Harrington Global Opportunity Fund, Limited v. BofA Securities, Inc.

Background

The plaintiff requested permission to serve subpoenas through alternative methods on four non-parties potentially relevant to its claims of spoofing. The plaintiff proposed using certified mail and email and stated that attempts to serve each non-party through traditional personal service had been unsuccessful. The plaintiff also asked to use the same methods for subpoenas to any similar non-parties in the future.

Court’s Analysis

Federal Rule of Civil Procedure 45 requires delivery of a subpoena but does not define “delivering.” The court explained that courts in the Second Circuit have therefore allowed methods other than hand delivery when the method is reasonably calculated to provide timely actual notice. The court noted that certified mail with a return receipt, and email when accompanied by certified mail, have been accepted as alternative subpoena-service methods. Because traditional service had proved impracticable and certified mail and email were reasonably calculated to provide timely notice, the court approved those methods for the four non-parties.

Ruling

Judge Lorna G. Schofield granted the plaintiff’s motion for alternative service as to the four non-parties. The plaintiff was ordered to serve them through certified mail and email. The order did not automatically authorize alternative service on additional non-parties; if the plaintiff seeks to use alternative methods for them, it must file a letter explaining why alternative service is necessary.