The U.S. has seen many economic “ups

and downs.” Rich and poor alike have

seen their finances crash, and have

been left with no option but

bankruptcy. Bankruptcy records contain

a wealth of details that can be found in

few, if any other place. These can

Jessica Hopkins

Broke, But Not Out of Luck: Exploring Bankruptcy Records for Genealogy Research

Session 10 www.archives.gov/calendar/genealogy-fair

include items owned by an individual

or company as well as a listing of

whom they borrowed from. This class

will take a look at what bankruptcy

records are available, what type of

information can be found, and inform

on how to research the records.

1

Session 10 www.archives.gov/calendar/genealogy-fair

Jessica Hopkins is an archivist for the National Archives

at Kansas City. In this role, currently, she is helping

oversee, manage, and provide access to bankruptcy

records from courts throughout the United States.

Jessica is working towards a Master’s in Public History

at Arizona State University. Her B.A. is in History and

Secondary Education from William Jewell College. Jessica Hopkins

Archivist National Archives

at Kansas City

2

Broke, But Not Out of Luck: Exploring Bankruptcy Records

Jessica Hopkins, Archivist

National Archives at Kansas City

Session 10 3

Case 4457, In the Matter of Laugh-O-Gram Films

https://catalog.archives.gov/id/6997521

Session 10 4

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Session 10 5

Objectives • Briefly describe Federal bankruptcy history

• Know what records are available

• Understand how to research the records

Session 10 6

Economic Ups and Downs

• As many as 47 recessions in the United States since 1790.

• Causes include:

– War

– Natural Disasters

– Financial Bubbles

– Foreign Policy

– Domestic Policy

Depression: Breadlines: long line of people waiting to be fed: New York City, ca. 02/1932, National Archives Identifier 196499

7Session 10

Government Authority Congress has authority under Article I, Section 8, Clause 4 of the Constitution to legislate “uniform laws on the subject of Bankruptcies.”

By 1900, four separate bankruptcy laws passed:

Bankruptcy Act of 1800 Bankruptcy Act of 1867

Bankruptcy Act of 1841 Bankruptcy Act of 1898

Session 10 8

Bankruptcy Act of 1800

• Panic of 1797 caused Limited to merchants by land speculation

CAUSE •

APPLICATION OF ACT:

• Involuntary Bankruptcies only bubble

• Deflation from Bank of England

• Quasi-War with France

• System abused by corruption and favoritism

EFFECT: • Repealed in 1803

• Resulted in state operated bankruptcy system in absence of Federal law

• 38 years without Federal bankruptcy law Session 10 9

Bankruptcy Act of 1841

CAUSE: • Panic of 1837 caused by

massive bank failures • Collapse of cotton market

APPLICATION OF THE ACT: • Voluntary bankruptcy permitted • Debtor could file for bankruptcy and

receive discharge of debt • Any individual could be debtor

EFFECTS: • Creditors viewed law

as providing few payments, and discharging many debtors • Repealed in 1843

Session 10 10

Bankruptcy Act of 1867 CAUSES: • Recession of 1865-1867 followed economic devastation of

Civil War

• International financial instability

EFFECTS: • Suffered from same problems as previous acts. • Repealed in 1878.

APPLICATION OF ACT: • Involuntary Bankruptcy for any individual

• Courts appointed registers in bankruptcy

Session 10 11

Bankruptcy Act of 1898

CAUSES: • Panic of 1893 caused

by failure of Reading Railroad • Withdrawal of

European investments

APPLICATION OF THE LAW • Individuals entitled to benefits of

voluntary bankruptcy • Anyone owing $1,000 or more could

be adjudged an involuntary bankrupt

EFFECT: Lasted until 1978

12Session 10

General Contents of Case Files Cases can include: Libels Defendant’s answers Schedule of debts

Motions Stipulations Lists of Names and Addresses of creditors

Transcripts of testimony Depositions Inventories of real and personal property

Exhibits and evidence Reports Final decrees and discharges

Court Orders Claims Briefs

Petitions Arguments Opinions

*Documents available per each case will vary.

Session 10 13

Bankruptcy Vocabulary

• Schedules: Detailed lists filed by the debtor along with the petition showing the debtor's assets, liabilities, and other financial information.

