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If you have received a subpoena from the New York State Office of the Attorney General (AG), the most important thing to know is that you may be the target of the investigation, even if they don't tell you that. Just to be safe, it's best to speak to an attorney right away before you communicate with the Office of Attorney General or provide any information or documents to them.
It's crucial to understand your rights and obligations. As a New York lawyer, I've helped many clients navigate the process of responding to AG subpoenas, and in this article, I'll provide an overview of what a subpoena is, why the AG's office may issue one, and the steps you should take upon receiving one.
A subpoena is a legal document that compels the recipient to provide information, documents, or testimony. Subpoenas are an important investigative tool used by various government agencies, law enforcement, and the courts to gather evidence and information.
Subpoena for Documents vs. Subpoena for Testimony
A subpoena can be either for documents or for testimony. You can also receive both or a combiled subpoena.
- Subpoena for Documents
A subpoena for documents, also known as a subpoena duces tecum is a type of subpoena that requires the recipient to produce documents, records, or other tangible evidence. This could include things like financial records, emails, contracts, or any other physical or electronic documents relevant to the investigation or legal proceeding.
- Subpoena for Testimony
A subpoena for testimony, also known as a subpoena ad testificandum is a subpoena that compels the recipient to appear and provide testimony, either through an oral deposition or by testifying at a hearing or trial. This type of subpoena is used to compel a witness to share their knowledge or account of relevant events.
Civil vs. Criminal Subpoena
Both civil and criminal cases can involve either a civil or criminal subpoena, depending on the specific needs of the investigation or legal matter.
There is also another class of subpoenas, depending on the type of case:
- Civil Subpoenas:
These are issued as part of a civil legal proceeding, such as a lawsuit or investigation. Civil subpoenas require the recipient to produce documents, appear for a deposition, or testify at a hearing or trial.
- Criminal Subpoenas
These are issued as part of a criminal investigation or prosecution. Criminal subpoenas can compel the production of evidence or testimony that may be relevant to the criminal case.
Subpoenas have the force of law behind them, meaning the recipient is legally obligated to comply. Failing to properly respond to a subpoena can result in civil or criminal penalties, such as being held in contempt of court.
The specific requirements and procedures for subpoenas can vary depending on the jurisdiction and the agency or court issuing the subpoena. However, they generally require the recipient to produce the requested information or appear for testimony within a specified timeframe.
It's important to carefully review any subpoena you receive to understand the scope of what is being requested and ensure you respond appropriately. In some cases, you may have legal grounds to object to or seek to limit the subpoena's demands.
Overall, a subpoena is a powerful legal tool that should be taken seriously. Properly responding to a subpoena, whether it is a subpoena duces tecum or a subpoena ad testificandum, is crucial to avoid potential legal consequences.
Reason for the Subpoena
The most important thing to know about a subpoena is that you may be the subject of the investigation, so it's important to speak to an attorney.
The New York State Attorney General's Office has broad investigative powers and the authority to issue subpoenas as part of their oversight and enforcement efforts. The AG's office may issue subpoenas for a variety of reasons, including:
- Consumer protection investigations
The AG's office may investigate allegations of consumer fraud, deceptive business practices, or violations of consumer protection laws.
- Securities fraud cases
The AG's office has the power to investigate potential securities law violations, such as insider trading, market manipulation, or fraudulent investment schemes.
- Antitrust enforcement
The AG's office can investigate potential antitrust violations, such as price-fixing, bid-rigging, or monopolistic conduct.
- Other alleged misconduct
Subpoenas may also be issued as part of investigations into alleged violations of state laws or regulations, such as environmental, labor, or financial crimes.
Receiving a subpoena from the New York Attorney General's office is a serious matter that should not be taken lightly. The subpoena compels the recipient to provide testimony, documents, or other information relevant to the AG's investigation.
Failing to properly respond to an AG subpoena can have significant consequences, including civil penalties, criminal charges, or being held in contempt of court. It's crucial for recipients to carefully review the subpoena, understand their rights and obligations, and take appropriate action to comply or challenge the subpoena if necessary.
In many cases, retaining an experienced New York lawyer like us who is familiar with the AG's investigative process can be highly beneficial. We can help you navigate the complex legal requirements, assert any applicable privileges or objections, and ensure you respond to the subpoena in a proper and timely manner.
