01a0253p.06

00-3550Court of Appeals for the Sixth Circuit02.08.2001

Gesamter Gesetzestext


5(&200(1'(' )25 )8//7(;7 38%/,&$7,21
3XUVXDQW WR 6L[WK &LUFXLW 5XOH
(/(&7521,& &,7$7,21 )(' $SS 3 WK &LU
)LOH 1DPH DS
81,7('67$7(6&28572)$33($/6
)257+(6,;7+&,5&8,7
BBBBBBBBBBBBBBBBB
6$(,' % $0,1,
3ODLQWLII$SSHOODQW
Y
2%(5/,1 &2//(*(
'HIHQGDQW$SSHOOHH
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH1RUWKHUQ'LVWULFWRI2KLRDW&OHYHODQG
1R²/HVOH\%URRNV:HOOV'LVWULFW-XGJH
6XEPLWWHG-XQH
'HFLGHGDQG)LOHG$XJXVW
%HIRUH.(,7+%$7&+(/'(5DQG0225(&LUFXLW
-XGJHV
BBBBBBBBBBBBBBBBB
&2816(/
21 %5,() 0LFKDHO - )UDQW] 0LFKDHO 1 &KHVQH\
)5$17=:$5'&OHYHODQG2KLRIRU$SSHOOHH6DHLG%
$PLQL&OHYHODQG2KLRSURVH

-- 1 of 8 --

$PLQLY2EHUOLQ&ROOHJH 1R
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
.$5(1 1(/621 0225( &LUFXLW -XGJH 3ODLQWLII
$SSHOODQW6DHLG$PLQL ³$PLQL´RU³SODLQWLII´ DSSHDOVWKH
GLVWULFW FRXUW¶V GLVPLVVDO RI KLV 7LWOH 9,, DQG $JH
'LVFULPLQDWLRQ LQ (PSOR\PHQW $FW ³$'($´ FODLPV DV
WLPHEDUUHGXQGHUWKHGD\OLPLWDWLRQVSHULRGDSSOLFDEOH
WR ERWK FODLPV DQG WKH GLVWULFW FRXUW¶V GLVPLVVDO RI KLV
86&†FODLPRIUDFHGLVFULPLQDWLRQGXHWRSODLQWLII¶V
IDLOXUHWRDOOHJHVXIILFLHQWIDFWVVKRZLQJWKDW2EHUOLQ&ROOHJH
³2EHUOLQ´ WRRN LQWR DFFRXQW KLV UDFH LQ PDNLQJ LWV
HPSOR\PHQW GHFLVLRQ :H $)),50 WKH GLVWULFW FRXUW¶V
GHFLVLRQGLVPLVVLQJSODLQWLII¶V7LWOH9,,DQG$'($FODLPVDV
WLPHEDUUHG EXW 5(9(56( DQG 5(0$1' WKH GLVWULFW
FRXUW¶VGHFLVLRQGLVPLVVLQJSODLQWLII¶V†FODLPRIUDFH
GLVFULPLQDWLRQ
,%$&.*5281'
3ODLQWLII 6DHLG $PLQL ³LV D \HDU ROG ,UDQLDQ ERUQ
0XVOLP PDOH OLYLQJ LQ WKH 8QLWHG 6WDWHV ODZIXOO\ VLQFH
$XJXVW ´ -RLQW $SSHQGL[ ³-$´ DW WDE S
&RPSO $FFRUGLQJ WR KLV FRPSODLQW $PLQL HDUQHG KLV
3K' LQ 6WDWLVWLFV IURP WKH 8QLYHUVLW\ RI ,RZD DQG KDV
GHYHORSHG DQG WDXJKW PRUH WKDQ WHQ GLIIHUHQW PDWK DQG
VWDWLVWLFV FRXUVHV IRU ERWK XQGHUJUDGXDWH DQG JUDGXDWH
VWXGHQWV $PLQL KDV SUHYLRXVO\ EHHQ HPSOR\HG DW WKH
1DWLRQDO &HQWHU IRU 7R[LFRORJLFDO 5HVHDUFK WKH 1DWLRQDO
,QVWLWXWH RI (QYLURQPHQWDO +HDOWK WKH 'HERUDK +HDUW DQG
/XQJ &HQWHU DQG WKH &DVH :HVWHUQ 5HVHUYH 8QLYHUVLW\
³&:58´ 6FKRRORI0HGLFLQH$PLQLZRUNHGIRUWHQ\HDUV
DW&:586FKRRORI0HGLFLQHDQGIRUILYH\HDUVWDXJKWDVDQ
DVVRFLDWHSURIHVVRUDWWKHPHGLFDOVFKRRO:KLOHDW&:58
WKHSODLQWLIIHDUQHGDODZGHJUHHDW&:58¶V6FKRRORI/DZ
$PLQL FXUUHQWO\ ³LV LQ SULYDWH OHJDO SUDFWLFH DQG WHDFKHV
VWDWLVWLFVSDUWWLPHLQYDULRXVFROOHJHV´-$DWWDES
&RPSO
1R $PLQLY2EHUOLQ&ROOHJH
QDPH MXVW D IHZ ,G DW +HUH $PLQL DOOHJHV
GLVFULPLQDWLRQ EDVHG RQ KLV ³0LGGOH (DVWHUQ´ UDFH 7KLV
FOHDUO\IDOOVZLWKLQWKH6XSUHPH&RXUW¶VH[SDQVLYHQRWLRQRI
³UDFH´IRUSXUSRVHVRID†GLVFULPLQDWLRQFODLPDQGWKXV
$PLQL¶VDOOHJDWLRQWKDW2EHUOLQGLVFULPLQDWHGDJDLQVWKLPE\
UHIXVLQJWRKLUHKLPEHFDXVHRIKLVUDFHLVVXIILFLHQWWRVWDWHD
UHGUHVVDEOHFODLPXQGHU†:H5(9(56(WKHGLVWULFW
FRXUW¶VGHFLVLRQGLVPLVVLQJ$PLQL¶V†FODLP
,,,&21&/86,21
)RUWKHIRUHJRLQJUHDVRQVZH$)),50WKHGLVWULFWFRXUW¶V
GHFLVLRQGLVPLVVLQJ$PLQL¶V7LWOH9,,DQG$'($FODLPVDQG
5(9(56( DQG 5(0$1' WKH GLVWULFW FRXUW¶V GHFLVLRQ
GLVPLVVLQJSODLQWLII¶V†FODLPRIUDFHGLVFULPLQDWLRQIRU
IXUWKHUSURFHHGLQJV

