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Bussing v. COR Clearing, LLC

United States District Court, D. Nebraska

October 16, 2015

JULIE A. BUSSING, Plaintiff,
v.
COR CLEARING, LLC, COR SECURITIES HOLDINGS, Inc.; CARLOS P. SALAS, CHRISTOPHER L. FRANKEL, JEFFREY N. SIME, AND STEVEN A. SUGARMAN, Defendants.

ORDER

CHERYL R. ZWART, UNITED STATES MAGISTRATE JUDGE

Pending before me is the parties’ dispute over Plaintiffs proposed Subpoena Duces Tecum to be served on FINRA, and whether Defendants must produce emails to Plaintiff in native format. (Filing No. 154).

FINRA Subpoena

The plaintiffs proposed subpoena demands FINRA’s production of

--All documents or records relating to:
• the FINRA Rule 8210 notice dated April 25, 2012;
• FINRA Disciplinary Proceeding# 2009016234701; and
• FINRA Disciplinary Proceeding# 2007007133001.[1]
All recordings or transcripts of proceedings relating to Kevin Daniels v. COR Clearing LLC, FINRA Arbitration Case No. 13-01262.[2]

--As to the FINRA 8210 notice dated April 25, 2012; FINRA Disciplinary Proceeding# 2009016234701; FINRA Disciplinary Proceeding #2007007133001; the Bank Secrecy Act; anti-money laundering rules or requirements; or any investigation or proceeding pending or in effect at any time between September 1, 2011, to May 31, 2012, inclusive.

• A list of all pending and all closed arbitration cases or disciplinary investigations, proceedings, or matters involving Legent Clearing, LLC, n/k/a COR Clearing, LLC, or any director, officer, shareholder, supervisor or party currently or formerly associated or registered with the firm;
• All documents or records relating to Defendant Steven A. Sugarman, CRD # 4749281;
• All documents or records relating to Defendant Carlos P. Salas, CRD # 4024491;
• All documents or records relating to Defendant Christopher L. ...

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