Opinion ID: 654186
Heading Depth: 2
Heading Rank: 3

Heading: Supervening Civil Proceeding

Text: 29 Linde Thomson's final argument is that the complaint filed by the RTC on May 3, 1993, served to terminate the investigation, thus rendering the subpoena enforcement proceeding moot. Linde Thomson rests this argument on its perception that the investigation by its terms was limited to determining the existence of legal claims and ensuring the cost-efficiency of filing suit. The RTC's decision to file a claim, according to Linde Thomson, establishes that the investigation has now run its course. We reject the argument that the investigation must terminate when litigation begins, because, as stated previously, we believe that Linde Thomson's argument is founded upon a fundamental [303 U.S.App.D.C. 326] misconception about the scope of the RTC's investigation. The clear language of the order of investigation leaves no room for the conclusion that this administrative subpoena lacks further purpose. 30 Nor does the statute authorizing RTC investigations contemplate the termination of investigative authority upon the commencement of civil proceedings. Without mention of substantive limitation, Congress empowered the RTC to issue administrative subpoenas to facilitate investigations for purposes of carrying out any power, authority or duty under the statute. 12 U.S.C. Secs. 1818(n), 1821(d)(2)(I) (1989) (emphasis added). In United States v. LaSalle Nat'l Bank, 437 U.S. 298, 98 S.Ct. 2357, 57 L.Ed.2d 221 (1978), the Supreme Court refused to enforce an IRS summons after the IRS had referred violations to the Department of Justice for criminal prosecution, on the grounds that the Internal Revenue Code itself terminated the IRS's investigative authority on referral. Id. at 312-13, 98 S.Ct. at 2365. In SEC v. Dresser Industries, 628 F.2d 1368 (D.C.Cir.) (en banc), cert. denied, 449 U.S. 993, 101 S.Ct. 529, 66 L.Ed.2d 289 (1980), by contrast, this court permitted enforcement of an SEC subpoena even though a simultaneous criminal action pertaining to the same activity was underway before a federal grand jury. We distinguished the situations in Dresser and LaSalle Nat'l Bank based on the scope of the enabling statutes. See id. at 1378. Unlike the IRS, which was permitted to use the summons power for only four purposes, the SEC retained full powers of investigation under the pertinent statute even after a criminal proceeding was underway. Id. at 1379. In this case, as in Dresser, the investigative powers authorized by statute are unrestricted. Therefore, we may, and do, affirm the enforcement order of the district court below. 8 Several jurisdictions have employed a similar approach in enforcing administrative subpoenas after the commencement of other proceedings. See, e.g., United States v. Frowein, 727 F.2d 227, 231-32 (2d Cir.1984); United States v. Merit Petroleum, Inc., 731 F.2d 901, 904-05 (Temp.Emer.Ct.App.1984); In re Stanley Plating, 637 F.Supp. 71, 72-73 (D.Conn.1986); Sutro Bros. & Co. v. SEC, 199 F.Supp. 438, 439 (S.D.N.Y.1961).