-- 2 of 8 --

$PLQLY2EHUOLQ&ROOHJH 1R
1LHPDQY1/2,QF)G WK&LU
TXRWDWLRQRPLWWHG HPSKDVLVDGGHG 7KLVFLUFXLWKDVIXUWKHU
³KHOGWKDWμGRFXPHQWVWKDWDGHIHQGDQWDWWDFKHVWRDPRWLRQWR
GLVPLVV DUH FRQVLGHUHG SDUW RI WKH SOHDGLQJV LI WKH\ DUH
UHIHUUHGWRLQWKHSODLQWLII¶VFRPSODLQWDQGDUHFHQWUDOWRKHU
FODLP¶´:HLQHUY.ODLV &R)G WK&LU
TXRWLQJ 9HQWXUH $VVRFV &RUS Y =HQLWK 'DWD 6\V
&RUS)G WK&LU
,QWKLVFDVHDFRS\RI$PLQL¶V((2&FKDUJHFOHDUO\ZDV
DWWDFKHGWRKLVFRPSODLQWDQGUHIHUHQFHGWKHUHLQ-$DWWDE
S &RPSO ³2Q'HFHPEHU3ODLQWLIIILQDOO\ILOHG
DFKDUJHRI7LWOH9,,DQG$JH'LVFULPLQDWLRQZLWKWKH((2&
&KDUJH1R$´ )XUWKHUPRUHWKHUHLVQRTXHVWLRQ
WKDWWKH((2&FKDUJHWKHILOLQJRIZKLFKZDVDSUHFRQGLWLRQ
WR$PLQLEULQJLQJWKLVVXLWLVFHQWUDOWRKLVGLVFULPLQDWLRQ
FODLP7KXVWKHGLVWULFWFRXUWHUUHGLQIDLOLQJWRFRQVLGHUWKH
IDFWVDOOHJHGLQ$PLQL¶VGLVFULPLQDWLRQFKDUJHZKHQGHFLGLQJ
WKLV E PRWLRQ
,QKLVFKDUJH$PLQLVWDWHV³,EHOLHYH,ZDVGLVFULPLQDWHG
DJDLQVWEHFDXVHRIP\UDFH0LGGOH(DVWHUQQDWLRQDORULJLQ
,UDQLDQDQGUHOLJLRQ0XVOLPLQYLRODWLRQRI7LWOH9,,RIWKH
&LYLO 5LJKWV $FW RI DV DPHQGHG DQG P\ DJH LQ
YLRODWLRQ RI WKH $JH 'LVFULPLQDWLRQ LQ (PSOR\PHQW $FW´
-$DWWDE((2&FKDUJH$OWKRXJKWKHGLVWULFWFRXUWZDV
WHFKQLFDOO\FRUUHFWLQQRWLQJWKDW$PLQL¶VFRPSODLQWLQGLFDWHG
RQO\ SODLQWLII¶V QDWLRQDO RULJLQ DQG QRW KLV UDFH LQ WKH
GLVFULPLQDWLRQFKDUJHDWWDFKHGWRKLVFRPSODLQW$PLQLPRUH
VSHFLILFDOO\FODLPVWKDWKHZDVGLVFULPLQDWHGDJDLQVWEDVHGRQ
KLV³0LGGOH(DVWHUQ´UDFH-$DWWDE((2&FKDUJH
,Q6DLQW)UDQFLV&ROOHJHWKH6XSUHPH&RXUWWRRNDEURDG
YLHZ RI ZKDW FRQVWLWXWHV SURKLELWHG GLVFULPLQDWLRQ RQ WKH
EDVLV RI ³UDFH´ XQGHU † KROGLQJ WKDW GLVFULPLQDWLRQ
EDVHGRQ³DQFHVWU\RUHWKQLFFKDUDFWHULVWLFV´FRQVWLWXWHGUDFH
EDVHGGLVFULPLQDWLRQXQGHUWKHVWDWXWH8QGHUWKLVFRQFHSWLRQ
RIUDFHRQHFDQVWDWHDFRJQL]DEOH†FODLPLIKHFDQ
DOOHJHGLVFULPLQDWLRQEDVHGRQDQ\RIDQXPEHURIHWKQLFLWLHV
LQFOXGLQJ*HUPDQ,WDOLDQ6SDQLVK5XVVLDQDQG³$UDE´WR
1R $PLQLY2EHUOLQ&ROOHJH
,QHDUO\2FWREHU$PLQLDSSOLHGIRUDWHQXUHWUDFN
IRXU\HDU IDFXOW\ SRVLWLRQ LQ 2EHUOLQ¶V 'HSDUWPHQW RI
0DWKHPDWLFV2Q2FWREHU$PLQLUHFHLYHGDOHWWHU
IURP-HIIUH\:LWPHU3URIHVVRURI0DWKHPDWLFVDW2EHUOLQ
DFNQRZOHGJLQJWKHUHFHLSWRI$PLQL¶VDSSOLFDWLRQ2EHUOLQ
KDGQRIXUWKHUFRQWDFWZLWK$PLQLXQWLOKHUHFHLYHGDOHWWHU
GDWHG -DQXDU\ IURP :LWPHU LQIRUPLQJ KLP WKDW
2EHUOLQKDGILOOHGLWVPDWKHPDWLFVIDFXOW\SRVLWLRQ7KHOHWWHU
VWDWHGLQSDUW³,UHJUHWWRUHSRUWWKDWZHKDYHQRZILOOHGRXU
VWDWLVWLFVSRVLWLRQIRUQH[W\HDU,DPVRUU\WKDWZHFRXOGQRW
SXUVXHPRUHHQHUJHWLFDOO\PRUHRIWKHH[FHOOHQWFDQGLGDWHV
ZKRDSSOLHG´-$DWWDE([& :LWPHU/HWWHU
7KHOHWWHUGLGQRWVWDWHZKRP2EHUOLQKDGKLUHGWRILOOWKH
SRVLWLRQ
)ROORZLQJ UHFHLSW RI WKH OHWWHU $PLQL PDGH VHYHUDO
DWWHPSWVWROHDUQZKRP2EHUOLQKDGKLUHG$FFRUGLQJWRKLV
FRPSODLQW$PLQL¶VDWWHPSWVFRQVLVWHGRIUHJXODUO\FKHFNLQJ
2EHUOLQ¶VZHEVLWHWRVHHLILQIRUPDWLRQRQWKHQHZIDFXOW\
PHPEHUKDGEHHQSRVWHGDVZHOODVDSHUVRQDOYLVLWWRWKH
FDPSXV DQG 2EHUOLQ¶V 0DWKHPDWLFV 'HSDUWPHQW LQ 0DUFK
$PLQLFODLPVWKDWDVODWHDV-XO\2EHUOLQVWLOO
KDGQRWSRVWHGWKHQDPHRILWVQHZVWDWLVWLFVSURIHVVRURQLWV
ZHEVLWH$WQRWLPHLQKLVFRPSODLQWGRHV$PLQLDOOHJHWKDW
KHFRQWDFWHGDQ\RQHDW2EHUOLQ&ROOHJHLQDQDWWHPSWWROHDUQ
ZKRP2EHUOLQKDGKLUHGIRUWKHIDFXOW\SRVLWLRQ
2Q6HSWHPEHUWKHSODLQWLIIDJDLQYLVLWHG2EHUOLQ¶V
ZHEVLWHDQGWKLVWLPHGLVFRYHUHGWKDW'U&KULV$QGUHZVDQ
2EHUOLQJUDGXDWHDQGZKLWHPDOHXQGHUWKHDJHRIIRUW\KDG
EHHQKLUHGIRUWKHVWDWLVWLFVSRVLWLRQ$FFRUGLQJWR$PLQL¶V
FRPSODLQW$QGUHZVKDGRQO\RQH\HDURIWHDFKLQJH[SHULHQFH
DV FRPSDUHG ZLWK $PLQL¶V ILIWHHQ \HDUV¶ H[SHULHQFH DQG
$QGUHZV KDG SXEOLVKHG RQO\ WZR SURIHVVLRQDO DUWLFOHV DV
FRPSDUHGZLWK$PLQL¶VPRUHWKDQVHYHQW\DUWLFOHV%DVHGRQ
$QGUHZV¶VDOOHJHGLQIHULRUFUHGHQWLDOV$PLQLEHOLHYHGWKDW
2EHUOLQ¶VGHFLVLRQQRWWRKLUHKLPFRQVWLWXWHGGLVFULPLQDWLRQ
RQWKHEDVLVRI³UDFHUHOLJLRQDJHDQGFRXQWU\RIRULJLQ´
-$DWWDES &RPSO

