At Baldini Lang LLC, the receipt and/or response to invalid out-of-state subpoenas are one of the top five most common mistakes we see EVERY YEAR.  An entity that releases information requested or that otherwise responds to an unlawful and invalid subpoena may leave itself vulnerable to additional risk. For example, the provision of non-public personal information pursuant to an invalid subpoena may be a violation of appliable privacy laws. Therefore, it is important that financial institutions and other entities understand when an out-of-state subpoena is lawful and valid in Connecticut, and when it is unlawful and invalid.

An out-of-state subpoena received by a Connecticut financial institution is only valid if properly domesticated, meaning issued by a Connecticut judge, clerk, notary public, or Commissioner of the Superior Court, and served in accordance with Connecticut law. This white paper provides a general overview of the State of Connecticut’s subpoena process and sets forth the proper process for issuing and serving an out-of-state subpoena in Connecticut. Financial institutions should consult with their legal counsel to ensure that each out-of-state subpoena it may receive is issued and served in a lawful manner accordingly.

For purposes of this white paper, “out-of-state subpoena” refers to (1) subpoenas issued by a party to a state civil court case brought in a state other than the State of Connecticut and (2) administrative subpoenas issued by a state agency other a State of Connecticut agency.

Subpoena Process in Connecticut – Generally

Every Connecticut financial institution should understand certain key requirements for ALL subpoenas (including out-of-state subpoenas) under Connecticut law:

• All subpoenas served within Connecticut must be issued by a Connecticut judge, clerk, notary public, or “Commissioner of the Superior Court” (i.e., a Connecticut attorney).
• Subpoenas for witnesses in a civil case must be signed by the clerk of the court or a Commissioner of the Superior Court and must be served by an officer or indifferent person.
• Service of a subpoena on a corporation in Connecticut must be made in person on “the president, the vice president, an assistant vice president, the secretary, the assistant secretary, the treasurer, the assistant treasurer, the cashier, the assistant cashier, the teller or the assistant teller or its general or managing agent or manager or upon any director resident in this state, or the person in charge of the business of the corporation or upon any person who is at the time of service in charge of the office of the corporation in the town in which its principal office or place of business is located.” In addition, a corporation’s agent registered with the Connecticut Secretary of State may be served a subpoena.
• A financial institution can, but is not required to, refuse to comply with a subpoena that is not properly served. The Connecticut Supreme Court has held that nothing in Connecticut law gives a financial institution’s customers standing to challenge procedural irregularities in the manner in which a subpoena has been served on the financial institution.
• A subpoena may command the person to whom it is directed to produce and permit inspection and copying of designated books, papers, documents or tangible things that are material to the cause of action.
• No subpoena may compel the production of matters which are privileged or otherwise protected by law from discovery.
• The subpoenaed party may file, within 15 days, a motion to quash an out-of-state subpoena if it imposes an “undue or unreasonable burden or expense.”
• If the subpoenaed party refuses to comply with a valid subpoena, the court may jail such person to until they comply.

Out-of-State Subpoenas Process in Connecticut

In addition to those items listed above, the following requirements are specific to out-of-state subpoenas under Connecticut law:

• Depositions of witnesses living in Connecticut may be taken in out-of-state actions in the same manner as actions in the State of Connecticut.
• The Connecticut Superior Court has jurisdiction to quash or modify, or to enforce compliance with, subpoenas issued for out-of-state actions.
• Attorneys allowed to take testimony in other states but not admitted in Connecticut must apply to a Connecticut judge, justice of the peace, notary public or Commissioner of the Superior Court, for a subpoena. Upon proof of the attorney’s authority and that the testimony of the witness is material, the Connecticut judge, justice of the peace, notary public or Commissioner of the Superior Court shall issue the subpoena requested.
• If any subpoenaed party person refuses to appear and testify, the judge of any Connecticut court of record may commit the person to prison until they comply, however, no witness will be required to attend and give their deposition if the witness was not properly served. The subpoena must be served in the same manner as a subpoena in a Connecticut case.

Contact us for more information.

Baldini Lang LLC has extensive experience assisting clients in building compliance programs and policies to meet their legal requirements and establish best practice standards. Contact us for more information.