Short Answer

In North Carolina, a personal representative can demand estate-related records and, if a company resists, use a subpoena issued in the estate proceeding to compel production. If resistance continues, file a verified estate proceeding and ask the Clerk of Superior Court to order the custodian to produce the records and, if needed, enforce compliance by contempt. Start with a written demand enclosing your Letters; escalate to a Rule 45 subpoena; then seek a court order.

Understanding the Problem

You are administering a North Carolina probate estate, have filed inventories and annual accountings, and before a final accounting you discovered unclear debits from a third-party investment account. The company is resisting providing detailed transaction history you need to verify those disbursements. You want to know the concrete steps to force production of those records through the probate court.

Apply the Law

North Carolina law requires a personal representative (executor or administrator) to marshal and safeguard estate assets and keep accurate accounts. When a third-party institution will not provide records voluntarily, the Rules of Civil Procedure apply in estate proceedings before the Clerk of Superior Court, including Rule 45 subpoenas to nonparties. If a third party holds estate property or information needed to recover estate property, you may also initiate an estate proceeding to examine that person and seek an order for delivery. The Clerk can set hearings, issue orders, and enforce them by contempt. Respondents to a petition generally have 20 days to answer after service; a subpoena must allow a reasonable time to comply.

Key Requirements

• Standing: You must be the qualified personal representative (or another interested person) seeking estate records tied to administration.
• Proper process: Use a Rule 45 subpoena duces tecum issued from the estate file to compel a nonparty custodian to produce specified records.
• Scope and specificity: Limit requests to transactions relevant to the estate (accounts in the decedent’s or estate’s name; defined dates; statements, check images, internal ledgers).
• Service and time to comply: Serve the subpoena properly and allow a reasonable compliance period; be prepared to address any motion to quash.
• Escalation route: If the custodian still refuses, file a verified petition in the estate proceeding asking the Clerk to order production and, if appropriate, the recovery of any estate property.
• Enforcement: If an order is ignored, request a show-cause hearing; the Clerk can enforce with civil contempt.

What the Statutes Say

• North Carolina Gen. Stat. § 28A-2-6 (Estate proceedings; procedures) – Makes Rule 45 subpoenas available in estate proceedings before the Clerk.
• North Carolina Gen. Stat. § 1A-1, Rule 45 (Subpoenas) – Authorizes subpoenas to compel nonparties to produce documents and appear.
• North Carolina Gen. Stat. § 28A-15-12 (Actions to recover property of decedent; examination) – Allows a verified petition to examine persons believed to possess estate property and to order recovery.
• North Carolina Gen. Stat. § 7A-103 (Powers of the clerk) – Includes subpoena authority and contempt powers to manage proceedings.

Analysis

Apply the Rule to the Facts: Because you are the personal representative with a final accounting pending and you found unclear debits, you have good cause to demand detailed account records. Start with a formal written request enclosing your Letters; if the institution resists, issue a Rule 45 subpoena from the estate file that narrowly targets the needed date range and accounts. If noncompliance continues, file a verified petition asking the Clerk to order production (and, if appropriate, examination and recovery) and seek enforcement if the order is ignored.

Process & Timing

1. Who files: Personal representative (or counsel). Where: Clerk of Superior Court, Estates Division, in the county where the estate is administered. What: First, send a demand letter with your Letters; then issue a subpoena duces tecum (AOC-G-100) under Rule 45 from the estate file. When: Set a reasonable compliance deadline in the subpoena.
2. If the custodian resists or moves to quash, file a motion to compel or proceed with a verified petition to examine and recover estate property under § 28A-15-12; have the Clerk issue an Estate Proceeding Summons (AOC-E-102) and serve respondents under Rule 4. Respondents generally have 20 days to answer after service; the Clerk will then set a hearing.
3. After hearing, seek an order requiring production by a date certain. If the order is disobeyed, request a show-cause order; the Clerk can enforce through civil contempt until compliance. The final outcome is receipt of the detailed records needed to complete and support your accounting.

Exceptions & Pitfalls

• Overbroad requests risk delay or a motion to quash. Target the specific account numbers, date ranges, and transaction types you need.
• Not all discovery tools apply automatically in estate proceedings; Rule 45 does, but other discovery may require the Clerk’s direction. Ask the Clerk before serving interrogatories or requests for production.
• If the custodian is out of state, you may need to domesticate the subpoena where the records are kept. Build that time into your plan.
• Keep requests tied to the estate. Requesting non-estate or beneficiary personal records without a clear basis can draw objections and sanctions.
• Use the records proactively: unexplained withdrawals or use of estate funds by non-heirs may justify a separate request to recover estate property or adjust distributions, but pursue those in the proper proceeding.

Talk to a Probate Attorney

If you’re facing resistance getting estate account records, our firm can help you use the right subpoenas and court procedures to move things forward. Call us today at (919) 341-7055.

Disclaimer: This article provides general information about North Carolina law based on the single question stated above. It is not legal advice for your specific situation and does not create an attorney-client relationship. Laws, procedures, and local practice can change and may vary by county. If you have a deadline, act promptly and speak with a licensed North Carolina attorney.