• Trustee: The representative of the bankruptcy estate who exercises statutory powers, principally for the benefit of the unsecured creditors, under the general supervision of the court/The trustee's responsibilities include reviewing the debtor's petition and schedules and bringing actions against creditors or the debtor to recover property of the bankruptcy estate.

http://www.uscourts.gov/educational-resources/educational-activities/bankruptcy-basics-glossary

Session 10 14

EXAMPLES OF BANKRUPTCY CASE FILES

Session 10 15

Unsecured Creditors

Session 10 16

Application for Rejection of Burdensome

Property

Session 10 17

1· <!Jj Eli' 'vY.

"'ow.,.R co; ~ul..:e.::l . Jo.d~ or.:i .r~;.e-pec-:f'ully rc;pre:,HJ::'ltJ ant. s-::ms to

the court tl_s."";; aLlan.., ctter; r-1,-~Jc:..e c1f IJG1"U:>t:.!l.~ pxope2'ty novr in tbe JHl~

eeesi on of !!Cr:l}:; \,; . !a-ley. t_.e Aroj 1-L.~o-y r:<H, 1rc--r Lo1· ~;:~lu, j vor t,.t£it.

rrnpe::-ty oalon;;;;.., t> ~tdd Hl u

&l:ln au_t . ""-:et:.er wit!: o::1~r Fl'l'el; pe:rso.:!l: efrech lJelo-:n 'iLl tc

ill ,.,_ _ . ~oey; Lhat u ia; -To~erty e.oO'I'> ro:erred. t~ 1e exempt

a.:~ £~1: un~e::- o=~cut~o.::

orei~=" lt..oL by ;roc~on o·' 11 whicll t:•ti;;ioneT res?ectf'J.lly rr~ya

Jop-:--t to f~.tJ tilli enter <t!a ;;r!ler bc::-e!::t i~rect1ng SJ.1d a.u-:·1.or!.z:D8' :.w

~~r~ t: ~~~ aub~o~i~e1 tefore ra ttie e£- ri"7~ee~ t;ti, .. ~rmd A..r1 nntt..l"'-tr:l_,.:,;qa.J.

y ~'!Cmrttil.lil1m e:x-.1-na ~~ ~ 11 L·r __ .

-~~v.(f~:~~-------t ________ _

0orues now :illian "' , .~od;;r ana rospectfl.:lly represents an<l shows to

the Jourt that among other a=t~cla~ of perdonal prcpe~ty now i~ the pos-

session o.r Dewey " • lCi:!.ey, the .!!.Ilcjllary .. P.ceive:r .::erein, is oe:rtai:r:

proper~y belongirl€ to t::aid .ill'ian: ~ . Cod,v , individually , to- wit : ;)fie

box oonte.ining Bilver ..:~OUI!.ted eatldle !iiid hair bri~le, and al~o one buck-

akin suit , t~)etner ~ith a7.~cr ~urely pe:rson~l ci~octe ~e:on~ing tc ~eid

.illicn: .;ocl~r ; tt •. Tt NJ.1d -cror.er;;y above raferre~ to is exempt froo levy

under o::::tJcu.tior.:

Petition

Session 10 18

Sohedule • A • I ll .

Stateoent o ' &11 creditors ·-;ho are to be paid in run. or to whoo pri­

or ity ts secured hy lsw.

Il l Taxes and deht11 due and owtng to the United St.ates ;

None None None .

121 Taxes d•1e and owing to the State of Nebraska. or to any County.

r istrtcl or Muntc1pal1ty thereor:

Pel'l!ont\1. ta'l{es due t he County of ~lad lson, Nehrnst.a. OS rollcnrs :

1B95 - - - - - - - - - - - - - - - - - - - - - - - - - - s ' "".

Personal ta~es due the County of Madison. Nebraska. as follows :- - - - - - 1,: : : : : : : : : : : : : : 1 . 52 3 .1* 4.00 9 . 33

1<395 1894 18~3 -1892 -1801 1890

Total

$ 1.52 3 . 34 4 . 20 9 . 33

12.15 13 . 00 «.14

Total - - - - - - - - -

12.15 13. 00 «.14

e rvMt s . to an aoount. r:ot exceedlng

nths before tili ng the patit.ion .

~one . None.

None .

:;; l&t>llati Ill eM. {M...

Pet.if.loner.

