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Keywords

subpoenaappealmotioncorporationself-incriminationgrand jury
subpoenaappealwillleasecorporationself-incriminationgrand jury

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In re Grand Jury Empaneled on May 9, 2014, 786 F.3d 255

Facts

John Doe, the sole owner and employee of ABC Entity, a professional corporation, was subpoenaed by a grand jury to produce documents related to an investigation into bribery involving a clinical blood laboratory. Doe, as the custodian of records, moved to quash the subpoena, claiming Fifth Amendment protections and arguing that the subpoena was overbroad. The District Court denied the motion, leading to a contempt ruling when the corporation refused to comply.

In April 2013, a grand jury subpoena was served on the custodian of records for the Corporation, directing it to turn over various documents, including records of patients referred to the OTE, lease and consulting agreements, checks received by it for reasons other than patient treatment, correspondence regarding its use of the OTE as a blood-testing provider, correspondence with specified individuals and entities, and basic corporate records.

Issue

Whether the Fifth Amendment privilege against self-incrimination is available to a corporate custodian and whether the subpoena was overbroad.

Doe claims that despite serving as the Corporation's custodian, as the sole owner and employee, he is entitled to refuse to comply with the subpoena in accordance with his Fifth Amendment privilege against self-incrimination.

Rule

The Fifth Amendment privilege against self-incrimination is not available to corporate custodians, and subpoenas issued to corporations must be reasonable and not overly broad.

The Fifth Amendment privilege against self-incrimination is not available to corporate custodians, and subpoenas issued to corporations must be reasonable and not overly broad.

Analysis

The court applied the collective entity doctrine, which states that corporations cannot assert the Fifth Amendment privilege. It found that Doe, despite being the sole employee, could not claim the privilege for corporate records. The court also determined that the subpoena was sufficiently specific and relevant to the grand jury's investigation.

The court applied the collective entity doctrine, which states that corporations cannot assert the Fifth Amendment privilege. It found that Doe, despite being the sole employee, could not claim the privilege for corporate records.

Conclusion

The Court of Appeals affirmed the District Court's order, holding that the contempt ruling was justified and the subpoena was valid.

For the reasons discussed below, we will affirm the District Court's order.

Who won?

The United States prevailed in the case because the court upheld the contempt ruling against ABC Entity for failing to comply with the subpoena.

The Court found the Corporation to be in civil contempt, and entered a sanction of $2,000 per day, which it ordered stayed pending the outcome of this appeal.

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