-- 3 of 8 --

$PLQLY2EHUOLQ&ROOHJH 1R
,QODWH2FWREHU$PLQLDWWHPSWHGRQVHYHUDORFFDVLRQV
WR VFKHGXOH DQ DSSRLQWPHQW ZLWK WKH (TXDO (PSOR\PHQW
2SSRUWXQLW\&RPPLVVLRQ ³((2&´ VRWKDWKHFRXOGILOHD
FKDUJHDJDLQVW2EHUOLQ$PLQLGLGQRWILOHKLVFKDUJHZLWKWKH
((2&XQWLO'HFHPEHU
2Q -DQXDU\ WKH ((2& GLVPLVVHG SODLQWLII¶V
FKDUJHDVXQWLPHO\DQGWKHQLVVXHGKLPDULJKWWRVXHOHWWHU
2Q -DQXDU\ $PLQL ILOHG D FRPSODLQW DJDLQVW
2EHUOLQDOOHJLQJWKDWWKHFROOHJHLQWHQWLRQDOO\GLVFULPLQDWHG
DJDLQVWKLPRQWKHEDVLVRIUDFHQDWLRQDORULJLQDQGUHOLJLRQ
LQYLRODWLRQRI7LWOH9,,DQG86&†$PLQLDOVR
DOOHJHG WKDW 2EHUOLQ GLVFULPLQDWHG RQ WKH EDVLV RI DJH LQ
YLRODWLRQRIWKH$'($7KHUHDIWHU2EHUOLQILOHGDPRWLRQWR
GLVPLVV$PLQL¶VFODLPV2EHUOLQFODLPHGWKDWERWK$PLQL¶V
7LWOH9,,DQG$'($FODLPVZHUHILOHGEH\RQGWKHGD\
WLPHSHULRGJLYHQWKHSODLQWLIILQZKLFKWRILOHDFKDUJHZLWK
WKH((2&2EHUOLQPRYHGWRGLVPLVV$PLQL¶V†FODLP
RQWKHJURXQGWKDWWKHDOOHJDWLRQVLQKLVFRPSODLQWVXSSRUWHG
RQO\DFODLPRIQDWLRQDORULJLQGLVFULPLQDWLRQDFODLP2EHUOLQ
FRQWHQGVLVQRWFRJQL]DEOHXQGHU†
7KHGLVWULFWFRXUWJUDQWHG2EHUOLQ¶VPRWLRQWRGLVPLVV7KH
FRXUWILUVWQRWHGWKDW³>E@RWK7LWOH9,,DQGWKH$'($UHTXLUH
SRWHQWLDOOLWLJDQWVWRILOHFKDUJHVZLWKWKH((2&ZLWKLQ
GD\VRIWKHDOOHJHGXQODZIXOHPSOR\PHQWDFWLRQ>@´-$DW
WDES 'LVW&W2S %HFDXVHPRUHWKDQGD\VKDG
HODSVHGIURPWKHGDWHRIWKHOHWWHUQRWLI\LQJ$PLQLWKDWKHZDV
QR ORQJHU EHLQJ FRQVLGHUHG IRU WKH PDWKHPDWLFV IDFXOW\
SRVLWLRQ XQWLO KH ILOHG KLV GLVFULPLQDWLRQ FKDUJH ZLWK WKH
((2& GD\VHODSVHGLQWKLVWLPHDFFRUGLQJWR$PLQL
DQGEHFDXVHWKHIDFWRUVXVHGWRGHWHUPLQHLIHTXLWDEOHWROOLQJ
UHOLHILVZDUUDQWHGGLGQRWZHLJKLQSODLQWLII¶VIDYRUWKHFRXUW
GLVPLVVHG $PLQL¶V 7LWOH 9,, DQG $'($ FODLPV DV WLPH
EDUUHG
7KH GLVWULFW FRXUW DOVR DJUHHG ZLWK 2EHUOLQ¶V DUJXPHQW
UHJDUGLQJ$PLQL¶V†FODLP1RWLQJWKDW†GHDOV
ZLWK FODLPV RI UDFLDO GLVFULPLQDWLRQ DV RSSRVHG WR
GLVFULPLQDWLRQRQWKHEDVLVRIDJHVH[DQGQDWLRQDORULJLQ
1R $PLQLY2EHUOLQ&ROOHJH
OLPLWDWLRQVLQDGLVFULPLQDWLRQDFWLRQXQWLOWKHSODLQWLIIOHDUQV
VXIILFLHQW IDFWV WKDW ZRXOG OHDG KLP WR VXVSHFW WKDW WKH
GHIHQGDQWDFWHGZLWKGLVFULPLQDWRU\LQWHQW$VWKH+LOOFRXUW
VWDWHG³μLWPLJKWEH\HDUVEHIRUHDSHUVRQDSSUHKHQGVWKDW
XQSOHDVDQW HYHQWV LQ WKH SDVW ZHUH FDXVHG E\ LOOHJDO
GLVFULPLQDWLRQ,QWKHPHDQWLPHXQGHUSODLQWLII¶VWKHRU\WKH
HPSOR\HUZRXOGUHPDLQYXOQHUDEOHWRVXLWVEDVHGRQWKHVHROG
DFWV¶´,G TXRWLQJ0HUULOOY60HWKRGLVW8QLY)G
WK&LU EUDFNHWVRPLWWHG :H$)),50
WKHGLVWULFWFRXUW¶VGHFLVLRQGLVPLVVLQJ$PLQL¶V7LWOH9,,DQG
$'($FODLPVDVWLPHEDUUHG
&$PLQL¶V†&ODLP
7KH GLVWULFW FRXUW LQ GLVPLVVLQJ SODLQWLII¶V 86&
†FODLPRIUDFHGLVFULPLQDWLRQVWDWHGWKDW$PLQLGLGQRW
DOOHJHVXIILFLHQWIDFWVLQKLVFRPSODLQWWRGHPRQVWUDWH WKDW
2EHUOLQ WRRN LQWR DFFRXQW KLV UDFH DQFHVWU\ RU HWKQLF
EDFNJURXQGLQPDNLQJLWVHPSOR\PHQWGHFLVLRQ,QDUULYLQJ
DWWKLVGHFLVLRQWKHFRXUWIRFXVHGRQWKHIROORZLQJODQJXDJH
IURP$PLQL¶VFRPSODLQW³3ODLQWLIILVD\HDUROG,UDQLDQ
ERUQ0XVOLPPDOHOLYLQJLQWKH8QLWHG6WDWHVODZIXOO\VLQFH
$XJXVW´-$DWWDES &RPSO 7KHFRXUW
VWDWHGWKDWWKLVZDVWKHRQO\LQIRUPDWLRQLQ$PLQL¶VFRPSODLQW
UHODWLQJ WR KLV UDFLDO RU HWKQLF EDFNJURXQG DQG WKDW WKLV
SDVVDJHDFWXDOO\RQO\UHODWHGWR$PLQL¶VUHOLJLRQDQGQDWLRQDO
RULJLQ7KH6XSUHPH&RXUWKDVKHOGLQ6DLQW)UDQFLV&ROOHJH
WKDW RQO\ FODLPV RI UDFLDO DV RSSRVHG WR QDWLRQDO RULJLQ
GLVFULPLQDWLRQDUHFRJQL]DEOHXQGHU†6DLQW)UDQFLV
&ROO86DW5HO\LQJRQWKLVSUHFHGHQWWKHGLVWULFW
FRXUWGLVPLVVHG$PLQL¶V†FODLP
$OWKRXJKWKHGLVWULFWFRXUW¶VVWDWHPHQWRIWKHODZLVFRUUHFW
WKHFRXUWHUUHGLQIDLOLQJWRFRQVLGHULQIRUPDWLRQFRQWDLQHGLQ
$PLQL¶V((2&ILOLQJDGRFXPHQWUHIHUHQFHGLQWKHFRPSODLQW
DQGDWWDFKHGWKHUHWR³,QGHWHUPLQLQJZKHWKHUWRJUDQWD5XOH
E PRWLRQWKHFRXUWSULPDULO\FRQVLGHUVWKHDOOHJDWLRQV
LQWKHFRPSODLQWDOWKRXJKPDWWHUVRISXEOLFUHFRUGRUGHUV
LWHPV DSSHDULQJ LQ WKH UHFRUG RI WKH FDVH DQG H[KLELWV
DWWDFKHGWRWKHFRPSODLQWDOVRPD\EHWDNHQLQWRDFFRXQW´