Schedule A Back Taxes Due

Session 10 19

Fraizer-Lemke Case Files

North Dakota Homestead lost during the Depression

20Session 10

Example of Bankruptcy Case File

Schedules of the Bankrupt Filled by the Petitioning Creditors

Session 10 21

Looking for Indications of Bankruptcy

• Newspaper articles

• Family lore

• Related court case

• Changes in property or location between census years

Session 10 22

Researching Bankruptcy Records

Geographical Area

Time Frame

Party Involved

Information needed to begin research:

Will require utilization of National Archives Catalog and paper-based finding aids Session 10 23

Finding Aid Created by the Courts – Part 1

Case Indexes

• Listing of all bankruptcy cases or all cases tried by the court

• Direct and inverted indexes

• Indexes can be incomplete

Docket Books

• Contains brief notes stating what action was taken that day in court on a particular case

• Arranged by case number

Session 10 24

Finding Aid Created by the Courts – Part 2

Journal and Minute Books Final Record Books

• Document day to day proceedings

• Search by a particular date or date range

• Locate case numbers

• Compilation of case proceedings

• Contain information not found in case files

Session 10 25

B ANKRUPTCY OOCKrr BANKRUPTCY DocKET

fTIJV ~n: ICIOCM:D ,...,,.,

7d .-~ ,,c-...!!_ '>10

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1~ 1/r. ,._ d-J--1... J-.1. J J"' : .• ~ (f.fA'!.'i~~J ~ .,.. OII~J. /. x.c.. IL ". f~o~. {. ~ -J&l ~ j; , .. a_.,_~.i.A. IJI. .1':-~ .L L. .J'J I ":1 ~

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Bankruptcy Docket Sample

Session 10 26

Locating Findings Aids and Case Files

FINDINGS AIDS

Dockets

• Indexes • Journal and Minute Books • Final Records Books

CASE FILES National Archives at Kansas City

National Archives throughout the United States

*Dependent on location of the court

Session 10 27

http://www.archives.gov/research/catalog/

28 Session 10

Search Tips:

• Will not yield specific cases

• Should include the state

• Provides a stepping stone for your research

Terms to use: • Bankruptcy Act • Case Files • Dockets • District Court • State

29Session 10

Research Our Records Veterans Service Records Shop Online

Research Our Records Home > Research Our Records > The National Archives Catalog 1111111111...~ · ~

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Session 10 30

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Available Onlin6 Web~ages Documents lmage3 Videos Results Jer page 20 "

Bankruptcy Act of 1898 Case Files , 11111901 -12/3111939 The case files contain the petition for bankruptcy, various schedules, and relateo papers, including pe:itions for dis:harge orders of reference, ~roofs of pJblication and notices tJ creditors, reports by comm ssione·s, sc1edules contain in ..

National Archives Identifier: 824549 Creator: U.S Distr ct Court for the Western District of New York. 19CO-

Bankruptcy Act of 1898 Case Files , 1/1/1898-12/31/1944 The case files contain the petilion for bankruptcy, various schedJies, and related papers, including pe:itions for dis:harge orders of reference, proofs of pJblication and notices t~ creditors, reports by comm ssione·s, sc1edules contain in .. National Archives Identifier: 824487 Creator: U S Distr ct Court for the 'lorthern District of New York. 1 g14-

National Archives website pages

July 28, 2000 National Arc/wes· Ar::hi~es.gov Ulysses as an obscene import 4 Bankmptcy Records NARA's No1heast Region has ccstody of the records generated by the na:ional bankruptcy Acts of 1800, 1841, 1867, ~rK.l 18S8. E~Ur

Federal Bankruptcy Case Files Records Relocation National Arc/wes· Ar::/ri~es.gov . District Court for the East3rn District of New York Bankruptcy Act of 1867 Case Files 11/3/2014 21 U.S. District Court for the Eastern Dist•ict of New York. Bankruptcy Act uf 1898 C1:1se Files

Prologue: Selected Articles National Arc/Jives· Pr:>logue Magazine fcur in order to pror1ote the efficient cischarge of new duties given them urd3r ":h3 Internal Reverue [Act], the Bureau of F·eedmEn and Refugees [Act], the general Bankruptcy Act, a 1d 'an act to

Bankruptcy Act of 1898 Case Files , 11111900-12/3111944 The case files contain the petilion for bankruptcy, various schedJies, and related papers, including pe:itions for dis:harge orders of reference, proofs of pJblication and rrulice~ lu uedilurs, r;;~ur ls IJy curr rrnssiurre ·s , suellules cunltlirrirr ..

