KNOW YOUR LIMITS: THE FLAWS OF DATABASE-DRIVEN RESEARCH
Welcome to the March 2017 edition of our newsletter! In this issue, we’ll examine the limitations of databases in conducting thorough research, and offer suggestions for how to complete a thoroughly researched project.
KNOW YOUR LIMITS: THE FLAWS OF DATABASE-DRIVEN RESEARCH
As information technology has advanced, the ability to conduct probing and deep research has also grown tremendously. Yet several limitations remain, particularly with regard to older subjects, whose early histories may reside in archive books, not computer databases. The same limitations can apply to various regulatory organizations — FINRA, for instance, contains thorough records on an individual broker’s history of complaints, but settlements reached with a brokerage firm are not included, only client complaints that enter arbitration. Other database systems, like the federal court’s PACER service, typically only contain records from the mid-1980s to the present. The patchwork of county court systems are even more inconsistent, with some containing fairly exhaustive archives, while others simply have no online record services at all, especially in rural areas of southern states like Mississippi.
PATIENCE AND PERSISTENCE: COUNTERING TECHNOLOGICAL LIMITATIONS
The means of surmounting various limitations is a bit old-fashioned, and time-consuming. In the above example regarding a FINRA-registered brokerage, settlements with clients should be noted as a result of civil actions brought where the brokerage has done business; terms are often not disclosed, but the existence of the action can be confirmed. Both the federal courts and most county courts have paper-based archive searches, which usually entail thumbing through card indices, sometimes with hand-written notations. This research can take time and also relies heavily upon an on-site researcher’s efforts, which can introduce variables not present when dealing solely with databases. This will require patience and supervision, as well as cross-checking information contained in other sources — for example, if a federal criminal case accessed online references a defendant’s earlier criminal history in a county court where records are not online. By thoroughly analyzing online records and managing offline record research, a more complete portrait of a subject can be compiled via public records, providing valuable intelligence to your clients.