18 U.S.C. § 3057

Bankruptcy investigations

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(a) Any judge, receiver, or trustee having reasonable grounds for believing that any violation under chapter 9 of this title or other laws of the United States relating to insolvent debtors, receiverships or reorganization plans has been committed, or that an investigation should be had in connection therewith, shall report to the appropriate United States attorney all the facts and circumstances of the case, the names of the witnesses and the offense or offenses believed to have been committed. Where one of such officers has made such report, the others need not do so.(b) The United States attorney thereupon shall inquire into the facts and report thereon to the judge, and if it appears probable that any such offense has been committed, shall without delay, present the matter to the grand jury, unless upon inquiry and examination he decides that the ends of public justice do not require investigation or prosecution, in which case he shall report the facts to the Attorney General for his direction.(June 25, 1948, ch. 645, 62 Stat. 818; May 24, 1949, ch. 139, § 48, 63 Stat. 96; Pub. L. 95–598, title III, § 314(i), Nov. 6, 1978, 92 Stat. 2677.)Historical and Revision Notes1948 Act

Based on section 52(e)(1), (2) of title 11, U.S.C., 1940 ed., Bankruptcy (July 1, 1898, ch. 541, § 29e(1), (2), as added by May 27, 1926, ch. 406, § 11, 44 Stat. 665, 666; June 22, 1938, ch. 575, § 1, 52 Stat. 840, 856).

Remaining provisions of section 52 of title 11, U.S.C., 1940 ed., Bankruptcy, constitute sections 151–154, and 3284 of this title.

The words “or laws relating to insolvent debtors, receiverships, or reorganization plans” were inserted to avoid reference to “Title 11”.

Minor changes were made in phraseology.

1949 Act

This section [section 48] clarifies the meaning of section 3057 of title 18, U.S.C., by expressly limiting to laws “of the United States”, violations of laws which are to be reported to the United States attorney.

Editorial NotesAmendments

1978—Subsec. (a). Pub. L. 95–598, § 314(i), substituted “judge” for “referee” and “violation under chapter 9 of this title” for “violations of the bankruptcy laws”.

Subsec. (b). Pub. L. 95–598, § 314(i)(1), substituted “judge” for “referee”.

1949—Subsec. (a). Act May 24, 1949, substituted “or other laws of the United States” for “or laws”.

Statutory Notes and Related SubsidiariesEffective Date of 1978 Amendment

Amendment by Pub. L. 95–598 effective Oct. 1, 1979, see section 402(a) of Pub. L. 95–598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy.

Savings Provision

Amendment by Pub. L. 95–598 not to affect the application of chapter 9 (§ 151 et seq.), chapter 96 (§ 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95–598, set out as a note preceding section 101 of Title 11, Bankruptcy.

Executive DocumentsTransfer of Functions

Functions of all other officers of Department of Justice and functions of all agencies and employees of such Department, with a few exceptions, transferred to Attorney General, with power vested in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 2 of 1950, §§ 1, 2, eff. May 24, 1950, 15 F.R. 3173, 64 Stat. 1261, set out in the Appendix to Title 5, Government Organization and Employees.

Notes of Decisions

Cited in 130 cases (17 in the last 5 years), 1963–2026 · leading case: Kirk v. Hendon (In Re Heinsohn), 231 B.R. 48 (Bankr. E.D. Tenn. 1999).

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Kirk v. Hendon (In Re Heinsohn), 231 B.R. 48 (Bankr. E.D. Tenn. 1999). · cites it 8× “In the notice, the defendant states that in accordance with his responsibilities as trustee under 18 U.S.C. § 3057 , he referred the debtor “to the U.”

