Section 407. (a) The secretary in his discretion (1) may make such public or private investigations within or outside of the commonwealth as he deems necessary to determine whether any person has violated or is about to violate any provision of this chapter or any rule or order hereunder, or to aid in the enforcement of this chapter or in the prescribing of rules and forms hereunder, (2) may require or permit any person to file a statement in writing, under oath or otherwise as the secretary determines, as to all the facts and circumstances concerning the matter to be investigated, and (3) may publish information concerning any violation of this chapter or any rule or order hereunder.
(b) For the purpose of any investigation or proceeding under this chapter, the secretary or any officer designated by him may administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, agreements, or other documents or records which the secretary deems relevant or material to the inquiry.
(c) In case of contumacy by, or refusal to obey a subpoena issued to, any person, the superior court for the county in which the person is found or is an inhabitant or transacts business, upon application by the secretary, may issue to the person an order requiring him to appear before the secretary, or the officer designated by him, there to produce documentary evidence if so ordered or to give evidence touching the matter under investigation or in question. Failure to obey the order of the court may be punished by the court as a contempt of court.
(d) No person is excused from attending and testifying or from producing any document or record before the secretary, or in obedience to the subpoena of the secretary or any officer designated by him, or in any proceeding instituted by the secretary, on the ground that the testimony or evidence, documentary or otherwise, required of him may tend to incriminate him or subject him to a penalty of forfeiture; but no individual may be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after claiming his privilege against self-incrimination, to testify or produce evidence, documentary or otherwise, except that the individual testifying is not exempt from prosecution and punishment for perjury or contempt committed in testifying.
Notes of Decisions
Goldstein v. Galvin, 719 F.3d 16 (1st Cir. 2013).
“” This concession has deep roots in the statutory scheme, which imbues the Secretary with a host of judicial functions: • holding adjudicatory hearings and, in the course of them, administering oaths and affirmations, subpoenaing witnesses, compelling the attendance of…”
Cohmad Sec. Corp. v. Galvin, 25 Mass. L. Rptr. 613 (Mass. Super. Ct. 2009).
· cites it 8× “In connection with that investigation, on December 15 and 22, 2008, the division served Cohmad with subpoenas pursuant to G.L.c. 110A, §407(b). Those subpoenas sought, by January 5, 2009, 3 answers to interrogatories and production of documents pertaining to Cohmad’s…”
Galvin v. Massachusetts Mut. Life Ins., 20 Mass. L. Rptr. 533 (Mass. Super. Ct. 2006).
· cites it 4× “” G.L.c. 110A, §407(b). In the event of a refusal to obey a subpoena, the Superior Court, upon application by the Secretary, may order a person to appear before the Secretary and to produce documentary evidence touching upon the matter under investigation.”
Am. Microtel, Inc. v. Sec'y of State, 3 Mass. L. Rptr. 479 (Mass. Super. Ct. 1995).
“See G.L.c. 110A, §§407, 407A. Microtel contends that as a re *485 spondent, it does not have investigatory powers on par with that of the Director, and that the Director’s use of such powers during an adjudicatory proceeding gives the Securities Division an unfair advantage over…”
Galvin v. Jaffe, 25 Mass. L. Rptr. 274 (Mass. Super. Ct. 2009).
“Secretary of the Commonwealth William Galvin (Secretary) seeks an order, pursuant to G.L.c. 110A, §407(c), compelling defendant Robert Jaffe (Jaffe) to comply with a subpoena to testily in connection with the Secretary’s investigation of Bernard Madoff (Madoff) and Madoff…”
— Mass. Gen. Laws ch. 110A, § 407(b) — 3 cases
Goldstein v. Galvin, 719 F.3d 16 (1st Cir. 2013).
“” This concession has deep roots in the statutory scheme, which imbues the Secretary with a host of judicial functions: • holding adjudicatory hearings and, in the course of them, administering oaths and affirmations, subpoenaing witnesses, compelling the attendance of…”
Cohmad Sec. Corp. v. Galvin, 25 Mass. L. Rptr. 613 (Mass. Super. Ct. 2009).
“In connection with that investigation, on December 15 and 22, 2008, the division served Cohmad with subpoenas pursuant to G.L.c. 110A, §407(b). Those subpoenas sought, by January 5, 2009, 3 answers to interrogatories and production of documents pertaining to Cohmad’s…”
Galvin v. Massachusetts Mut. Life Ins., 20 Mass. L. Rptr. 533 (Mass. Super. Ct. 2006).
“” G.L.c. 110A, §407(b). In the event of a refusal to obey a subpoena, the Superior Court, upon application by the Secretary, may order a person to appear before the Secretary and to produce documentary evidence touching upon the matter under investigation.”
— Mass. Gen. Laws ch. 110A, § 407(c) — 3 cases
Galvin v. Massachusetts Mut. Life Ins., 20 Mass. L. Rptr. 533 (Mass. Super. Ct. 2006).
“” G.L.c. 110A, §407(b). In the event of a refusal to obey a subpoena, the Superior Court, upon application by the Secretary, may order a person to appear before the Secretary and to produce documentary evidence touching upon the matter under investigation.”
Galvin v. Jaffe, 25 Mass. L. Rptr. 274 (Mass. Super. Ct. 2009).
“Secretary of the Commonwealth William Galvin (Secretary) seeks an order, pursuant to G.L.c. 110A, §407(c), compelling defendant Robert Jaffe (Jaffe) to comply with a subpoena to testily in connection with the Secretary’s investigation of Bernard Madoff (Madoff) and Madoff…”
Cohmad Sec. Corp. v. Galvin, 25 Mass. L. Rptr. 613 (Mass. Super. Ct. 2009).
“In connection with that investigation, on December 15 and 22, 2008, the division served Cohmad with subpoenas pursuant to G.L.c. 110A, §407(b). Those subpoenas sought, by January 5, 2009, 3 answers to interrogatories and production of documents pertaining to Cohmad’s…”
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