In re Three Grand Jury Subpoenas Duces Tecum Dated January 29, 1999 v. John Doe # 1, John Doe # 2, John Doe # 3
United States Court of Appeals for the Second Circuit
191 F.3d 173 (1999)
- Written by Sara Adams, JD
Facts
The government (plaintiff) began criminally investigating a division of a corporation and its employees for conduct such as falsifying corporate records and misapplying corporate funds. As part of a guilty plea, the corporation agreed to cooperate in the government’s investigation into particular people who may have been involved in the corporate misconduct. John Doe I, John Doe II, and John Doe III (the Does) (defendants) were employees in the division in which the misconduct occurred and served as corporate officers at the time of the misconduct. The Does were no longer employed with the corporation when they were subpoenaed for corporate records. The Does claimed the Fifth Amendment privilege against self-incrimination and refused to produce the records. The district court upheld the Fifth Amendment claims and denied the government’s motion to compel. The government appealed.
Rule of Law
Issue
Holding and Reasoning (Walker, J.)
Dissent (Cabranes, J.)
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