Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-casd-3_16-cv-01952/USCOURTS-casd-3_16-cv-01952-0/pdf.json

Nature of Suit Code: 850
Nature of Suit: Securities, Commodities, Exchange
Cause of Action: 12:3410 Right to Financial Privacy: Customer Challenges

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16cv1952-GPC-MDD 

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UNITED STATES DISTRICT COURT 

SOUTHERN DISTRICT OF CALIFORNIA 

ANDREW COLDICUTT 

 Plaintiff,

v. 

UNITED STATES SECURITIES 

AND EXCHANGE COMMISSION, 

 Defendant.

 Case No.: 16cv1952-GPC-MDD 

ORDER DENYING WITHOUT 

PREJUDICE PLAINTIFF'S 

MOTION FOR ORDER 

PURSUANT TO CUSTOMER 

CHALLENGE PROVISIONS OF 

THE RIGHT TO FINANCIAL 

PRIVACY ACT OF 1978 

[ECF NO. 1] 

 Before the Court is Plaintiff’s motion to quash an administrative 

subpoena issued by the United States Securities and Exchange Commission 

to Plaintiff’s bank calling for the production of Plaintiff’s financial records. 

See Plaintiff’s Declaration at ¶¶ 1, 10 (ECF No. 1-2). Plaintiff’s motion is 

brought pursuant to the Right to Financial Privacy Act of 1978 (“RFPA”), 12 

U.S.C. §3410. (ECF No. 1). 

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16cv1952-GPC-MDD 

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 The RFPA provides “the sole judicial remedy available to a customer to 

oppose disclosure of financial records” pursuant to an administrative 

subpoena. 12 U.S.C. §3410(e). Under the RFPA, a “‘customer’ means a 

person or authorized representative of that person . . . .” §3401(5). A 

“‘person’ means an individual or a partnership of five or fewer individuals.” 

§3401(4). A customer may file a motion to quash within “ten days of service 

or within fourteen days of mailing of a subpoena . . . .” §3410(a). The RFPA 

does not apply to any corporate entities. 

 Along with his motion, Plaintiff filed a Declaration. (ECF No. 1-2). The 

Declaration fails to allege that Plaintiff is a “customer” within the meaning of 

the RFPA as required by §3410(a)(1) and fails to provide any facts regarding 

the timeliness of his motion. The Declaration refers to two Exhibits; 

however, those exhibits were not filed with the Declaration. The Court does 

not know whether the unfiled exhibits would satisfy the jurisdictional 

deficiencies. 

 At this juncture, the Court finds that Plaintiff has not complied with 

§3410(a) and, accordingly, will not require Defendant to respond. See 

§3410(b). Plaintiff’s motion is DENIED WITHOUT PREJUDICE. 

Dated: August 4, 2016

 

Case 3:16-cv-01952-GPC-MDD Document 2 Filed 08/04/16 Page 2 of 2