where did that information come from? Is it an "official" source or come from a less formal information source?

2. What information do you need but do not have?

  • Missing information from the factual record?
  • Legal research reveals need additional information? (case law shows certain facts to be proven, statute requires information that you do not have yet etc.)

3. Determine who/what may have that information:

  • Client
  • Opposing side
  • Third parties
  • Government agencies
  • Other sources?

4. How will you get that information?

  • Interview client
  • Through written discovery (interrogatories, request for production) or oral discovery (deposition)
  • Request for production served on third parties
  • Government agency websites or FOIA request
  • Website or print resource review
    • Be sure to evaluate the website to make sure it is authoritative, current, comprehensive and free from bias

5. Review information received

  • Anything still missing?
  • Any discrepancies between what found through other sources?
    • Which is more accurate? Can you find an additional source to verify the accuracy?

6. Apply the information to your case or transaction

Sources of Information

Client 

  • Create list of information need to verify and see what client can provide - copies of insurance papers, medical bills, proof of employment etc.
     

Third Parties

  • What can you get from documents already received? Review these first
    • Pre-complaint discovery - called Information Requests, informal discovery before a complaint is filed
    • Served on third parties (not the defendant) for things like medical records for the client, IRS tax filings, birth/death records, driving records
    • If they don't comply then may formally serve them once the complaint has been filed and formal discovery process has begun
       

Opposing Side

  • What do you still need specifically from that party?
  • Go through formal discovery procedures - may need to use multiple discovery mechanisms to get what need
    • ex. Interrogatories may ask who is the keeper of documents related to the incident or who would an employee report an accident to. Once have that info, then serve that "custodian" of the documents with a request for production or schedule a deposition to ask them about the accident that was reported to them

 

If joining a case already in progress, will want to review

  • Case docket - can find through court's site, Westlaw or Bloomberg
  • Documents filed in the case - sometimes linked to the docket but may have to check multiple sites or request from the court
  • Focus on motions and discovery documents (if made available)
     

Run search for prior litigation involving the parties:

  • Other similar cases in this jurisdiction or others? What information was exchanged as part of discovery?
  • Any expert reports included there?
     

Contracts and Other Transactional Matters

  • Not likely to see prior versions of contract for the matter unless request from the other party
  • BUT can run search for other similar transactions involving the parties - things like Bloomberg's Transactional Precedents database
    • Will tell you what information they included in the contract, purchase agreement etc, and help you anticipate what clauses they are likely to want to include so you can research them and determine if they are standard clauses or something that may spur litigation in the future

Police/Law Enforcement Documents

  • Civil cases: Accident reports, traffic citations
  • Criminal: Arrest warrants, charging documents, copy of criminal history
  • Inmate databases (like PA's Inmate Locator)
  • National Sexual Offender Registry 
  • Criminal Dockets will often include sentence information as well as prison where confined
     

Securities and Exchange Commission documents

  • For researching public companies - copies of annual (10K) and quarterly (10Q) reports listing their financial status, major threats to their company and market, company hierarchy, major acquisitions etc. See Researching Companies tab for more info
  • Also other forms reporting changes to employee retirement funds, stock purchases by officers/board members and other.
     

Local Agency Inspection and Licensing Reports - see Researching Property tab for links

  • Companies - permits for construction, restaurant operations, elevators, safety equipment inspections etc
  • Typically find through city or county licensing/inspection agency and run a search by building address
  • Residential properties governed by local ordinances but typically must apply for permits for construction, to build a fence or make other major changes to a property. Request copies of these from the city/town/borough office where the property is located
     

State Secretary of State's Office - see Researching People tab for links

  • Locate incorporation documents and verify ownership of businesses
  • Lookup professional licenses for an individual or a facility including discipline record
  • Attorneys are licensed through a separate board, usually the Board of Bar Overseers or through the state's Supreme Court
     

Other Agencies That Enforce Regulations/Track Noncompliance

  • EPA tracks compliance with permitting requirements for water treatment plants, power plants and companies operating in industries that generate pollution
  • Best bet: figure out what industry the company operates in and what agency(ies) oversee that area - do they offer online tracking databases you can view yourself? Or do you need to submit a FOIA request to them for information?

Info from Sources who are NOT parties to the matter and which are NOT official government sources:

  • News sources - local or regional news, legal newspapers (like the Legal Intelligencer for Philadelphia)
  • Company websites
  • Rankings Websites  - Examples:
  • Professional Organizations sites
    • Good for (potentially): a list of members, set of standards/oath that members operate by, news pieces specific to that industry
    • research name of industry/profession + "association," "organizations," "group," "council of" etc
    • Or use the Encyclopedia of Associations to pinpoint
  • Academic, Trade, or Research Publications from Other Disciplines (non-law)
    • Examples:
      • Medical Journals (to see common forms of treatment, diagnostic criteria, locate exact terminology for an injury etc)
      • Industry publications like Retail or Construction - view current standards, company rankings, pinpoint major issues like product recalls, labor shortages etc that may not be discussed in mainstream media
      • Academic research journals to discover new treatment options, scientific breakthroughs or timeline of when something may be available to the public (like gene therapy, a certain medical device or a new type of technology)

How do you find these sources?

  • Association websites will point you to major publications
  • Keyword or subject searches in a University library catalog
  • Look for research guides - topic/industry + "libguide" or "research guide"
  • News sources on Lexis, Westlaw, or Bloomberg as well as News databases on main campus library
    • Or look for local sources in your region - what are the major newspapers for your city/state? Many can be accessed through their own websites or even through local library online databases

When to Look at Resources from Other Disciplines

Not just for verifying facts in your case, may need to review materials from other disciplines.

Think about "Who else cares about/is impacted by/tracks this topic?" and locate materials for that discipline

Examples:

  • Need to verify that the treatment used in medical malpractice meets the standard of care for that medical specialty
  • Construction case - question as to whether the plastic piping used in the plumbing was up to code or improper for this type of building
    • National industry codes
    • Local city/county ordinances
    • Review construction industry news to flag issues with the current standards
  • Shareholder suit claiming Board of Directors lacked requisite expertise to advise the company
    • Research employment history of board members
    • Research company bylaws and Articles of Incorporation to see what procedures they have established for choosing board members and educating them as needed
    • Review board membership of competitors
    • Review business journals for articles on qualifications for board members in a particular industry

Many others - look to subject guides from other disciplines to help you find resources