SDNY grand jury subpoena to a major bank for account records, Aug. 28, 2019

Received¶

Barcode Separator Page¶

Sept. 3, 2019¶

LEGAL DEPT¶

RICHMOND VA¶

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EFTA00123710¶

Grand Jury Subpoena¶

United States District Court¶

SOUTHERN DISTRICT OF NEW YORK¶

TO: Capital One Bank N.A.¶

Subpoena Coordinator¶

Attn: 12070-7000¶

15000 Capital One Drive¶

Richmond, VA. 23238-1119¶

GREETINGS:¶

WE COMMAND YOU that all and singular business and excuses being laid aside, you appear and attend before the GRAND JURY of the people of the United States for the Southern District of New York, at the United States Courthouse, 40 Foley Square, Room 220, in the Borough of Manhattan, City of New York, New York, in the Southern District of New York, at the following date, time and place:¶

Appearance Date: September 11, 2019¶

Appearance Time: 9:00 a.m.¶

to testify and give evidence in regard to alleged violation of: 18 U.S.C. §§ 371, 1341, 1343, 1956.¶

and not to depart the Grand Jury without leave thereof, or of the United States Attorney, and that you bring with you and produce at the above time and place the following:¶

Please see the attached rider. Personal appearance is not required if the requested records are (1) produced on or before the return date to S/ Phone: 2 and (2) accompanied by an executed copy of the attached Declaration of Custodian of Records.¶

Failure to attend and produce any items hereby demanded will constitute contempt of court and will subject you to civil sanctions and criminal penalties, in addition to other penalties of the Law.¶

DATED: New York, New York August 28, 2019¶

Geoffrey S. Berman / RD¶

GEOFFREY S. BERMAN¶

United States Attorney¶

Assistant United States Attorney¶

One St. Andrew’s Plaza¶

New York, New York 10007¶

Telephone: [blank]¶

Email: [blank]¶

RECEIVED¶

SEP 3 2019¶

Richmend Legal Dept¶

rev. 02.01.12¶

EFTA00123711¶

RIDER¶

(Grand Jury Subpoena to Capital One Bank; dated August 28, 2019, USAO #2019R00903)¶

REQUEST:¶

For any account as to which the below individuals are signatories, including but not limited to Capital One Account :¶

Please provide any and all documents, to include, but not limited to those identified below, for the period January 1, 2015 until the present:¶

a. Account opening documents, including applications and signature cards;¶

b. Records of account holders for debit and credit cards liked to the accounts;¶

c. Account statements and ledgers;¶

d. Images of checks (both front and back) deposited in account;¶

e. Images of canceled checks (both front and back) drawn on account;¶

f. Images of cashier’s checks (both front and back) and depositing bank account information;¶

g. Account deposit slips, withdrawal slips, debit & credit memos, and cash tickets;¶

j. Detailed wire transfer records, ACH transfer records (including routing/account numbers funds transferred to/from), money orders, and traveler’s check records;¶

i. Loan account records including loan applications, financial statements, issued Form 1099s, tax returns, collateral documents, security schedules, form of repayment (check or currency), and correspondence;¶

j. All credit card and line of credit records, including, but not limited to: applications, monthly statements, billing slips, and records evidencing the source of payment (copies of checks, ACH records (including routing/account numbers funds transferred to/from), or cash received slips);¶

k. All credit card and line of credit records, including, but not limited to: applications, monthly statements, billing slips, and records evidencing the source of payment (copies of checks, ACH records (including routing/account numbers funds transferred to/from), or cash received slips);¶

1. All safety deposit box records, including applications, entry records, box number(s), signature cards, or other documentation authorizing an individual or entity as a signatory on the account;

m. Customer information associated with the account, including name(s), address(es), telephone number(s), e-mail address(es), and any other identifying or contact information;¶

n. Correspondence with the account holder(s) or regarding the account;¶

o. IP history associated to online banking and/or mobile banking, including IP history, user agent strings, cookies and device information captured, IMEI numbers captured;¶

p. Surveillance tapes/images of transactions; and¶

q. Recordings, memoranda, and notes of any telephone calls made by the holder of this account, or made in reference to this account.¶

EFTA00123712¶

INSTRUCTIONS FOR PRODUCTION OF DOCUMENTS:¶

• All transactions-based information, include wire and ACH transfers, withdrawals/deposits, charges/payments, and bank account activity should be provided in electronic spreadsheet format (either Microsoft Excel or similarly compatible format). Specifically:

a. For wires and other types of transfers, the account holder name, account number, and bank name of both the originator and beneficiary of the transaction should be clearly stated in separate fields.¶

b. Cash and check transactions should be indicated within a transaction type field.¶

i. Check transactions should include the name of the payee in the recipient field. Additionally, check images should be attached in graphic data files in a commonly readable, non-proprietary format with the highest image quality maintained, and named in a manner that uniquely associates them with the relevant transaction record(s).¶

ii. Cash withdrawals should be indicated with CASH written in the recipient field.¶

iii. Cash deposits should be indicated with CASH written in the sender/originator field.¶

c. Field headers should be included for each column of data, and a data dictionary or other explanation of the contents of each column provided.¶

• Where more than one account is being requested, each account’s transaction records should be returned in a separate file.

• All document images are to be produced in electronic PDF format. Where images of checks, deposit slips, withdrawal slips, or cash tickets are being produced, they should be produced no more than two per page.

• All telephone call recordings are to be produced with an accompanying spreadsheet indicating the date and time of the call, the calling telephone number, and the account(s) being referenced on the call. Where there is a recording of a call and call notes, this subpoena calls for both the production of the recording and the call notes or memoranda.

• In lieu of an appearance you may comply with this subpoena by providing the requested information, along with a business records certification pursuant to Fed. R. Evid. 803(6) to SA Phone: