NASAA Series 63Remedies and Administrative ProvisionsMedium
During an investigation, the Administrator issues a subpoena to a witness requiring production of records. The witness refuses to comply without justification. What is the Administrator's proper recourse?
- AThe Administrator may petition the appropriate court to hold the witness in contempt
- BThe Administrator may impose an immediate criminal fine on the witness
- CThe Administrator must abandon the investigation, as subpoenas are not enforceable
- DThe Administrator may personally seize the records without further authorization
Show answer & explanationAnswer & explanation
Correct answer: A. The Administrator may petition the appropriate court to hold the witness in contempt
Administrators lack direct enforcement power over disobeyed subpoenas; they must apply to a court of competent jurisdiction, which can hold the noncompliant witness in contempt. This preserves judicial oversight of enforcement actions against individuals.
Why the other options are wrong
- B. Administrators cannot impose criminal fines directly; only courts can do so.
- C. Subpoenas are enforceable through the courts, so investigations need not be abandoned.
- D. Administrators cannot self-execute seizures; judicial process is required.
Subpoena Enforcement
If a person refuses to comply with an Administrator's subpoena, the Administrator must seek court assistance, and the court may hold the person in contempt.
- Administrators cannot enforce subpoenas unilaterally
- Courts have contempt power over noncompliant witnesses
- This process applies to both in-state and out-of-state witnesses
Memory trick: No badge without the judge — courts back the subpoena.