State v. Shay

30 Fla. Supp. 2d 11
CourtMarion County Court
DecidedAugust 25, 1988
DocketCase No. 88-1012-MM-A-41
StatusPublished

This text of 30 Fla. Supp. 2d 11 (State v. Shay) is published on Counsel Stack Legal Research, covering Marion County Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Shay, 30 Fla. Supp. 2d 11 (Fla. Super. Ct. 1988).

Opinion

OPINION OF THE COURT

THOMAS D. SAWAYA, County Judge.

ORDER GRANTING DEFENDANT’S MOTION TO DISMISS

Defendant is charged with resisting an officer without violence to his [12]*12person in violation of § 843.02, Fla. Stat. (1988). The Defendant filed a Motion to Dismiss alleging that his actions did not constitute an offense against the proscriptions of that statute. The Court agrees and grants Defendant’s Motion to Dismiss.

Defendant was employed as the branch manager for a savings and loan association in Ocala, Florida. As the representative of the savings and loan, Defendant was served with an investigative subpoena seeking the bank records of Justin Morgan, a customer of the bank. The subpoena was issued pursuant to the authority provided by § 27.04, Fla. Stat. (1988), which empowers the State Attorney to summon and examine witnesses for the State. The subpoena bore the following directive:

PURSUANT TO AN OFFICIAL CRIMINAL INVESTIGATION OF A SUSPECTED FELONY, YOU ARE NOT TO DISCLOSE THE EXISTENCE OF THIS REQUEST. ANY SUCH DISCLOSURE COULD OBSTRUCT AND IMPEDE THE INVESTIGATION BEING CONDUCTED AND THEREBY INTERFERE WITH THE ENFORCEMENT OF THE LAW.

A few days after receiving the subpoena, Defendant had occasion to speak to Justin Morgan on unrelated business. During the conversation, he advised Mr. Morgan of the existence of the subpoena. Mr. Morgan then contacted the Marion County Sheriff’s Office and advised a deputy that he was aware of the subpoena and was willing to cooperate. Mr. Morgan told investigators for the Florida Department of Law Enforcement that Mr. Shay was the person who informed him of the subpoena.

The State thereafter filed an Information charging the Defendant with violation of § 843.02, Fla. Stat. (1988).

The subpoena was issued without any Court order. No testimony or other evidence was proffered to obtain the subpoena and an order was never entered by any judge directing Mr. Shay or anyone else not to divulge the existence of the subpoena.

In order to cause an investigative subpoena to be issued, the Florida Department of Law Enforcement agent simply requests of any Assistant State Attorney that a subpoena be issued. In this circuit, the Assistant State Attorney presently in charge of issuing investigative subpoenas informally inquires of the FDLE agent, without any record being made, if the subpoena is being issued for a proper purpose. The State Attorney is not required by § 27.04, Fla. Stat. (1988), to make any inquiry at all. The subpoena is issued based upon the Assistant [13]*13State Attorney’s decision after this procedure is followed. The issuing Court clerk makes no inquiry into the bona fides of the subpoena.

In this case, no one presented any evidence of any need to any person of authority before the directive not to divulge the existence of the subpoena was typed on the subpoena.

The issue that must be decided is whether the Defendant was legally bound by the directive contained within the subpoena. If he was not, he was free to disclose the existence of the subpoena to the Defendant without violating § 843.02, Fla. Stat. (1988).

