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Suggested Financial Investigation Records

provided by James M. Carter
Auditor
U.S. Treasury Department
Bureau of Alcohol, Tobacco, and Firearms

This document can serve as a potential sources of information checklist for the financial investigation. For more information on this document, please contact your local ATF field office.

  Non-Business Business
Financial Records Individual Sole Proprietorship Corporate Partnership
TAXES
Federal Tax Returns Form 1040 Form 1040 Sch. C Form 1120/1120S Form 1065
Unemployment Tax  N/A  Form 940  Form 940  Form 940
Payroll Tax  N/A  Form 941  Form 941  Form 941
Sales Tax  N/A  State Tax Form  State Tax Form  State Tax Form
Property/Real-estate Tax  County/City  County/City  County/City  County/City
State Income Tax Returns State State State State
BANK RECORDS
Bank Statements        
Canceled Checks        
Deposit Tickets        
Deposited Items        
LOAN RECORDS
Loan Applications        
Financial Statements        
Loan Officer Notes        
Tax Returns        
CREDIT CARDS
Application        
Monthly Statements        
Payment History        
STATE & LOCAL GOVERNMENT
Liens        
Bankruptcy        
College Financial Aid        
Corporate Documents        
SUPPLIERS
Sales Invoices        
Accounts Receivable        
Forms of Payment         
Correspondence File        
ACCOUNTANTS & BOOKKEEPERS
 Tax Returns        
Financial Statements Net Worth Statement Form 1040 Sch. C Balance Sheet, Income, Cash Flow, and Retained Earning Statements Balance Sheet, Income, Cash Flow, and Retained Earning Statements
Books, Journals & Ledgers Checkbook Checkbook    
Bank Reconciliation        
Workpapers        
Correspondence Files         
Organizational Documents        
UTILITY RECORDS
Billing Statements        
Payment Records        
FINANCIAL DATABASES
FinCEN        
Credit Bureaus        
Insurance        

Reprinted with permission from the author.

 
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