-- 4 of 8 --

$PLQLY2EHUOLQ&ROOHJH 1R
%DVHG RQ WKH IDFWV DOOHJHG LQ WKH FRPSODLQW ZH VLPSO\
FDQQRWVWDWHWKDW$PLQLDFWHGZLWKWKHUHTXLVLWHGLOLJHQFHLQ
KLVDWWHPSWVWRDVFHUWDLQWKHLQIRUPDWLRQZKLFKXOWLPDWHO\OHG
KLP WR ILOH D GLVFULPLQDWLRQ FKDUJH $SSUR[LPDWHO\ QLQH
PRQWKVSDVVHGDIWHU$PLQLOHDUQHGWKDWKHKDGQRWEHHQKLUHG
IRU WKH VWDWLVWLFV SRVLWLRQ EHIRUH KH ILQDOO\ GLVFRYHUHG WKH
LGHQWLW\ RI 2EHUOLQ¶V QHZ PDWK SURIHVVRU RQ WKH &ROOHJH¶V
ZHEVLWH,QDOORIWKDWWLPHWKHUHLVQRLQGLFDWLRQWKDW$PLQL
FRQWDFWHGDQ\RQHDW2EHUOLQWROHDUQZKRPLWKDGKLUHGIRULWV
YDFDQWIDFXOW\SRVLWLRQ
'HVSLWH WKH IDFW WKDW LW WRRN $PLQL DSSUR[LPDWHO\ QLQH
PRQWKVWROHDUQZKRP2EHUOLQKDGKLUHGKDGKHDFWHGZLWK
UHDVRQDEOHGLOLJHQFHDIWHU6HSWHPEHUKHVWLOOZRXOG
KDYHKDGDVXEVWDQWLDOSHULRGRIWLPHLQZKLFKWRILOHDWLPHO\
((2&FKDUJH$PLQL¶VGD\FORFNEHJDQWLFNLQJZKHQKH
UHFHLYHGWKH-DQXDU\OHWWHUIURP2EHUOLQLQIRUPLQJ
KLPWKDWKHKDGQRWEHHQKLUHG7KXVDVRI6HSWHPEHU
$PLQLVWLOOKDGDSSUR[LPDWHO\WZRPRQWKVUHPDLQLQJ
XQWLO KLV ILOLQJ GHDGOLQH ,QVWHDG $PLQL ZDLWHG DQRWKHU
WZHOYHZHHNVEHIRUHILQDOO\ILOLQJKLVFODLPRQ'HFHPEHU
ZHOOEH\RQGWKHGD\SHULRGRIOLPLWDWLRQV$PLQL¶V
SXUVXLWRIKLVULJKWVLQWKLVFDVHZDVIDUIURPGLOLJHQWDQGWKH
IDFWV RI WKLV FDVH SURYLGH XV ZLWK QR EDVLV IRU JUDQWLQJ
HTXLWDEOHWROOLQJUHOLHI
7KHFDVHIRUHTXLWDEOHWROOLQJUHOLHIZRXOGEHGLIIHUHQWKDG
2EHUOLQUHIXVHGRUGHOD\HG$PLQL¶VHIIRUWVWROHDUQZKRPWKH
&ROOHJH KDG KLUHG IRU LWV VWDWLVWLFV SRVLWLRQ ,Q WKLV FDVH
KRZHYHU$PLQLGRHVQRWDOOHJHWKDW2EHUOLQHQJDJHGLQDQ\
LQHTXLWDEOHFRQGXFW:LWKQRQHRIWKHWUDGLWLRQDOHTXLWDEOH
WROOLQJ IDFWRUV ZHLJKLQJ LQ $PLQL¶V IDYRU DSDUW IURP WKH
DSSDUHQWODFNRISUHMXGLFHWR2EHUOLQIURPWKHWZHQW\QLQH
GD\GHOD\DQGZLWKQRDOOHJDWLRQVRIZURQJGRLQJRQWKHSDUW
RI 2EHUOLQ WKDW FRXOG KDYH FDXVHG KLP WR PLVV KLV ILOLQJ
GHDGOLQH ZH DUH LQ QR SRVLWLRQ WR DZDUG $PLQL HTXLWDEOH
WROOLQJUHOLHI$VZHVWDWHGLQGLFWDLQ+LOOY8QLWHG6WDWHV
'HSDUWPHQWRI/DERU)G WK&LU ZH
ZLOO QRW DEVHQW RWKHU FLUFXPVWDQFHV ZHLJKLQJ LQ IDYRU RI
HTXLWDEOH WROOLQJ VXVSHQG WKH UXQQLQJ RI WKH VWDWXWH RI
1R $PLQLY2EHUOLQ&ROOHJH
WKHFRXUWKHOGWKDWSODLQWLII¶VFRPSODLQWGLGQRWDGHTXDWHO\
DOOHJHWKDW2EHUOLQWRRNLQWRDFFRXQWKLVUDFH DQFHVWU\RU
HWKQLF EDFNJURXQG LQ PDNLQJ LWV HPSOR\PHQW GHFLVLRQ
,QVWHDGDFFRUGLQJWRWKHGLVWULFWFRXUWWKHRQO\IDFWV$PLQL
VWDWHG LQ KLV FRPSODLQW UHJDUGLQJ WKLV PDWWHU ZHUH WKH
IROORZLQJ³3ODLQWLIILVD\HDUROG,UDQLDQERUQ0XVOLP
PDOHOLYLQJLQWKH8QLWHG6WDWHVODZIXOO\VLQFH$XJXVW
´-$DWWDES &RPSO &LWLQJWRWKH6XSUHPH
&RXUW¶VGHFLVLRQLQ6DLQW)UDQFLV&ROOHJHY$O.KD]UDML
86 WKH GLVWULFW FRXUW VWDWHG WKDW EHFDXVH
$PLQL¶V FRPSODLQW GLG QRW ³PHQWLRQ KLV UDFH DQFHVWU\ RU
HWKQLF EDFNJURXQG>@´ $PLQL KDG QRW DGHTXDWHO\ DOOHJHG D
FODLPRIUDFLDOGLVFULPLQDWLRQXQGHU†-$DWWDES
'LVW&W2S $PLQL¶VDSSHDOWRWKLVFRXUWIROORZHG
,,$1$/<6,6
$6WDQGDUGRI5HYLHZ
:HUHYLHZGHQRYRDGLVWULFWFRXUW¶VGHFLVLRQGLVPLVVLQJD
FRPSODLQWSXUVXDQWWR)HG5&LY3 E *UHJRU\Y
6KHOE\&RXQW\7HQQ)G WK&LU
:H YLHZ WKH FRPSODLQW LQ WKH OLJKW PRVW IDYRUDEOH WR WKH
SODLQWLIIWUHDWDOOZHOOSOHDGHGDOOHJDWLRQVWKHUHLQDVWUXHDQG
ZLOOGLVPLVVWKHSODLQWLII¶VFODLPVRQO\LILWLVZLWKRXWGRXEW
WKDWWKHSODLQWLII³FDQSURYHQRVHWRIIDFWVLQVXSSRUWRIWKH
FODLPV WKDW ZRXOG HQWLWOH KLP WR UHOLHI´ ,G 7KH GLVWULFW
FRXUW¶VGHWHUPLQDWLRQWKDWWKHGD\SHULRGLQZKLFKWRILOH
DGLVFULPLQDWLRQFKDUJHZLWKWKH((2&ZDVH[FHHGHGLVDOVR
UHYLHZHG GH QRYR 6RXWKZHVW :LOOLDPVRQ &RXQW\ &PW\
$VV¶Q,QFY6ODWHU)G WK&LU
)LQDOO\³ZKHUHWKHIDFWVDUHXQGLVSXWHGRUWKHGLVWULFWFRXUW
UXOHVDVDPDWWHURIODZWKDWHTXLWDEOHWROOLQJLVXQDYDLODEOH
ZHDSSO\WKHGHQRYRVWDQGDUGRIUHYLHZWRDGLVWULFWFRXUW¶V
UHIXVDOWRDSSO\WKHGRFWULQHRIHTXLWDEOHWROOLQJLQDOORWKHU
FDVHVZHDSSO\WKHDEXVHRIGLVFUHWLRQVWDQGDUG´'XQODSY
8QLWHG 6WDWHV )G Q WK &LU
%HFDXVH WKLV FRXUW PXVW DVVXPH DOO IDFWXDO DOOHJDWLRQV LQ
$PLQL¶VFRPSODLQWDUHWUXHWKHUHDUHQRIDFWXDOGLVSXWHVLQ

-- 5 of 8 --

$PLQLY2EHUOLQ&ROOHJH 1R
WKLVFDVHWKDWZRXOGSUHFOXGHGHQRYRUHYLHZRIWKHHTXLWDEOH
WROOLQJLVVXH
%7KH7LPHOLQHVVRI$PLQL¶V7LWOH9,,DQG$'($&ODLPV
3ODLQWLIIVPXVWW\SLFDOO\ILOHDWLPHO\GLVFULPLQDWLRQFKDUJH
ZLWK WKH ((2& LQ RUGHU WR EULQJ D 7LWOH 9,, ODZVXLW
$OH[DQGHUY/RFDO/DERUHUV¶,QW¶O8QLRQRI1$P
)G WK&LU FHUWGHQLHG86
3XUVXDQWWRWKHVWDWXWRU\ODQJXDJHRI7LWOH9,,WKH
DSSOLFDEOHVWDWXWHRIOLPLWDWLRQVEHJLQVWRUXQIURPWKHGDWHRI
³WKH DOOHJHG XQODZIXO HPSOR\PHQW SUDFWLFH>@´ 86&
†H H 7LWOH9,,KDVDGXDOVWDWXWHRIOLPLWDWLRQV
ZKLFKZHKDYHH[SODLQHGDVIROORZV
8VXDOO\LIWKHDOOHJHGGLVFULPLQDWLRQRFFXUUHGPRUHWKDQ
GD\V SULRU WR WKH SODLQWLII¶V ILOLQJ RI DQ ((2&
FKDUJH FODLPV LPSOLFDWLQJ WKHVH DFWLRQV DUH EDUUHG
+RZHYHU LI WKH DOOHJHG XQODZIXO SUDFWLFH RFFXUV LQ D
³GHIHUUDOVWDWH´LQWKLVFDVH2KLRZKLFKKDVHQDFWHGLWV
RZQODZVSURKLELWLQJGLVFULPLQDWLRQLQHPSOR\PHQWWKH
SODLQWLII PXVW ILOH VXLW ZLWKLQ GD\V RI WKH DOOHJHG
GLVFULPLQDWRU\DFW
$OH[DQGHU)GDW FLWDWLRQRPLWWHG 7KHDOOHJHG
XQODZIXOHPSOR\PHQWSUDFWLFHLQWKLVFDVHGLGRFFXULQ2KLR
DGHIHUUDOVWDWHDQGWKXVWKHGD\SHULRGLQZKLFKWRILOH
DQ((2&FKDUJHXQGHU7LWOH9,,DSSOLHV7KHVDPHGD\
WLPHOLPLWIRUILOLQJDFKDUJHZLWKWKH((2&DSSOLHVLQDJH
GLVFULPLQDWLRQFDVHVEURXJKWXQGHUWKH$'($86&
† G
:KLOH QHLWKHU SDUW\ GLVSXWHV WKDW WKH GD\ SHULRG RI
OLPLWDWLRQV DSSOLHV WR WKLV FDVH WKH SDUWLHV GR GLVDJUHH RQ
ZKHQ WKH GD\ SHULRG VKRXOG EHJLQ WR UXQ :KHUHDV
$PLQLDUJXHVWKDWWKHGD\SHULRGVKRXOGQRWEHJLQWRUXQ
XQWLOWKHIDFWVWKDWZRXOGVXSSRUWDFKDUJHRIGLVFULPLQDWLRQ
DUHDSSDUHQW RUVKRXOGEHDSSDUHQW WRDUHDVRQDEOHSHUVRQ
2EHUOLQFODLPVWKDWWKHWLPHVKRXOGUXQIURPWKHGDWH³WKH
HPSOR\PHQW DFWLRQ DW LVVXH LV FRPPXQLFDWHG WR WKH
SODLQWLII>@´QRWIURPWKHGDWHRQZKLFKWKHSODLQWLIIGLVFRYHUV
1R $PLQLY2EHUOLQ&ROOHJH
KDV QRW DOOHJHG WKDW 2EHUOLQ HQJDJHG LQ DQ\
PLVUHSUHVHQWDWLRQVRURWKHUZURQJGRLQJWKDWFDXVHGKLPWR
PLVVKLVILOLQJGHDGOLQH$QGUHZV)GDWQRUGRHV
KH FODLP WKDW 2EHUOLQ DWWHPSWHG WR SUHYHQW KLP IURP
GLVFRYHULQJZKRKDGEHHQKLUHGIRUWKHIDFXOW\SRVLWLRQ
,Q ORRNLQJ WR WKH ILYH IDFWRUV W\SLFDOO\ FRQVLGHUHG LQ
HTXLWDEOHWROOLQJFDVHVLWLVFOHDUWKDWQRQHRIWKHPZHLJK
KHDYLO\ LQ IDYRU RI JUDQWLQJ HTXLWDEOH WROOLQJ UHOLHI LQ WKLV
FDVH $PLQL GRHV QRW FODLP WR KDYH ODFNHG NQRZOHGJH RU
QRWLFHRIWKHILOLQJUHTXLUHPHQW,QKLVEULHI$PLQLDGPLWV
WKDWKHZDVDZDUHRIERWKWKH((2&ILOLQJUHTXLUHPHQWVDQG
WKHDSSOLFDEOHGD\OLPLWDWLRQVSHULRG$SSHOODQW¶V%UDW
$OWKRXJKLWLVXQFOHDUKRZWKHJUDQWRIHTXLWDEOHWROOLQJ
UHOLHIWR$PLQLZRXOGEHSUHMXGLFLDOWR2EHUOLQWKH6XSUHPH
&RXUWKDVKHOGWKDWWKLVIDFWRUDORQHLVQRWDVXIILFLHQWEDVLV
IRUDOORZLQJHTXLWDEOHWROOLQJUHOLHIWRWKHSODLQWLII%DOGZLQ
&RXQW\:HOFRPH&WUY%URZQ86
7KXV WKH ODVW UHOHYDQW IDFWRU WR FRQVLGHU LV $PLQL¶V
GLOLJHQFHLQSXUVXLQJKLVULJKWV$PLQLFODLPVWKDWKHDFWHG
GLOLJHQWO\LQKLVDWWHPSWVWRXQFRYHUZKRP2EHUOLQKDGKLUHG
IRULWVVWDWLVWLFVSRVLWLRQ:HGLVDJUHH1RZKHUHLQ$PLQL¶V
FRPSODLQW GRHV KH FODLP WKDW KH HYHU FRQWDFWHG DQ\RQH DW
2EHUOLQRULWV'HSDUWPHQWRI0DWKHPDWLFVWROHDUQZKRPWKH
&ROOHJHKDGKLUHGWRILOOLWVIDFXOW\YDFDQF\,QVWHDG$PLQL¶V
HIIRUWVZHUHOLPLWHGWR³UHJXODU´FRPSXWHUYLVLWVWR2EHUOLQ¶V
ZHEVLWH-$DWWDES &RPSO DVZHOODVDSK\VLFDO
YLVLWWRWKHFDPSXVLQ0DUFKLQZKLFK$PLQLVHDUFKHG
WKH 0DWKHPDWLFV 'HSDUWPHQW¶V DQQRXQFHPHQW ERDUGV IRU
LQIRUPDWLRQ RQ WKH QHZ KLUH :KLOH ZH DVVXPH DV WUXH
$PLQL¶VFODLPWKDW2EHUOLQKDGQRWSRVWHGDQ\LQIRUPDWLRQRQ
LWVZHEVLWHUHJDUGLQJLWVQHZSURIHVVRUDVODWHDV-XO\
LWDSSHDUVIURPWKHFRPSODLQWWKDW$PLQLGLGQRWFKHFNWKH
VLWH DJDLQ XQWLO 6HSWHPEHU -$ DW WDE S
&RPSO ,WZDVRQ6HSWHPEHUWKDW$PLQLILQDOO\
GLVFRYHUHGZKRP2EHUOLQKDGKLUHG1HYHUWKHOHVV$PLQLGLG
QRWILOHKLVFKDUJHZLWKWKH((2&XQWLO'HFHPEHU
WZHOYHZHHNVODWHU

-- 6 of 8 --

$PLQLY2EHUOLQ&ROOHJH 1R
ODFNRIQRWLFHRIWKHILOLQJUHTXLUHPHQW
ODFN RI FRQVWUXFWLYH NQRZOHGJH RI WKH ILOLQJ
UHTXLUHPHQW
GLOLJHQFHLQSXUVXLQJRQH¶VULJKWV
DEVHQFHRISUHMXGLFHWRWKHGHIHQGDQWDQG
WKHSODLQWLII¶VUHDVRQDEOHQHVVLQUHPDLQLQJLJQRUDQW
RI WKH SDUWLFXODU OHJDO UHTXLUHPHQW IRU ILOLQJ KLV
FODLP
7UXLWWY&RXQW\RI:D\QH)G WK&LU
FLWLQJ$QGUHZVY2UU)G WK&LU
VHH DOVR 'XQODS )G DW VWDWLQJ WKDW WKH WHVW
HQXQFLDWHGLQ$QGUHZVY2UUKDVEHHQ³XQLIRUPO\DSSOLHGWR
WKHLVVXHRIHTXLWDEOHWROOLQJLQWKLV&LUFXLW´ $VZHVWDWHG
LQ *UDKDP+XPSKUH\V WKH ILYH IDFWRUV FRQVLGHUHG LQ
GHFLGLQJZKHWKHUWRHTXLWDEO\WROODOLPLWDWLRQVSHULRGDUHQRW
FRPSUHKHQVLYHQRULVHDFKRIWKHILYHIDFWRUVUHOHYDQWLQDOO
FDVHV*UDKDP+XPSKUH\V)GDW7KHGHFLVLRQ
ZKHWKHU WR HTXLWDEO\ WROO D SHULRG RI OLPLWDWLRQV PXVW EH
GHFLGHGRQDFDVHE\FDVHEDVLV7UXLWW)GDW
7KHGLVWULFWFRXUWDSSO\LQJWKHILYHIDFWRUWHVWKHOGWKDW
HTXLWDEOHWROOLQJZDVQRWZDUUDQWHGLQWKLVFDVH)LUVWWKH
FRXUW KHOG WKDW EHFDXVH $PLQL LV D ODZ\HU KH VKRXOG EH
FRQVLGHUHGDVKDYLQJERWKDFWXDODQGFRQVWUXFWLYHQRWLFHRI
WKHGD\ILOLQJSHULRG7KHGLVWULFWFRXUWDOVRKHOGWKDW
$PLQLGLGQRWSXUVXHKLVULJKWVZLWKWKHUHTXLVLWHGLOLJHQFH
7KHFRXUWQRWHGWKDWWKHSODLQWLIIKDGPDGHQRDFFXVDWLRQV
WKDW2EHUOLQKDGPLVUHSUHVHQWHGIDFWVRULQWHUIHUHGZLWKKLV
HIIRUWVWRLQYHVWLJDWHDQGIXUWKHUTXHVWLRQHGWKHSODLQWLII¶V
IDLOXUHWRILOHDFKDUJHZLWKWKH((2&IRUDSSUR[LPDWHO\WKUHH
PRQWKVIROORZLQJKLVGLVFRYHU\RI2EHUOLQ¶VFKRLFHIRUWKH
IDFXOW\SRVLWLRQ
:HDJUHHZLWKWKHGLVWULFWFRXUWWKDWHTXLWDEOHWROOLQJLVQRW
ZDUUDQWHGLQWKLVFDVH:HILUVWQRWHWKDWXQOLNHPRVWFDVHV
LQZKLFKHTXLWDEOHWROOLQJUHOLHILVJUDQWHGLQWKLVFDVH$PLQL
1R $PLQLY2EHUOLQ&ROOHJH
WKDW WKH DFWLRQ ZDV XQODZIXO $SSHOOHH¶V %U DW $IWHU
UHYLHZLQJ UHOHYDQW 6XSUHPH &RXUW DQG 6L[WK &LUFXLW
SUHFHGHQWDVZHOODVWKHVWDWXWRU\ODQJXDJHRI7LWOH9,,DQG
WKH$'($ZHDUHFRQILGHQWWKDWLWLV2EHUOLQ¶VDUJXPHQWWKDW
PXVWSUHYDLO
:H UHFHQWO\ DGGUHVVHG WKH LVVXH RI ZKHQ WKH OLPLWDWLRQV
SHULRGIRUDQHPSOR\PHQWGLVFULPLQDWLRQFODLPVKRXOGEHJLQ
WRUXQLQ((2&Y8QLWHG3DUFHO6HUYLFH,QF)G
WK &LU ,Q 8QLWHG 3DUFHO 6HUYLFH ZH VWDWHG WKDW
³>W@KH 8QLWHG 6WDWHV 6XSUHPH &RXUW KDV KHOG WKDW WKH
OLPLWDWLRQV SHULRG GRHV QRW EHJLQ WR UXQ RQ D FODLP IRU
HPSOR\PHQW GLVFULPLQDWLRQ XQWLO DQ HPSOR\HU PDNHV DQG
FRPPXQLFDWHVDILQDOGHFLVLRQWRWKHHPSOR\HH2QFHWKH
HPSOR\HH LV DZDUH RU UHDVRQDEO\ VKRXOG EH DZDUH RI WKH
HPSOR\HU¶VGHFLVLRQWKHOLPLWDWLRQVSHULRGFRPPHQFHV´,G
DW FLWLQJ'HODZDUH6WDWH&ROOY5LFNV86
2XUGLVFXVVLRQLQ8QLWHG3DUFHO6HUYLFHPDNHV
FOHDUWKDWWKHVWDUWLQJGDWHIRUWKHGD\OLPLWDWLRQVSHULRG
LVZKHQWKHSODLQWLIIOHDUQVRIWKHHPSOR\PHQWGHFLVLRQLWVHOI
QRWZKHQWKHSODLQWLIIOHDUQVWKDWWKHHPSOR\PHQWGHFLVLRQ
PD\KDYHEHHQGLVFULPLQDWRULO\PRWLYDWHG,QGHHGWKLVIRFXV
RQ WKH GLVFULPLQDWRU\ DFW LV FRQVLVWHQW ERWK ZLWK 6XSUHPH
&RXUWSUHFHGHQWDQGWKHVWDWXWRU\ODQJXDJHRI7LWOH9,,DQG
WKH$'($
,Q5LFNVWKH6XSUHPH&RXUWIRFXVHGRQWKHWLPHOLQHVVRID
SURIHVVRU¶VDWWHPSWWRILOHDGLVFULPLQDWLRQFKDUJHZLWKWKH
((2&XQGHU7LWOH9,,7KH&RXUWXOWLPDWHO\KHOGWKDWWKH
SURIHVVRU¶V FODLP ZDV WLPHEDUUHG VWDWLQJ WKDW 7LWOH 9,,¶V
OLPLWDWLRQV SHULRG VKRXOG UXQ IURP WKH GDWH RQ ZKLFK WKH
DOOHJHGO\GLVFULPLQDWRU\GHFLVLRQQRWWRJUDQWWKHSURIHVVRU
WHQXUHZDVFRPPXQLFDWHGWRWKHSURIHVVRUQRWIURPWKHGDWH
RQZKLFKWKHSURIHVVRUXOWLPDWHO\ORVWKLVWHDFKLQJSRVLWLRQ
5LFNV86DW7KH&RXUWKHOGWKDWWKHSURSHUIRFXV
ZKHQGHWHUPLQLQJWKHVWDUWLQJSRLQWRIWKHOLPLWDWLRQVSHULRG
³LV XSRQWKHWLPHRIWKHGLVFULPLQDWRU\DFWVQRWXSRQ WKH
WLPH DW ZKLFK WKH FRQVHTXHQFHV RI WKH DFWV EHFDPH PRVW
SDLQIXO´,G LQWHUQDOTXRWDWLRQRPLWWHG

-- 7 of 8 --

$PLQLY2EHUOLQ&ROOHJH 1R
7KHVWDWXWRU\ODQJXDJHRI7LWOH9,,DQGWKH$'($LVDOVR
FRQVLVWHQW ZLWK WKLV DSSURDFK 7LWOH 9,, VWDWHV WKDW D
GLVFULPLQDWLRQ FKDUJH PXVW EH ILOHG ³ZLWKLQ WKUHH KXQGUHG
GD\V DIWHU WKH DOOHJHG XQODZIXO HPSOR\PHQW SUDFWLFH
RFFXUUHG>@´86&†H H 7KH$'($XVHVWKLV
VDPH ODQJXDJH LQ LWV SHULRG RI OLPLWDWLRQV SURYLVLRQ
86&† G *LYHQWKHVWDWXWHV¶IRFXVRQ³WKHDOOHJHG
XQODZIXO HPSOR\PHQW SUDFWLFH>@´ LW ZRXOG FRQWUDGLFW WKH
VWDWXWRU\ODQJXDJHWREHJLQUXQQLQJWKHOLPLWDWLRQVSHULRGV
IURP WKH WLPH DW ZKLFK WKH IDFWV VXSSRUWLQJ D FKDUJH RI
GLVFULPLQDWLRQEHFRPHDSSDUHQWWRDUHDVRQDEOHSHUVRQDV
RSSRVHGWRWKHGDWHWKHGLVFULPLQDWRU\HPSOR\PHQWSUDFWLFH
LWVHOILVFRPPXQLFDWHGWRWKHSODLQWLII7KXVZHUHDIILUPRXU
SUDFWLFH RI UXQQLQJ WKH 7LWOH 9,, DQG $'($ OLPLWDWLRQV
SURYLVLRQVIURPWKHGDWHRQZKLFKWKHDOOHJHGGLVFULPLQDWRU\
DFW LQWKLVFDVHWKHIDLOXUHWRKLUH$PLQL ZDVFRPPXQLFDWHG
WRWKHSODLQWLII
%\DUJXLQJWKDWWKHOLPLWDWLRQVSHULRGIRUKLV7LWOH9,,DQG
$'($ FODLPV VKRXOG QRW EHJLQ WR UXQ XQWLO WKH IDFWV
VXSSRUWLQJDFKDUJHRIGLVFULPLQDWLRQEHFRPHDSSDUHQWWRD
UHDVRQDEOH SHUVRQ $PLQL KDV FRQIXVHG WKH GLIIHUHQFH
EHWZHHQWKHDFFUXDORIKLVGD\SHULRGRIOLPLWDWLRQVDQG
WKHHTXLWDEOHWROOLQJRIWKDWOLPLWDWLRQVSHULRG5DWKHUWKDQDQ
DWWHPSWWRDOWHUWKHVWDWXWRULO\PDQGDWHGVWDUWLQJGDWHRIWKH
OLPLWDWLRQVSHULRGZHEHOLHYHWKDW$PLQL¶VHIIRUWVWRVWRSWKH
GD\FORFNDUHEHWWHUFDWHJRUL]HGDVDUJXPHQWVLQIDYRURI
DQHTXLWDEOHWROOLQJRIWKHVWDWXWHRIOLPLWDWLRQV
,Q7KHOHQY0DUF¶V%LJ%R\&RUS)G WK
&LU WKH86&RXUWRI$SSHDOVIRUWKH6HYHQWK&LUFXLW
DGGUHVVHG DUJXPHQWV VLPLODU WR WKRVH $PLQL PDNHV LQ WKLV
FDVH,Q7KHOHQWKHSODLQWLIIFODLPHGWKDWWKHGD\SHULRG
LQZKLFKWRILOHKLVDJHGLVFULPLQDWLRQFODLPZLWKWKH((2&
VKRXOG QRW KDYH DFFUXHG XQWLO KH OHDUQHG ZHOO DIWHU KLV
WHUPLQDWLRQ WKDW KH KDG EHHQ UHSODFHG E\ D \RXQJHU
HPSOR\HHDQGWKXVWKDWKHPD\KDYHEHHQDYLFWLPRIDJH
GLVFULPLQDWLRQ7KHSODLQWLIIFODLPHGWKDWKHGLGQRWGLVFRYHU
KLVLQMXU\XQWLOKHOHDUQHGWKDWDGLVFULPLQDWRU\PRWLYHPD\
KDYHEHHQEHKLQGKLVWHUPLQDWLRQ7KH6HYHQWK&LUFXLWVWDWHG
1R $PLQLY2EHUOLQ&ROOHJH
