Federal vs. Civil Subpoenas: How to Respond

If you’ve received a subpoena, your immediate reaction may be uncertainty or concern. The legal terminology and implications can be overwhelming, and the consequences of responding incorrectly or failing to respond at all can be significant. One of the most important first steps is determining whether you’ve been served with a federal or civil subpoena. While both require you to comply, they differ regarding legal authority, enforcement power, and the potential consequences of noncompliance.

A subpoena is a legal order compelling a person or entity to provide testimony or documents concerning an ongoing legal proceeding. These requests can arise in various legal settings, including criminal cases, civil lawsuits, grand jury investigations, and regulatory inquiries. Although they share a common purpose—gathering evidence—federal and civil subpoenas function quite differently, and understanding those differences is key to protecting your rights and ensuring compliance.

What is a Federal Subpoena?

A federal subpoena is issued by a U.S. District Court, a federal grand jury, or a federal agency such as the Department of Justice (DOJ), the Securities and Exchange Commission (SEC), or the Federal Bureau of Investigation (FBI). These subpoenas are often part of criminal investigations or regulatory enforcement actions and carry significant weight. Failing to comply with a federal subpoena can lead to criminal contempt charges, financial penalties, or even jail time.

Federal subpoenas typically demand testimony, records, or documents that are relevant to an investigation. For example, a business might receive a subpoena requesting financial records as part of an investigation into fraud or insider trading. An individual might be asked to testify before a grand jury regarding a federal criminal case. Because federal subpoenas originate from government authorities with broad investigative powers, they are legally enforceable and often involve high stakes.

What is a Civil Subpoena?

In contrast, a civil subpoena is generally issued concerning a lawsuit between private parties. These subpoenas may be served by an attorney representing a plaintiff or defendant in a dispute, and they typically seek documents, records, or testimony that could be used as evidence in a court case. Either state or federal courts can issue civil subpoenas, but they are primarily focused on business disputes, contract disagreements, employment claims, or personal injury lawsuits.

Although civil subpoenas are legally binding, they do not carry the same immediate criminal penalties as federal ones. If an individual or business fails to comply with a civil subpoena, the requesting party may file a motion to compel compliance. In such cases, a court may impose sanctions, fines, or other legal consequences, and a party’s refusal to cooperate could negatively impact their case. However, unlike federal subpoenas, ignoring a civil subpoena is unlikely to result in criminal charges, though it can still be legally damaging.

Key Differences in Enforcement and Legal Consequences

The consequences of ignoring a subpoena depend primarily on whether it is federal or civil. Federal subpoenas are far more serious because they often pertain to criminal investigations, regulatory compliance matters, or high-stakes legal disputes. A person or entity that fails to respond to a federal subpoena could be held in contempt of court, fined, or even arrested. In extreme cases, law enforcement agencies may intervene to ensure compliance.

Civil subpoenas, while still legally enforceable, are generally handled within the framework of civil litigation. If a party refuses to comply, the opposing side may ask the court to issue compelling orders or impose penalties. These consequences might include fines or an automatic ruling against the non-compliant party, but they do not usually involve criminal liability. However, in some instances—such as fraud, perjury, or the destruction of evidence—a civil subpoena could be tied to broader legal repercussions.

How to Respond to a Subpoena

Regardless of whether a subpoena is federal or civil, the first and most crucial step is to take it seriously. Ignoring a subpoena, or if it does not apply to you, can lead to unnecessary legal trouble. If you receive a subpoena, it is essential to carefully review the document to determine who issued it, what it requests, and what deadlines apply.

Once you understand the nature of the subpoena, the next step is to consult an attorney. A lawyer with experience in subpoena response and legal compliance can help you determine whether the request is valid and whether you have any grounds to challenge or modify it. Some subpoenas may be overly broad, requesting irrelevant, privileged, or confidential information. In such cases, your attorney can file a motion to quash or request a protective order to limit the scope of disclosure.

What is Required: Preparing Your Response

If the subpoena requires you to provide documents, it is crucial to preserve all relevant materials and avoid any action that could be interpreted as obstructing justice. Destroying or altering documents after receiving a subpoena can lead to serious legal consequences, including obstruction charges. Work with your attorney to ensure that your response is legally sound and that you do not waive any rights or privileges inadvertently.

For subpoenas that require testimony, preparation is key. Whether you are testifying in a civil deposition, a federal trial, or a grand jury proceeding, your words can have lasting legal implications. Your attorney can help you understand what questions you may be asked, how to respond appropriately, and what rights you have under the law. In some cases, you may invoke privilege protections, such as the Fifth Amendment right against self-incrimination.

Challenging a Subpoena

In some situations, a subpoena may be legally flawed or unreasonable. If a subpoena places an undue burden on you or requests information protected by privilege, you may have the right to challenge it. A court may quash a subpoena if it is deemed overly broad, irrelevant, or improperly issued. However, challenging a subpoena is a complex legal process that requires careful strategy, so seeking legal counsel before acting is always advisable.

Final Thoughts: Protecting Your Rights in Subpoena Matters

Whether you are dealing with a federal or civil subpoena, understanding your rights and obligations is critical. Federal subpoenas carry serious legal consequences, including the potential for criminal charges, while civil subpoenas primarily impact the outcome of lawsuits. Regardless of the type of subpoena, responding strategically and in compliance with the law is essential to protecting yourself or your business.

If you have received a subpoena and are unsure how to proceed, the Law Offices of Peter Katz can help. With extensive experience in federal investigations, criminal defense, and whistleblower cases, we can provide strategic legal counsel to ensure that your response is both legally sound and protects your rights. Contact us today for a consultation and let us guide you through the complexities of subpoena compliance.