New Delhi: After India questioned its authority to issue summons, the US Securities and Exchange Commission (SEC) has approached a federal court to bypass diplomatic channels and serve legal documents directly to Gautam Adani and his nephew Sagar Adani through their US-based lawyers and email.
In a motion filed Wednesday (January 21) in the US District Court for the Eastern District of New York, the SEC said it no longer expects service to be completed under the Hague Convention, the international treaty it had been relying on since February 2025.
The SEC cited its Rule 5(b), which outlines how the agency initiates enforcement actions or involves the Department of Justice. India’s Ministry of Law and Justice had reviewed the documents and claimed they did not meet these criteria, but the SEC dismissed this objection as “meritless.”
“This objection does not affect the SEC’s power to enforce the law or the procedures for serving documents under the Hague Convention,” the agency stated, adding that India was questioning its right to seek service through the treaty.
This is the second time the Indian ministry has refused to serve the documents. The first refusal in April 2025 cited missing seals and signatures, which the SEC said were unnecessary under international rules.
The SEC is now seeking permission under Rule 4(f)(3) of the Federal Rules of Civil Procedure to serve the summons and complaint through Adani’s US lawyers and business email addresses. The agency said this method would ensure “effective notice” to the defendants, who are aware of the case and actively responding.
Why the SEC filed the case
The SEC filed a civil complaint on November 20, 2024, against Gautam Adani, chairman of Adani Green Energy Limited, and Sagar Adani, an executive director of the company, alleging a bribery scheme involving hundreds of millions of dollars in payments or promises to Indian government officials. These allegations relate to bonds issued by Adani Green in September 2021, which raised over $175 million from US investors. According to the SEC, the offering documents contained misleading statements about the company’s anti-bribery programs.
On the same day, the US Attorney’s Office for the Eastern District of New York filed a criminal case, accusing Adani and others of securities fraud and wire fraud conspiracies. The Adani Group called the allegations “baseless” and said it would pursue all legal remedies.
Attempts to serve documents through India failed
The SEC first attempted to serve the summons on February 17, 2025, through India’s Ministry of Law and Justice under the Hague Convention, which permits international service of legal documents. The ministry forwarded the requests to the District and Sessions Court in Ahmedabad, but they were returned unserved in April, citing a lack of seals.
The SEC resubmitted the requests in May 2025, explaining that the Hague Convention does not require seals and providing examples of previous successful service requests sent to India without seals. However, the ministry did not respond to follow-up inquiries in April and September 2025.
SEC now seeks service through lawyers and email
In its motion, the SEC requested that Judge Nicholas G. Garaufis allow service on Sagar Adani through his US lawyers at Hecker Fink LLP and on Gautam Adani through his US lawyers at Kirkland & Ellis LLP and Quinn Emanuel Urquhart & Sullivan LLP, as well as by email to their corporate addresses.
The agency argued that both defendants are already aware of the lawsuit based on public statements, regulatory filings, and their retention of US counsel. Documents obtained during the SEC’s investigation show that Gautam and Sagar Adani regularly use their corporate email for business purposes, including discussions about bond offerings.
The SEC argued in its memorandum, “Therefore, serving the defendants’ established counsel is ‘virtually guaranteed to provide notice to the defendants’,” noting that the Adanis are actively managing their response to the lawsuit.
