Free ACFE CFE-Law Exam Dumps Questions & Answers

Which of the following is the MOST ACCURATE statement about rules prohibiting securities broker-dealers from making unsuitable recommendations on investments or investment strategies?

• A.A suitability violation occurs when a broker trades in a client ' s account without obtaining prior approval for making the transaction(s).
• B.A suitability violation occurs when a broker enters into transactions and manages a client ' s account for the purpose of generating excessive commissions
• C.A suitability violation occurs when a broker recommends an investment or investment strategy that is inconsistent with the client ' s objectives
• D.A suitability violation occurs when a broker does not carry out a trade requested by or promised to a customer

Which of the following would be direct evidence that an employee committed a cash larceny scheme that resulted in the theft of $800 from their employer ' s safe?

• A.A witness testifies that they saw the employee take the money.
• B.A coworker states that the employee appeared to be nervous on the day of the theft.
• C.A witness testifies that the employee was usually the last person to leave the office.
• D.A diagram is used to display the location of the employer ' s safe.

Evidence that tends to make some tact at issue more or less likely than it would be without the evidence is called:

• A.Testamentary evidence
• B.Circumstantial evidence
• C.Relevant evidence
• D.Demonstrative evidence

Before Monique's criminal trial for embezzlement, she contacts witnesses against her and offers to pay them if they change their stories regarding the embezzlement. Monique's actions would MOST LIKELY cause the government to bring additional charges against her for:

• A.Fraudulent misrepresentation
• B.Judicial extortion
• C.Conspiracy to influence the court
• D.Obstruction of justice

In most common law jurisdictions, which of the following BEST describes when the duty to preserve evidence begins?

• A.When litigation is reasonably anticipated
• B.When the court orders the party to produce the evidence
• C.When the judge sets the schedule for discovery
• D.When the company receives notice of the lawsuit