Monus v. Lambros, 286 B.R. 629 (N.D. Ohio 2002). · cites it 6× “Lambros, and the United States, and to remand this matter to the Bankruptcy Court in order that Judge Bodoh may: (1) refer the Debt- or’s allegations of perjury against Pat Finn to the United States Attorneys Office pursuant to 18 U.S.C. § 3057 ; (2) allow the proper 2004 exams…”

Seidel v. Durkin (In Re Goodwin), 194 B.R. 214 (9th Cir. BAP 1996). · cites it 4× “§ 3057 , states as follows: (a) Any judge, receiver, or trustee having reasonable grounds for believing that any violation under chapter 9 of this title [involving bankruptcy fraud] or other laws of the United States relating to insolvent debtors, receiverships or reorganization…”

State Bank of India v. Kaliana (In Re Kaliana), 202 B.R. 600 (Bankr. N.D. Ill. 1996). · cites it 4× “In addition, this matter is referred to the United States Attorney for the Northern District of Illinois pursuant to 18 U.S.C. § 3057 (a). I. JURISDICTION AND PROCEDURE The Court has jurisdiction to entertain this matter pursuant to 28 U.”

Narumanchi v. Abdelsayed (In Re Narumanchi), 471 B.R. 35 (D. Conn. 2012). · cites it 5× “Narumanchi also requested that the Bankruptcy Court consider referring the ease to the United States Attorney for criminal prosecution pursuant to 18 U.S.C. § 3057 . Rule 9011 authorizes sanctions for signing certain documents not “well grounded in fact and .”

In re: Jeffrey J. Prosser v., 777 F.3d 154 (3rd Cir. 2015). · cites it 2× “It further alleged that Carroll had failed to report this possible bribery scheme to the United States Attorney as required under 18 U.S.C. § 3057 . 4 The Adversary Complaint sought discovery and a hearing “to determine whether sanctions, disqualification and/or referral for…”

Sandra Slater v. United States Steel Corp., 820 F.3d 1193 (11th Cir. 2016). · cites it 2× “Attorney, as required by 18 U.S.C. § 3057 . 209 But no grounds were present.”

Flushing Sav. Bank v. Parr (In Re Parr), 13 B.R. 1010 (E.D.N.Y 1981). · cites it 3× “The Request for a Criminal Investigation The Bank appeals from the bankruptcy court’s order of October 28, 1980, based upon a memorandum decision of June 16, *1020 1980, denying the Bank’s motion for an order under 18 U.S.C. § 3057 and section 14(d) of the Bankruptcy Act,…”

In Re Halko, 203 B.R. 668 (Bankr. N.D. Ill. 1996). · cites it 4× “In addition, this matter will be referred to the United States Attorney for the Northern District of Illinois pursuant to 18 U.S.C. § 3057 (a). I. JURISDICTION AND PROCEDURE The Court has jurisdiction to entertain this matter pursuant to 28 U.”

Welt v. Jacobson (In Re Aqua Clear Tech., Inc.), 361 B.R. 567 (Bankr. S.D. Florida 2007). · cites it 2× “The Court will direct the Office of the United States Trustee to investigate these matters further and, if that investigation concludes that these or other statutory violations may have occurred, to refer the matter to the United States Attorney for the Southern District of…”

Kagan v. Stubbe (In Re El San Juan Hotel Corp.), 239 B.R. 635 (1st Cir. BAP 1999). · cites it 4× “REPORT TO UNITED STATES ATTORNEY OF ALLEGATIONS OF PERJURY BY OTERO Finally, Kagan complains that the bankruptcy judge did not report Otero to the United States Attorney for investigation of perjury committed in his affidavit, as required by 18 U.S.C. § 3057 . That statute…”

Menotte v. Hahn (In Re Hahn), 362 B.R. 542 (Bankr. S.D. Florida 2007). · cites it 2× “On December 26, 2006, the Court entered an Agreed Order Granting Trustee’s Motion to Compel Debtors to Comply with Court Order Sustaining Trustee’s Objection to Exemptions and for Referral to the United States Attorney Pursuant to 18 U.S.C. § 3057 (the “Agreed Order”). 1 The…”

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