FACTS:                    

The broker received a subpoena from the Superior Court to produce its file in a civil litigation.  The broker is not a party to the litigation but did represent a party during the transaction at issue. 

ISSUE:                      

Does the broker’s duty of confidentiality prohibit him from producing the documents requested in the subpoena?

ANSWER:                

See discussion.

DISCUSSION:         

Generally speaking, a brokerage owes its client a duty of confidentiality.  This means that the broker may not divulge transaction documents or information to a third party without its client’s consent.  However, a subpoena is in essence a court order commanding the delivery of the documents.  The court order trumps the duty of confidentiality.  In other words, the broker should comply with the subpoena and produce the requested documents. 

Note:  Any personal information, such as social security number, date of birth, etc. should be redacted from any documents before they are produced.