Receiving a subpoena from the New York Attorney General's office can be a stressful and uncertain experience. However, by understanding the nature of the subpoena and taking the right steps to respond, you can protect your rights and interests throughout the process.
It's important to note that simply ignoring a subpoena from the New York Attorney General's office is not an option. Failing to respond can result in civil or criminal penalties, including being held in contempt of court.
By carefully reviewing the subpoena, assessing your options, and taking the appropriate steps to respond, you can help protect your interests and minimize the disruption to your business or personal affairs. An experienced New York lawyer like us can be an invaluable asset in this process.
Example Subpoena from the NY AG's Office
To illustrate what a subpoena from the New York Attorney General's office may look like, here is an example:
TO: xxx
You Are Hereby Commanded, pursuant to Executive Law § 63(12) of the New York Civil Practice Law and Rules, to deliver and turn over to Letitia James, the Attorney General of the State of New York, or a designated Assistant Attorney General, by the 28 th day of March, 2024, by 10:00 A.M.. or any agreed upon adjourned date or time, at 28 Liberty Street, New York, New York 10005, or by mutually agreed to electronic delivery, all documents and information requested in the attached Schedule in accordance with the instructions and definitions contained therein.
Take Notice that the Attorney General deems the documents and information requested by this Subpoena to be relevant and material to an investigation and inquiry undertaken in the public interest. Take Further Notice that Your disobedience of this Subpoena, by failing to deliver the documents and information requested in the attached Schedule on the date, time and place stated above or on any agreed upon adjourned date or time, may subject You to penalties under § 2308 of the New York Civil Practice Law and Rules, and/or other statutes or regulations. Take Further Notice that You should not disclose the existence of this subpoena, its contents, or any subsequent communications with the Office of the Attorney General while this investigation is pending. Disclosure of this subpoena may impede a confidential investigation being conducted by the Attorney General. In the event You believe that You are required to disclose the existence of this Subpoena or any information related thereto, You shall notify the attorneys listed below immediately and well in advance of Your disclosure of same.
Witness, The Honorable Letitia James, Attorney General of the State of New York, this 29th day of February, 2024.
This subpoena was issued by the Office of the New York State Attorney General as part of an investigation into potential violations of state consumer protection laws.
The key components of this subpoena include:
- Heading and Caption: The subpoena's heading indicates the subpoena is part of a formal investigation being conducted by the New York AG.
- Subpoena Command: The subpoena commands the recipient to deliver and turnover documents and information listed in the Schedule attached to the subpoena.
- Schedule of Documents Requested: The Schedule outlines the specific categories of documents, communications, and other information that the recipient is required to produce. This can include a wide range of business records, financial statements, contracts, emails, and other materials relevant to the investigation.
- Notice to Recipient: The subpoena includes a notice informing the recipient of their legal obligation to comply, as well as the potential consequences for failing to do so, such as being held in contempt of court.
- Return Date: The subpoena specifies a "return date" by which the recipient must provide the requested information, documents, or testimony. This deadline must be strictly adhered to.
- Signature of Attorney General: The subpoena is signed by an authorized representative of the New York Attorney General's office, typically the Assistant Attorney General overseeing the investigation.
This example highlights the formal, legally binding nature of a subpoena issued by the New York AG's office. Recipients must take the subpoena seriously and respond accordingly to avoid potential civil or criminal penalties.
If you have received a subpoena from the NY AG, don't hesitate to seek the guidance of an experienced New York lawyer like us who can help you understand your rights and obligations, and ensure you properly respond to the subpoena. Navigating the subpoena process can be complex, but with us, you can protect your interests and minimize the impact on your business or personal affairs.
The Law Offices of Albert Goodwin can provide you with personalized guidance and advocate for your rights, ensuring that you receive the best legal representation possible. We are located in Midtown Manhattan in New York, NY. You can call us at 212-233-1233 or send us an email at [email protected].
About the Author
Albert Goodwin Esq. is a licenced New York attorney with over 17 years of courtroom experience. His extensive knowledge and expertise make him well-qualified to write authoritative articles on a wide range of legal topics. He can be reached at 212-233-1233 or [email protected].