National Archives Identifier: 825192

Session 10 31

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Bankruptcy Act of 1898 Case Files , 1/1/1901 -12131 /1939 The case files contain the petition for bankruptcy, various schedules, ard related papers, including petitions for discharge, orders of reference, proofs of pJblication and notices to creditors, repo1s by commissio1ers, schedules containin ... National Archives Identifier: 824549 Creator: U S District Cour: for the Weste·n D strict of New York 1900-

Bankruptcy Act of 1898 Case Files , 1/1/1898-1213111944 The case files contain the petition for bankruptcy, various schedules, ard related papers, including petitions for discharge, orders of reference, proofs of pJblication and notices to creditors, repo1s by commissio1ers, schedules containin. National Archives Identifier: 824487 Creator: U S. District Cour: for the Northern District of New York. 18t 4-

Bankruptcy Act of 1898 Case Files , 1/1/1900- 12131/1944 The case files contain the petit ion for bankruptcy, various schedules, ar d related papers, incuding petitions for discharge, orders of reference, proofs of pJblication and notices to creditors, repois by commissio1ers, schedules containin .. National Archives Identifier: 825192 Creator: US District Cour: for the Eastem District of New York. 1865-

Bankruptcy Act of 1898 Case Files , 1/1/1899- 1213111945 The case files contain the petition for bankruptcy, various schedules, ard related papers, including petitions for ,jischarge, orders of reference, proofs of pJblication and notices to creditors, repo1s by commissio1ers, schedules containin .. National Archives Identifier: 824560 Creator: U S District Cour: for the Scuthern Distri:t of New York. 1814-

Bankruptcy Act of 1898 Case Files, 1898 -1977 the New York, New Haven a~d ~artford Railroad Corrpany, 1961-1977. National Archives Identifier: !inflffiO Local Identifier: RS--n4Fl Creator: U.S. District Coun for the District of Connecticut. 1789-

Index to Bankruptcy Act of 1898 Case Files, 1898-1929 This series consists of an index to tankruptcy cases initiated in the U S Distri:t Court National Archives Identifier: fi0~4fl/1 Creator: U.S. District Cour: for the Northern District of New York. 1814-

Note: • Varying court locations, e.g. U.S. District Court for the Northern District of New York • Varying date spans

Session 10 32

33

Title and date

National Archives Identifier (number)

Creator

Scope and Content

Contact(s) 5

Session 10

5

Session 10 34

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<:: RetJr1 :o O~rch Re3ul1s

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Bankruptc~ Act of 1898 Case Files , 1/111901 - 12131/1939

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To •)blair;; c.op"( orview1he re,orc5. olee~ torbct or,·isi:the ~a:icnal A't 1ive~and Ret~ Adll n ~trato1 otatol{~) li ~:ed in t-.e CQrtact informati)r t-eoA

A.ifdition411nf~1ion About this Serie~

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National Archives ldcntiticr: a.t4!>4!:f

Cr~1oflst: U.S. Dm1i:: Colli fc,r t"'K! Wcct:rr Di~tri:t tl New Y:.rk ·oc() (\bet :J.cccm'r

rrom: nec:Y.:! Cr:xp 21: i1ecord3 cJ Oi3tic.t Alrrts ::f ;he U1i:e:l Sta:M. 1585 · 2J09

level of Oesuiption; Series

Type(~) of An::hi'fc.l Moterid~; Tex!u31 f".ec:::rds

The t:redtor ~CJIT1)iled or mainhined the M:rie~ betvt.·een; 1f1/1901 - 12l'J1f1933

Fun~tion ?lnd Use; These files \-mre t re3ted to c.ifltcin the rec.·Jr.ls of Gil of the P"JCeeding~ undertaken in a1 ndividJal baokrup:ty actio1 under t 1e [hn~·uctty AI.: d. 1386 T1e 3':t <.re.ated the ofKc:> at rcfc·cc ::.nd t'U.Jt::c. H::krcc:> wcrc :ox nppomtcd b)· the cot.rt .::md 'l::r;tcd w1th . u·1~Kfld1:m to rrakc <ln adjudlci:lf l:m o~ tJ-c bonk1.Jptcy or to d1::::m~ ihc: pc11bo1::o, .:;nd tu 1,..;1f un s M h uil.-• thrti~s ~:1:-;pl ;.;s lu Uf~ll).;i l i . ;n '~ i:-i·I[J H 11 1l ~1pli :r.li • ·s k11 t:nHtfl!l>iiH'I r:r di .;,~ :l <l w ..Ol> \M-'IH t u·rr-;n<'!<l hy li t;-; ;.M ll•nw• orb :f ·!'luou tplr.y T m.:l~s ¥.·c·cto be ~p::~oirtcd 'Jy crc.<ftm::; ot t1cir ;ir:'l mcctil'l!'.

