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Cuomo's Motion Seeking Names of Merrill Employees

Cuomo's Motion Seeking Names of Merrill Employees

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Published by DealBook
From DealBook: Andrew Cuomo's motion on March 11, 2009 seeking the names of Merrill Lynch's top earners.
From DealBook: Andrew Cuomo's motion on March 11, 2009 seeking the names of Merrill Lynch's top earners.

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Published by: DealBook on Mar 12, 2009
Copyright:Attribution Non-commercial

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05/10/2014

 
In the Matter
of
the Petition by:ANDREW M. CUOMO, Attorney General
of
theState
of
New York,Petitioner,For an order pursuant to CPLR 2308(b) compellingcompliance with a certain subpoena dated January27,2009, issued by the Attorney General--against -JOHN
A.
THAIN,Respondent.Index No.: 400381109Justice: Bernard J. Fried
ELECTRONICALLY FILEDATTORNEY GENERAL'S MEMORANDUM IN OPPOSITIONTO MOTION TO INTERVENE ANDPETITION TO QUASH OR MODIFY SUBPOENA
ANDREW
M.
CUOMOAttorney General
of
the State
of
New YorkOffice
of
the New York State Attorney General120 Broadway, 23rd FloorNew York, New York 10271(212) 416-8222
 
TABLE
OF
CONTENTS
TABLE OF AUTHORITIES
ii
PRELIMINARY STATEMENT 1STATENIENT OF FACTS 3ARGUMENT
11
I.
BANK OF AMERICA HAS NO LEGAL BASIS FOR INTERVENING IN THEATTORNEY GENERAL'S INVESTIGATION
11
A.
Private Parties May Not Intervene in Martin Act Investigations
11
B.
Even Absent the Explicit Prohibition Against Intervention in Martin ActInvestigations, Bank
of
America May Not Intervene as
of
Right
12
C. Intervention by Permission Would Prejudice the Attorney General'sSubstantive Rights
13
II.
BANK OF AMERICA'S PETITION TO QUASH, FIX CONDITIONS ORMODIFY SHOULD BE REJECTED
13
A. There Is No Basis For Quashing Any Part
of
the Subpoena
14
1.
The Attorney General Was Authorized to Issue the Subpoena 142. There Is A Factual Basis for the Attorney General's Investigation
14
3.
The Information the Attorney General Seeks is Centrally Relevant
to
HisInvestigation
14
4.
Bank
of
America's Privacy Arguments are Unavailing
17
B. Bank
of
America Has No Justification For Obtaining Any Form
of
Confidentiality Protection in the Attorney General's Investigation
181.
The Attorney General Has Discretion
to
Control Confidentiality in HisInvestigations
18
2. The Bonus Payments Are Not a Trade Secret 20CONCLUSION 24
 
TABLE
OF
AUTHORITIESStatutes
CPLR 1012[a][2]
12
Debtor and Creditor Law
§
274
16
Executive Law § 63[12]
1,
14
General Business Law § 352
1,
14,
19,20
Cases
Am. Dental Coop., Inc. v Attorney General
o/the
State
o/New
York,
127 AD2d 274 [1stDept 1987] 15,
17
Anheuser-Busch, Inc. v Abrams,
71
NY2d 327 [1988] 2,
15
Ashland Mgmt.
Inc.
v Janien,
82 NY2d 395 [1993] 20
Attorney-General v Katz,
104 Mise 2d 846 [Sup Ct 1980]. 2, 11,
13
Baker v Cohn,
42 NYS2d 159 [Sup Ct 1942]
17
Carlisle v Bennett,
268 NY 212 [1935]
18
Dibble v Penn State Geisinger Clinic Inc.,
806 A2d 866 [2002]
23
Ferranti Elec., Inc. v Harwood,
43 Mise 2d 533 [Sup Ct 1964]
21
First Energy Leasing Corp. v Attorney-General
of
the State
o/New
York,
68 NY2d 59[1986]
19
Greenthal
&
Co., Inc. v Lefkowitz,
41
AD2d 818 [1st Dept 1973]
12
In
re Abrams v Thruway Food Mkt.
&
Shopping Ctr., Inc.,
147 AD2d 143 [2d Dept 1989].................................................................................................................................
13,
14
In
re Application
0/
Gilchrist,
130 Mise 456 [Sup Ct 1927]
17
In
re Attorney General v Am. Research Council,
10
NY2d 108 [1961]
12
In re Citizens Org. to Protect Envt. v Planning Bd.
of
Irondequoit,
50 AD3d 1460 [2008].......................................................................................................................................
13
In
reEstateo/Mayer,
110Mise2d346
[SupCt
1981]
12
11

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