2009 NASAA Attorney/Investigator Training

1. 2009 NASAA Attorney/Investigator Training Drafting and Enforcing Subpoenas • Martin Cordell, Enforcement Attorney: • 360-902-8772, mcordell@dfi.wa.gov • Bennette Zivley, Director, Inspections and Compliance • (512) 305-8394 bzivley@ssb.state.tx.us

2. Drafting and Enforcing Subpoenas What is it? Why do you use it? When do you use it? Sample drafts Enforcing a Subpoena

3. Subpoena: A written Order to produce testimony, documents, things or submit to examination • Subpoena DucesTecum • Production of Documents • Subpoena To Testify • Testimony Provided • Subpoena for documents & testimony

4. Authority for administrative subpoenas comes from Statute. • Agency head may delegate authority. • Failure to comply may be sanctioned by civil contempt proceedings

5. Subpoena Elements • Caption or name of the case • Case number • Name of recipient • Correct person or entity identified? • Who is custodian of the records?

6. Subpoena Elements • Place, date and time of production or testimony • What is to be produced or provided • Time period for requested documents reasonable? • Statute of limitations considerations? • Generally can only request records that are in existence at the date the subpoena is served.

7. Subpoena Elements • Statutory Authority • Sanction for disobedience • Date of Issuance • Issuing Authority Signature

8. Drafting tip: • If clear that focus of subpoena is very narrow, use specificity in the description of items requested. • If focus not clear, a broad subpoena can help avoid the need to issue a second subpoena.

9. Typical Subpoena Types • Issuer • Banks • Licensee • Registrant • Phone Records • Credit Card • Electronic Evidence

10. Used when documents not voluntarily produced • Subpoena Alternatives: • Informal Requests for Voluntary Production • Examination of Licensees/Registrants • Used to gather and preserve evidence • Targets • Third Party Witnesses

11. Subpoena Cover Letters • Limitation/Conditions on What and When Requested Items Are Produced • Can assist in clarifying what is needed. Registrant • Can limit unwanted materials. • Can expedite production of the “good stuff.” • “Rolling production" can be arranged so that certain documents are produced first and additional documents can be produced over time or upon request.

12. Issuance and Service Issues • Specificity/Overbroad requests • Non-relevant documents • Privileges, Protected Materials, Other • Return Date • Formalities/signature

13. Issuance and Service Issues • Proof of Service • Personal • Service by Certified Mail/Regular Mail • Acceptance by recipient’s attorney