This is a case of first impression within this State. The Federal Courts have, however, held that a directive contained within an investigative subpoena served upon a bank or other financial institution forbidding the bank officials to disclose the existence of the subpoena to its depositor is ineffective. In Re Grand Jury Proceedings, 814 F.2d 61 (1st Cir. 1987); In Re Grand Jury Subpoena Duces Tecum, 797 F.2d 676 (8th Cir. 1986); In Re Grand Jury Subpoena, No. GJ31, 628 F. Supp. 580 (W.D. Ark. 1986); In Re Grand Jury Subpoena, 574 F. Supp. 85 (S.D.N.Y. 1983); In Re East Nat. Bank of Denver, 517 F. Supp. 1061 (D. Colo. 1981); In Re Vescovo Special Grand Jury, 473 F. Supp. 1335 (C.D. Ca. 1979).1 In Vescovo, the government served a [14]*14grand jury subpoena on the Crocker National Bank and attached to that subpoena was a letter from a special attorney with the Department of Justice instructing the bank not to disclose to its customers the existence of the subpoena for several days.2 That letter went on to advise the bank that such disclosure would impede the grand jury’s investigation and interfere with the enforcement of the law. The bank’s attorney was also advised by the government’s attorney during a telephone conversation that failure to honor the secrecy directive contained within the letter could subject the bank officials to prosecution for obstruction of justice. The bank placed the issue of the validity of the secrecy directive before the court when it filed its motion to quash the subpoena or, in the alternative, requested an order making withdrawal of the confidentiality requirement a condition of the bank’s obligation to comply with the subpoena. The court ruled that the government could not legally impose an obligation of secrecy upon the bank with respect to the subpoena and that the bank could, if it chose, notify its customer of the existence of the subpoena without suffering criminal liability.

The court in East National Bank found it difficult to understand or perceive any public or private threat of prosecution of a bank officer for obstructing justice were he or she to inform a customer that a subpoena had been issued requesting the customer’s financial records. The court specifically held that “the banks can or they cannot, as they choose, notify a customer that the customer’s bank records have been subpoenaed. If a bank notifies a customer, no sustainable prosecution for obstructing justice can follow.” 517 F. Supp. at 1067. The government in In Re Grand Jury Subpoena, went a step further and made an ex parte application to the court for an order prohibiting a bank from disclosing to its customers the existence of a subpoena duces tecum for that customer’s records. In denying the government request, the court stated that “[o]ne who does business with a bank would reasonably expect to be notified by the bank if it received a subpoena for records [15]*15of ones transactions.” 574 F. Supp. at 86. The court went on to emphasize that “[o]rders forbidding such communications should not ... be issued on so meager a basis as a prosecutor’s conclusory statement, lacking any demonstrated foundation, that an investigation would be ‘frustrated’ ”. Id.

The State’s reliance on Winfield v Division of Pari-Mutuel Wagering, Dept. of Business Reg., 477 So.2d 544 (Fla. 1985), is misplaced. In that case, the court was confronted with the issue of whether Article I, Section 23 of the Florida Constitution prevented the Division of PariMutuel Wagering from issuing a subpoena directed to a depositor’s bank records without notice and whether such a subpoena constituted an infringement and unbridled breach of legislative power. THe court answered these questions in the negative and held that, even though an individual does have a legitimate expectation of privacy in financial institution records, the State has a compelling and overriding interest in conducting effective investigations in the pari-mutuel industry.

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Related

United States v. Central Supply Ass'n
34 F. Supp. 241 (N.D. Ohio, 1940)
Goodman v. United States
108 F.2d 516 (Ninth Circuit, 1939)
Winfield v. Div. of Pari-Mutuel Wagering
477 So. 2d 544 (Supreme Court of Florida, 1985)
In Re Grand Jury Subpoena Duces Tecum
574 F. Supp. 85 (S.D. New York, 1983)
State Ex Rel. Martin v. Michell
188 So. 2d 684 (District Court of Appeal of Florida, 1966)
Burgess v. State
313 So. 2d 479 (District Court of Appeal of Florida, 1975)
In Re Vescovo Special Grand Jury
473 F. Supp. 1335 (C.D. California, 1979)
In Re Grand Jury Subpoena East National Bank of Denver
517 F. Supp. 1061 (D. Colorado, 1981)
In Re Grand Jury Subpoena, No. Gj 31
628 F. Supp. 580 (W.D. Arkansas, 1986)
Gray v. State
489 So. 2d 86 (District Court of Appeal of Florida, 1986)

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Bluebook (online)
30 Fla. Supp. 2d 11, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-shay-flactyct41-1988.