Amm!icmcnt: ,"Jr:lrq::d nurx·ri:Ji y b·J cJx nJrrbcr.

Access Rcstriction(st: L•n·~1ctcd

Usc Restrictionist: Ln·e::hctcd

~indinQ Aid Type: C.o'Tt.Ji'lCr Lict

Subjects Rc-prcsCflte:l in the Arctli~o·al lkl.te riaiJst: Eufk:b (NY) Ce-1i~ica:e-s

r..e::c.rU! Oat'l'l W.arr;3nts 09:l:.rat O'li Cle;tt:tS 1--ctct con::: t:;.r bGn<1.Jptcy Ftllu ls ~t•lt<AI t-;i o11l.:;) Wrts Ca;e f iE~

Detailed Description – Top Section

Session 10 35

Scope & Content

Udl l l\l.ltJU .. y Debtor and creditor Debts

The case files contain t h9 petition for bankruptcy, va.riouo;: schMul"s, and related papers, including pe-tition-; for discharge, o·ders of refHence, prods of publication and notice-'i: to cr~itoro;: re-pcrl'i: by commio;:o;:iorl9rs, sche-d:Lie-s cc.nt aining in\'e-ntore.o; of bankrupt

assets, a~intnents, declc.rat ior s of discharge, final ce1ificates, and record of payment of costs.

A typical file m<rf include th3 following· 'Debto~s Petitioo ' Schedule A - Slatement of All Debts oi Bankruptcy 'Schedule A-1 - State11ent of all CreditJrs W1o are to be Paid in F til A-Sdmfh!IP. A-/ - C"::rP.rkor~ 1-fnlriinc ~~ rri t i~~

' Schedule A-3 - Credi:ors Whose Clairrs are Unsecured *Schedule A-4 - Liabil t ie~ on Not~~ or Dill~

' Schedule A-5 -Accommodation Paper ' ()ath to Schedule A 'Schedule B - Slatement of All Propert)' 'Schedule B-1 - Real :Ostato "~~"'~P.t-~1 JIP. R-/ - PP.r~n;~l PmpP.rty

' Schedule B-3 - Choses in Action (Debts. sto:ks. insurance poicies. unliquidated claims, deposits of rroney) .,.Schedule B-4 - rTopE-rty in Reversion

'Schedule B-5 - Property Claimed as e>:empted ·schedule B-6 - Books, Deeds, etc. relating t J Bankruprs business ' Oath to Schedule B ' Summary of Debts and Assets

The files nay al:;o contain \'arious orders, pe:itions, retums, decrees. warrants, writs and other papers of the Court. These papers include the Order Jf .Adjudication and Reference, .Ap~ointment and Ac:eptance of Trustee, Bond oi Trustee, P:!tit ion for Discharge, Report of T ruotc~ o.na Reference on Dixhargc, Di::.chorgc of Bankrupt, Statement of Coct:::, Order of Appointment of T r Jctcc, Order 1\pproving the T ructcc'c Bond, Order k proving T ruotec'~ Rcp::>rt of Excm~tion~ o.nd Fino I Examinat ion of the Bankrupt along w it h

various notices to creditors and certif icates of mailing no: ices.

The files in this serie' represent only a sampe of the cases f il3d in this court during this time penod. Cases "Nere screered fo' permanent value and disposed of or keot accordin2ly.

Variant Control t\umbers

ARC Identi fier: 324549

Archived Copies

Copy 1: :JreseNation-Reproduction-Referer.ce

Detailed Description – Bottom Section

Session 10 36

Additional Online Resources

• The Evolution of U.S. Bankruptcy Law by the United States Courts: http://www.rib.uscourts.gov/newhome/docs/the_evelution_of_ bankruptcy_law.pdf

• Select bankruptcy records on microfilm from the Bankruptcy Act of 1800:

http://www.archives.gov/publications/microfilm-catalogs/fed-courts/part-03.html

• History of the Federal Judicial – Bankruptcy Courts: http://www.fjc.gov/history/home.nsf/page/courts_special_bank .html

Session 10 37

Questions???

• Email: kansascity.archives@nara.gov

• Phone: 816-268-8000

Session 10 38

Presenter didn’t get to your question?

You may email us at inquire@nara.gov

Session 10 www.archives.gov/calendar/genealogy-fair 39