Agency violating Fed. Rule 30?

[Lindsay Pinkham]

I hope this isn't a case of an agency violating regulations and getting the reporter in trouble!  I'm a Calif. CSR.  I was asked by the Florida branch of a Washington D.C. agency to report some depos to be taken by the SEC.  The agency had bid on this job and won the bid.  I was not familiar with the agency and don't know who referred them to me.  The two depos were dailies.  I did not get twice the page rate, more like 80% surcharge, even including realtime and a rough.  But they did pay a nice appearance fee, so I was satisfied with the rate.

I finished the jobs and turned each one in the same evening.  This was a federal district court case, so operating under Rule 30, opposing counsel did request that his client be allowed to read in sign.  In fact, at the conclusion of both depos the deponent's attorney made the usual So. Cal. stipulation on the record  - the original going to the witness's attorney, 30 days to inform the plf. SEC of changes, the deponent's atty retaining custody of the original.  I also attached a reporter's certificate indicating review of the transcript was requested.

Then about 8 days later I got a call from the deponent's attorney wondering where the original was.  I said I would have the agency get in touch with him. I emailed the agency and they replied saying they had a contract and purchase order with the SEC saying that the original would go to them, and that deponent's atty could order a certified copy.  Which he hadn't.  The agency ofc mgr told me not to panic, that she was handling it.

So now I'm very concerned, since the enforcement officer of our CSR board has stated that it's the reporter's license that's on the line in case of mishandling like this.  I don't see how a purchase order between the taking atty entity, even if it is the SEC, and the reporting agency supersedes the Federal Rules of Procedure!  Clearly the deponent's atty was unaware of this arrangement.  Another lesson learned.  Next time I'm going to insist that the agency reveal to me any prior arrangements they've made re reading and signing, so I can catch stuff like this at the job and insist on clarification.

[Dana N Thomas]

Is this a FINRA case?  They have specific guidelines on who can have the transcript.

[Janiece Young]

If this is a venued in Federal court or a special court that the SEC has jurisdiction over, I don't think that the infamous So Cal Stipulation would apply, but I'm no expert.  That is just a guess.