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handSuggested Language to Obtain a Subpoena for Bank Records Including Both Main Office and Bank Holding Company

provided by Alan R. Graham
Senior Investigative Auditor
U.S. Treasury Department
Bureau of Alcohol, Tobacco, and Firearms

All records in the name of _____________________________ for the period from _________________ , 19___ , through _________________ , 19___ , to include, but not limited to, the following:

1. Checking account records, including signature cards, bank statements, canceled checks, debit and credit memos, deposit tickets and deposited items. The only known account numbers to date are _____________ and ___________ .

2. Loans, to include applications, notes, mortgages, credit cards, or other instruments of indebtedness, ledgers, records of advancing those loans, that is, checks, deposit tickets, debit memos, records of loan payments, including copies of checks and receipts issued thereto, statements of interest paid on each loan per calendar year. The only known loans to date are __________________________________________ .

3. Records of savings accounts, certificates of deposits, and other savings instruments by whatever name known, to include application, signature cards, periodic statements, deposit tickets, items deposited, withdrawal slips, checks issued on those withdrawals, debit and credit memos to those accounts, and IRS Forms 4789 (Currency Transfer Report).

4. Records of security purchases, to include applications and financial statements, records of the purchase and sale of those securities and/or bonds, records of receipt of moneys for the purchase of the securities and/or bonds, to include checks and receipts, records of the sale of any securities, including checks or credit memos issued by your firm relative to those sales.

5. Application, records of payment for, and entry records of all safe deposit boxes.

6. Any relevant attachments or supporting documents; especially copies of Federal and State tax returns, financial statements, revenue and expense summaries, sales projections, credit reports and ratings, schedules of assets and liabilities along with applicable bank verifications, and officers notes, etc.

7. Corporate Resolution documents, collateral cards or register, hypothecation certificates, and Bank's Central File regarding the subject. All correspondence between the subject, bank and any other third parties.

8. Any and all other information not specifically requested above.

Revised by Alan R. Graham (12/95)

reprinted by permission

 
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