KRZHYHUWKDWWKHSODLQWLII¶VDUJXPHQWZDVPLVSODFHG7KH
FRXUWH[SODLQHGWKDWWKHTXHVWLRQRIZKHQDSODLQWLIIOHDUQV
WKDWWKHDOOHJHGXQODZIXOHPSOR\PHQWSUDFWLFHPD\KDYHEHHQ
GLVFULPLQDWRU\ KDV QRWKLQJ WR GR ZLWK WKH DFFUXDO RI D
GLVFULPLQDWLRQDFWLRQXQGHUWKHGD\SHULRGRIOLPLWDWLRQV
,G DW 5DWKHU VDLG WKH FRXUW ³>D@ SODLQWLII¶V DFWLRQ
DFFUXHVZKHQKHGLVFRYHUVWKDWKHKDVEHHQLQMXUHGQRWZKHQ
KHGHWHUPLQHVWKDWWKHLQMXU\ZDVXQODZIXO´,G7KH6HYHQWK
&LUFXLWH[SODLQHGWKDWWKHSODLQWLIILQLWVFDVHZDVQRWDUJXLQJ
WKDWWKHVWDWXWHRIOLPLWDWLRQVVKRXOGQRWEHJLQWRDFFUXHXQWLO
WKH GLVFULPLQDWRU\ PRWLYH LV GLVFRYHUHG EXW LQVWHDG ZDV
³UHDOO\LQVLVWLQJWKDWWKHOLPLWDWLRQVFORFNVKRXOGEHHTXLWDEO\
WROOHGIRUWKHWLPHLQZKLFKKHZDVXQDEOHWRGHWHUPLQHWKDW
KLVLQMXU\ RIZKLFKKHZDVDZDUH ²WKHOD\RII²ZDVGXH
WRZURQJGRLQJ´,G TXRWDWLRQRPLWWHG
:H DJUHH ZLWK WKH 6HYHQWK &LUFXLW¶V DQDO\VLV LQ 7KHOHQ
$PLQLOHDUQHGRIKLVLQMXU\ZKHQ2EHUOLQLQIRUPHGKLPWKDW
KHZRXOGQRWEHKLUHGIRULWVYDFDQWVWDWLVWLFVSRVLWLRQ$V
VWDWHG WKH SURSHU IRFXV IRU SXUSRVHV RI GHWHUPLQLQJ WKH
FRPPHQFHPHQWRIWKHGD\OLPLWDWLRQVSHULRGLVRQWKH
GLVFULPLQDWRU\DFWLWVHOIDQGZKHQWKDWDFWZDVFRPPXQLFDWHG
WRWKHSODLQWLII$PLQL¶VDWWHPSWWRVWRSWKHUXQQLQJRIWKH
GD\FORFNXQWLOKHGLVFRYHUHGWKHIDFWVWKDWOHGKLPWR
VXVSHFW GLVFULPLQDWLRQ LV EHVW DGGUHVVHG DV D TXHVWLRQ RI
HTXLWDEOHWROOLQJ:HQRZWXUQWRWKLVLVVXH
7KH 6XSUHPH &RXUW KDV KHOG WKDW WKH GD\ SHULRG RI
OLPLWDWLRQVIRUILOLQJDFKDUJHZLWKWKH((2&³LVVXEMHFWWR
ZDLYHUHVWRSSHODQGHTXLWDEOHWROOLQJ´=LSHVY7UDQV:RUOG
$LUOLQHV ,QF 86 7KLV FLUFXLW KDV
UHSHDWHGO\ FDXWLRQHG WKDW HTXLWDEOH WROOLQJ UHOLHI VKRXOG EH
JUDQWHG RQO\ VSDULQJO\ 'XQODS )G DW
*UDKDP+XPSKUH\VY0HPSKLV%URRNV0XVHXPRI$UW,QF
)G WK&LU FLWLQJ,UZLQY'HS¶WRI
9HWHUDQV$IIDLUV86 ,QGHWHUPLQLQJ
ZKHWKHU WKH HTXLWDEOH WROOLQJ RI WKH ((2& ILOLQJ SHULRG LV
DSSURSULDWHLQDJLYHQFDVHZHKDYHFRQVLVWHQWO\WDNHQLQWR
FRQVLGHUDWLRQWKHIROORZLQJILYHIDFWRUV

-- 8 of 8 --

Setzen Sie Ihre Recherche in ChatGPT oder Claude fort

Verbinden Sie Omnilex, um den Rechtskorpus über Ihren KI-Assistenten zu durchsuchen.