Legal Definitions - third-party record-custodian summons

A third-party record-custodian summons is a legal document issued by a government agency, typically for investigative purposes, that compels an organization or individual (the "third-party record custodian") to provide records pertaining to one or more individuals whose identities are not yet known to the agency. This type of summons is often used when an agency suspects a pattern of illegal activity but needs to examine records held by a third party to identify the specific individuals involved.

Here are some examples illustrating this term:

• Example 1: Financial Investigation

  The Internal Revenue Service (IRS) suspects a widespread scheme where a group of individuals is using a specific type of complex financial product offered by a particular investment firm to illegally shelter income and evade taxes. The IRS has identified the investment firm as holding relevant account information but does not yet know the names of the individuals involved in the scheme. The IRS issues a third-party record-custodian summons to the investment firm, requiring it to produce records for all accounts that meet certain criteria (e.g., opened within specific dates, involving particular transaction types) that could reveal the identities of the tax evaders.

  How it illustrates the term: The investment firm is the third-party record custodian, as it holds records for others. The IRS is seeking records for unnamed individuals (the "John Does") suspected of tax evasion, relying on the firm to provide the necessary information to identify them.

• Example 2: Healthcare Fraud

  A state's Department of Health and Human Services suspects a pattern of fraudulent billing for medical services involving a specific diagnostic laboratory and a group of unidentified patients. The department believes the lab is submitting claims for tests that were never performed or were medically unnecessary, but they don't have the specific patient names involved in the fraudulent claims. They issue a third-party record-custodian summons to the diagnostic laboratory, demanding patient billing records that fit a specific profile (e.g., multiple identical tests billed for the same patient on different dates, or tests billed without a corresponding physician order).

  How it illustrates the term: The diagnostic laboratory is the third-party record custodian, holding patient and billing information. The Department of Health and Human Services is seeking records for unnamed patients (the "John Does") suspected of being part of a fraudulent billing scheme, using the lab's records to uncover their identities.

• Example 3: Online Piracy Investigation

  Federal law enforcement agencies are investigating a large-scale operation involving the illegal distribution of copyrighted material through a specific file-sharing platform. While they have identified the platform, they do not know the identities of the individual users who are uploading and sharing the pirated content. They issue a third-party record-custodian summons to the company operating the file-sharing platform, requesting user account information, IP addresses, and activity logs associated with the identified pirated content during a specific timeframe.

  How it illustrates the term: The company operating the file-sharing platform is the third-party record custodian, as it stores user data. Law enforcement is seeking records for unnamed individuals (the "John Does") suspected of copyright infringement, using the platform's data to identify them.