Filed: Jul. 03, 2018
Latest Update: Jul. 03, 2018
Summary: ORDER G. MURRAY SNOW , District Judge . Pending before this Court is the Claimant's Notice of Motion and Motion to Enforce Subpoena in Arbitration and Request for Contempt Sanctions (Doc. 1). That motion is denied. On April 4, 2018, the Arizona FINRA Arbitration Panel issued a subpoena to FINRA which was personally served. The subpoena called both for On May 1, 2018, the Arizona Arbitration Panel ordered FINRA to immediately produce certain documents responsive to the subpoena. On May 8, 2
Summary: ORDER G. MURRAY SNOW , District Judge . Pending before this Court is the Claimant's Notice of Motion and Motion to Enforce Subpoena in Arbitration and Request for Contempt Sanctions (Doc. 1). That motion is denied. On April 4, 2018, the Arizona FINRA Arbitration Panel issued a subpoena to FINRA which was personally served. The subpoena called both for On May 1, 2018, the Arizona Arbitration Panel ordered FINRA to immediately produce certain documents responsive to the subpoena. On May 8, 20..
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ORDER
G. MURRAY SNOW, District Judge.
Pending before this Court is the Claimant's Notice of Motion and Motion to Enforce Subpoena in Arbitration and Request for Contempt Sanctions (Doc. 1). That motion is denied.
On April 4, 2018, the Arizona FINRA Arbitration Panel issued a subpoena to FINRA which was personally served. The subpoena called both for On May 1, 2018, the Arizona Arbitration Panel ordered FINRA to immediately produce certain documents responsive to the subpoena. On May 8, 2018, the Arizona Arbitration Panel ordered FINRA to appear as a witness in the Arizona Arbitration. FINRA has refused to comply with either order.
In this Circuit, the arbitration panel has no power to grant document discovery from third parties other than at a hearing. CVS Health Corporation v. Vividus, LLC, 878 F.3d 703, 708 (9th Cir. 2017). The Court therefore declines to enforce the subpoena to the extent that the May 1 order requires the non-party to provide pre-hearing document discovery.
The Court further declines to enforce the subpoena to the extent that the May 8, 2018 order of the arbitration panel would require FINRA witness(es) that were party to "communications between FINRA and Miller relating to Claimant" to appear as a witness at an arbitration hearing in Scottsdale.
Fed. R. Civ. P. 45(c)(1)(A) specifies that "a subpoena may command a person to attend a . . . hearing only. . . within 100 miles of where the person resides, is employed, or regularly transacts business." Defendant objects that no FINRA witness meeting the criteria set forth in the subpoena "resides, is employed or regularly transacts business within 100 miles of Scottsdale or the state of Arizona." Plaintiff does not assert otherwise, nor does it make any argument in its Reply that it has the authority to compel the attendance of such witnesses at arbitration.1
IT IS THEREFORE ORDERED that the Motion to Enforce Subpoena and for Sanctions (Doc. 1) is denied.
IT IS FURTHER ORDERED that Counsel for Claimant shall show cause by July 13, 2018 why this Court should not schedule a hearing to sanction counsel pursuant to the footnote below.
