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I am in the discovery stage of a FINRA arbitration. How do I go about Filing a Motion for Protective Order to stay the Claimants subpoena for my work records including, earnings, reviews, etc.

Submitted: 312 days and 8 hours ago.

Category: Legal

Value: $30

Status: CLOSED

Los Angeles, California

Already Tried:
I just received this and I am in the midst of looking for new representation, so this is my first foray into this arena.

Posted by Experienced Attorney 312 days and 7 hours ago.

Info Request

Hi -

Thanks for your question. So did the claimant get a subpoena issued from the arbitration proceeding as a part of the discovery process or from a court? Was the court proceeding stayed during the arbitration?

312 days and 7 hours ago.

Reply

The claimant has issued this via the arbitration hearing as part of the discovery process.

Posted by Experienced Attorney 312 days and 6 hours ago.

Info Request

Thanks so what are the grounds for the protective order? Are these items relevant to the arbitration? Has either party turned over anything in discovery at this point?

Can you give me the basic conflict between the parties, in a nutshell?

Thanks!

312 days and 5 hours ago.

Reply

In a nutshell, this is about wrongful termination. I had a two year service contract My original Attorney's put my case on the back burner my and did not file in a timely manner so I ended up being a defendant instead of a claimant. The claimant was negotiating a settlement with my attorney in good faith. My attorney out of professional courtesy shared with the opposing counsel The Claim of action before filing with FINRA this is when we were engaged in negotiating a settlement. This claim took some seven months for my attorney to file since they were doing the case on contingency they kept putting it off. While in the middle of negotiating a settlement the claimant fired their attorney and asked as a professional courtesy for time to locate a new attorney, since the main individual associated with the dispute wife was in labor. This turned out to be a stall tactic since we obviously found out that he had hired another Lawyer to file a claim while he was negotiating with us thereby making me a defendant. We feel the request is excessive since they are asking for my W2's going back five years. I only worked for the new entity for six months. Their claim now is that I had apparent mis representations on my resume. which is canceled out by my CRD check that they do prior to me starting and lack of production. I was hired to be the manager of the department. They were trying to save cost and threatened to trash my U4,5 if I did not accept their severance proposal.

Posted by Experienced Attorney 312 days and 5 hours ago.

Info Request

Thanks for the additional information. I'll be back with you shortly.

Accepted Answer

Please let me know if you need any clarification:

http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=4263

The subpoena rule was amended beginning in April of 2007 to permit only arbitrators to issue subpoenas for both parties and non-parties, whether for discovery or for the appearance at a hearing.

Parties send their requests for issuance of a subpoena to the FINRA Director of Arbitration and to all other parties at the same time and in the same manner.

The request must be in the form of a written motion and must include a draft subpoena. The requesting party may not serve the motion or draft subpoena on a non-party.

If another party objects to the scope or propriety of the subpoena, that party must within 10 calendar days of service of the motion-file written objections with the Director, with an additional copy for the arbitrator, and must serve copies on all other parties at the same time and in the same manner as on the Director. The party that requested the subpoena may respond to the objections within 10 calendar days of receipt of the objections. After considering timely objections, the arbitrator responsible for deciding discovery-related motions is to promptly rule on the objections.

Arbitrators are to use their discretion to determine whether or not to issue a subpoena, and whether or not to limit the scope of a subpoena before it is issued.

After the requesting party receives subpoenaed documents from a non-party, the requesting party must notify all other parties within five calendar days of receipt. If another party requests copies of documents that were received in response to a non-party subpoena, the party that requested the documents must provide the copies within ten calendar days.

.................

We hope that this answered your question. Feel free to request clarification.

Accepts:
Expert:	Experienced Attorney
Pos. Feedback:	100.0 %
Answered:	1/15/2009

Attorney

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Question

I am in the discovery stage of a FINRA arbitration. How do I go about Filing a Motion for Protective Order to stay the Claimants subpoena for my work records including, earnings, reviews, etc.

Optional Information

Los Angeles, California

Already Tried:
I just received this and I am in the midst of looking for new representation, so this is my first foray into this arena.

Info Request

Hi -

Thanks for your question. So did the claimant get a subpoena issued from the arbitration proceeding as a part of the discovery process or from a court? Was the court proceeding stayed during the arbitration?

Reply

The claimant has issued this via the arbitration hearing as part of the discovery process.

Info Request

Thanks so what are the grounds for the protective order? Are these items relevant to the arbitration? Has either party turned over anything in discovery at this point?

Can you give me the basic conflict between the parties, in a nutshell?

Thanks!

Reply

Info Request

Thanks for the additional information. I'll be back with you shortly.

Accepted Answer

Law

Have your own Legal question?

Related Law Topics:

Question

I am in the discovery stage of a FINRA arbitration. How do I go about Filing a Motion for Protective Order to stay the Claimants subpoena for my work records including, earnings, reviews, etc.

Optional Information

Los Angeles, California Already Tried: I just received this and I am in the midst of looking for new representation, so this is my first foray into this arena.

Info Request

Hi - Thanks for your question. So did the claimant get a subpoena issued from the arbitration proceeding as a part of the discovery process or from a court? Was the court proceeding stayed during the arbitration?

Reply

The claimant has issued this via the arbitration hearing as part of the discovery process.

Info Request

Thanks so what are the grounds for the protective order? Are these items relevant to the arbitration? Has either party turned over anything in discovery at this point? Can you give me the basic conflict between the parties, in a nutshell? Thanks!

Reply

Info Request

Thanks for the additional information. I'll be back with you shortly.

Accepted Answer

Related Legal Questions

Los Angeles, California

Already Tried:
I just received this and I am in the midst of looking for new representation, so this is my first foray into this arena.

Hi -

Thanks for your question. So did the claimant get a subpoena issued from the arbitration proceeding as a part of the discovery process or from a court? Was the court proceeding stayed during the arbitration?

Thanks so what are the grounds for the protective order? Are these items relevant to the arbitration? Has either party turned over anything in discovery at this point?

Can you give me the basic conflict between the parties, in a nutshell?

Thanks!