You Receive a Subpoena: Now What?

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2 Responses

  1. Hays Gorey says:


    I enjoyed reading Michael's piece that effectively sets forth several steps that ought appropriately to be followed whenever a company receives a grand jury subpoena duces tecum.  But I would supplement his description of the terms' "target," "subject" and "witness."  While his descriptions of these terms are technically correct, I would suggest some additional definition to the meaning of the term "subject" as it is generally used by prosecutors.  


    When a prosecutor describes a company or an individual as a "subject" of the investigation, the inference to be taken from that statement is that the prosecutor already has significant evidence that the "subject" has been engaged in wrongdoing.  This may not always be true, as, for example, when an entire industry has come under suspicion as being engaged in cartel conduct and the company in question is small, fringe player.  But it is true often enough to warrant extreme caution when that term is used and to assume the worst.  


    I would also take modest issue with the suggestion that a company even consider "going it alone" whenever a grand jury subpoena duces tecum has been directed at it, unless, perhaps, the records sought relate exclusively to another party, such as in the case of a subpoena to a bank for customer account records.  In every other case, the potential seriousness of a grand jury subpoena demands that a company engage experienced counsel to deal with the government and to organize its response to the demand.

  1. November 9, 2012

    […] You Receive a Subpoena: Now What?: Michael Volkov, Corruption, Crime & Compliance, shares steps to take when presented with a subpoena. […]