Utah Divorce Subpoena: Securities Firms

We're getting pretty close the end of sample subpoena requests.

I haven't really saved the best for last, honestly. You don't normally have to subpoena documents from securities firms (i.e., companies that sell stocks and bond and the like). However, if you do because you or your spouse own quite a lot of securities, this request will get you what you need.


Here you go:

All documents relating to any and all securities transactions in the name(s) of XXXX and/or in under the account number(s) of (account numbers), from XXXX XX, XXXX through present/from XXXX XX, XXXX to XXXX XX, XXXX, including:

1.         Account statements for all investment and retirement accounts, including:

A         Cash accounts

B.        Margin accounts

C.        Mutual fund accounts

D.        Limited partnership accounts

E.         I.R.A. accounts

F.         Keogh accounts

G.        401(k) accounts

H.        403(b) or 403(a) accounts

I.          527 accounts

J.         Annuity accounts

K.        Cash management accounts

2.         Applications to open accounts

3.         Cash received and delivered blotters

4.         Confirmation slips

5.         Corporate board/partnership resolutions

6.         CTRs and CMIRs

7.         Customer correspondence files

8.         Payment receipts (currency/check/wire/securities)

9.         Securities position records

10.       Stock certificate or bonds

11.       Stock delivery receipts

 12.       All other information and documents regarding the named individuals or entities not specifically requested above

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