This subpoena request is a bit more esoteric than the ones I’ve provided previously. This one deal with financial records for corporations that can be sent to a financial institution and to a closely held corporation. You’ll use this when someone works for a small business (usually a family business) or the like. In fact, you might find more uses for it than I have. If you do, good on ya’.

Subpoena

So, here you go (it’s a long one):

All documents for all accounts regarding the banking and credit activity of (corporation’s name and ID information), and/or bearing the account number(s) (account numbers), from XXXX XX, XXXX through present/from XXXX XX, XXXX to XXXX XX, XXXX, including:

  1. All documents regarding all open or closed checking, savings, NOW, Time, or other deposit or checking accounts, and all other banking and credit transactions in the name of, for the benefit of, or under the control of (corporation’s name), including:
    1. Signature cards
    2. Corporate board authorization minutes or partnership resolutions
    3. Bank statements
    4. Canceled checks
    5. Deposit tickets
    6. Items deposited
    7. Credit and debit memos
    8. Form 1099, 1089, or back-up withholding documents
    9. Statements with current account amounts
  2. All documents regarding open or closed bank loans or mortgage documents, reflecting loans made to or co-signed by or in the name of, for the benefit of, or under the control of (corporation’s name), including:
    1. Loan applications
    2. Corporate board authorization minutes or partnership resolutions
    3. Loan ledger sheets
    4. Loan statements
    5. Documents (checks, debit memos, cash in tickets, wires in, etc.) reflecting the means by which loan repayments were made
    6. Documents (bank checks, credit memos, cash out tickets, wires out, etc.) reflecting disbursement of the loan proceeds
    7. Loan correspondence files, including:
      1. Letters to the bank
      2. Letters from the bank
      3. Notes, memoranda, etc. to the file
    8. Collateral agreements and documents
    9. Credit reports
    10. Financial statements
    11. Notes or other instruments reflecting the obligation to pay
    12. Real estate mortgages, chattel mortgages or other security instruments for loans
    13. Forms 1099, 1089, or back-up withholding documents
    14. Loan amortization statements
    15. Statements with current amounts outstanding
  3. All documents regarding Certificates of Deposit purchased or redeemed by or in the name of, for the benefit of, or under the control of (corporation’s name), including:
    1. Copies of the certificates
    2. Corporate board authorization minutes or partnership resolutions
    3. Documents (checks, debit memos, cash in tickets, wires in, etc.) reflecting the means by which CDs were purchased
    4. Documents (bank checks, credit memos, cash out tickets, wires out, etc.) reflecting disbursement of the proceeds of any negotiated CDs
    5. Records reflecting interest earned, withdrawn or reinvested
    6. Records reflecting roll-overs
    7. Forms 1099, 1089, or back-up withholding documents
    8. Statements with current amounts invested
  4. All documents regarding open or closed investment or security custodian accounts, I.R.A.s, Keogh plans, mutual funds, 401(k)s, 403(b)s, 403(a)s, or other retirement plans and investments in the name of, for the benefit of, or under the control of (corporation’s name), including:
    1. Documents (checks, debit memos, cash in tickets, wires in, etc.) reflecting the means by which the securities were purchased
    2. Documents (bank checks, credit memos, cash out tickets, wires out, etc.) reflecting disbursement of the proceeds of any negotiated securities
    3. Confirmation slips
    4. Monthly statements
    5. Payment receipts
    6. Safekeeping records and logs g. Receipts for receipt or delivery of securities
    7. Forms 1099, 1089, or back-up withholding documents
    8. Statements with current account values
  5. Bank correspondence files.
  6. All documents regarding all Cashier’s, Manager’s, or Bank Checks, Traveler’s Checks, and Money Orders purchased or negotiated by or in the name of, for the benefit of, or under the control of (corporation’s name), including:
    1. Documents (checks, debit memos, cash in tickets, wires in, etc.) reflecting the means by which the checks or money orders were purchased
    2. Documents (bank checks, credit memos, cash out tickets, wires out, etc.) reflecting disbursements of the proceeds of any negotiated checks or money orders
    3. Applications for purchase of checks or money orders
    4. Retained copies of negotiated checks or money orders
  7. All documents regarding wire transfers sent or received by or in the name of, for the benefit of, or under the control of (corporation’s name), including:
    1. Fed Wire, CHIPS, SWIFT, or other money transfer of message documents
    2. Documents (checks, debit memos, cash in tickets, wires in, etc.) reflecting the source of the funds wired out
    3. Documents (bank checks, credit memos, cash out tickets, wires out, etc.) reflecting the ultimate disposition within the bank of the funds wired in
    4. Notes, memoranda or other writings regarding the sending or receipt of wire transfers
  8. All documents regarding current or expired safe deposit box rentals in the name of, for the benefit of, or under the control of (corporation’s name), including:
    1. Contracts
    2. Entry records
  9. All documents regarding open or closed bank credit cards in the name of, for the benefit of, or under the control of (corporation’s name), including:
    1. Applications for credit
    2. Corporate board authorization minutes or partnership resolutions
    3. Credit reports
    4. Monthly statements
    5. Financial statements
    6. Charge tickets
    7. Documents (checks, debit memos, cash in tickets, wires in, etc.) reflecting payments on the account
    8. Correspondence files
    9. Statements with current amounts due
  10. All CTRs (form 4789) and CMIRs (form 4790) filed with the Department of Treasury, Internal Revenue Service, or the United States Customs Service by your financial institution regarding currency transactions conducted by or on behalf of (corporations’ name).
  11. All documents relating to (corporate name’s) formation, including:
    1. Articles of incorporation
    2. By laws
    3. Minute books
    4. Stock books
    5. Stock transfer records
    6. Annual reports filed with the state of incorporation
  12. All documents summarizing annual, quarterly, monthly, weekly or daily financial performance, including:
    1. Annual auditor’s report
    2. Annual financial statements, including:
      1. Balance sheets
      2. Statements of Operations (e.g., Profit & Loss Statements)
      3. Annual filings with the SEC or other federal or state agencies or regulatory bodies
    3. Trial balances
    4. Federal and state income tax returns and quarterly estimated tax returns
    5. Sales tax returns
    6. Periodic reports required to be filed by the SEC, FTC or other regulatory body
    7. Accounts receivable totals broken down by how much each client currently owes
  13. With respect to transactions between (corporate name) and (name(s)), provide the following documents:
    1. Employment records, including:
      1. Payroll journals
      2. Annual recap of wages paid (files with the IRS)
      3. All W-2s issued
      4. All forms 940 and 941 filed
      5. All state employment and unemployment returns filed
    2. All checks, or other payment documents issued as salary, commission or other earned income payments to (name(s))
    3. All contracts or other agreements made or entered into between (corporate name) and (name(s))
    4. Any and all correspondence, letters, files or other documents reflecting telephone conversations, meetings, contracts, agreements, or transactions between (corporate name) and (name(s))
  14. Copies of all documents in (corporate name’s) books of original entry containing entries reflecting any and all transactions between (corporate name) and (name(s)), including:
    1. General ledgers
    2. General journals
    3. Summary journals, including:
      1. Sales journals
      2. Purchase journals
      3. Cash receipts journals
      4. Cash disbursements journals
    4. Invoices
    5. Sales receipts
    6. Purchase orders
    7. Receiving reports
    8. Inventory records

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