01a0285p.06

00-3664Court of Appeals for the Sixth Circuit24.08.2001

Gesamter Gesetzestext

7KH +RQRUDEOH -HURPH )DUULV &LUFXLW -XGJH RI WKH 8QLWHG 6WDWHV
&RXUW RI $SSHDOV IRU WKH 1LQWK &LUFXLW VLWWLQJ E\ GHVLJQDWLRQ

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
67(3+(1 0 67(51DQG
&+5,6723+(5 ' %(&.(5
3ODLQWLIIV$SSHOODQWV
Y
-2+1 - 0$6&,2
'HIHQGDQW$SSHOOHH
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW&ROXPEXV
1R²*HRUJH&6PLWK'LVWULFW-XGJH
$UJXHG-XO\
'HFLGHGDQG)LOHG$XJXVW
%HIRUH%2**6'$8*+75(<DQG)$55,6&LUFXLW
-XGJHV
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' &KULVWRSKHU ' %HFNHU &RUWODQG 2KLR IRU
$SSHOODQWV6DUDK'0RUULVRQ&+(67(5:,//&2;

-- 1 of 8 --

6WHUQHWDOY0DVFLR 1R
6$;%(//3&ROXPEXV2KLRIRU$SSHOOHH21%5,()
&KULVWRSKHU ' %HFNHU &RUWODQG 2KLR 6WHSKHQ 0 6WHUQ
/HHVEXUJ )ORULGD IRU $SSHOODQWV 5LFKDUG $ )U\H
&+(67(5:,//&2; 6$;%(//3&ROXPEXV2KLR
.LUN$/LQGVH\2)),&(2)7+($77251(<*(1(5$/
&ROXPEXV2KLRIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
%2**6&LUFXLW-XGJH3ODLQWLIIVDSSHDOWKHGLVWULFWFRXUW¶V
KROGLQJWKDWGHIHQGDQWDVLWWLQJMXGJHRIDQ2KLRWULDOFRXUW
HQMR\HGMXGLFLDOLPPXQLW\IURPDVXLWIRUPRQH\GDPDJHV
3ODLQWLIIV DOOHJH WKDW WKH MXGJH RUGHUHG WKHP DUUHVWHG DQG
EURXJKWEHIRUHKLVFRXUWDQGWKHQDWWHPSWHGWRILQHERWKDQG
LPSULVRQ RQH IRU FRQWHPSW LQ YLRODWLRQ RI WKHLU IHGHUDO
FRQVWLWXWLRQDOULJKWVDQGULJKWVXQGHUVWDWHODZ7KHGLVWULFW
FRXUWKHOGWKDWWKHGHIHQGDQWDFWHGLQH[FHVVRIKLVDXWKRULW\
EXWQRWLQWKHFOHDUDEVHQFHRIDOOMXULVGLFWLRQ:HDIILUPWKH
GLVWULFWFRXUW
,
7KLV FDVH FRPHV WR XV DV WKH ODWHVW HSLVRGH LQ D ORQJ
UXQQLQJ SXEOLF FRQWURYHUV\ EHWZHHQ WZR SURPLQHQW FLYLF
ILJXUHVLQWKHHDVWHUQ2KLRFLW\RI6WHXEHQYLOOHDIHXGWKH
&KLHI -XVWLFH RI WKH 2KLR 6XSUHPH &RXUW KDG DSSDUHQWO\
UHVROYHGWKUHH\HDUVDJR,QWKHHDUO\VSODLQWLII6WHSKHQ
06WHUQZDVHOHFWHG&RXQW\$WWRUQH\IRU-HIIHUVRQ&RXQW\
2KLRZKLFKFRPSULVHVWKH6WHXEHQYLOOHDUHD+HSURPSWO\
LQLWLDWHGDFDPSDLJQWRVWDPSRXWLOOHJDOJDPEOLQJLQWKHFLW\
$WWKHVDPHWLPHGHIHQGDQW-RKQ-0DVFLRVHUYHGDVGLUHFWRU
RIWKH6WHXEHQYLOOHFLW\ODZGHSDUWPHQWLQZKLFKFDSDFLW\KH
RSLQHG WKDW 2KLR JDPEOLQJ ODZV GLG QRW DSSO\ WR FHUWDLQ
JDPHV DSSDUHQWO\YLGHRSRNHUJDPHV WKHQFRPPRQO\SOD\HG
LQ 6WHXEHQYLOOH WDYHUQV ORXQJHV SULYDWH FOXEV DQG SXEOLF
KRXVHV$FFRUGLQJWR6WHUQDWWKHWLPH0DVFLRLVVXHGKLV
IRUPDORSLQLRQRQHRI0DVFLR¶VSDUWQHUVLQDOLTXRUEXVLQHVV
ZDVGLVWULEXWLQJWKHYLGHRJDPHVLQTXHVWLRQ(YHQDV0DVFLR
1R 6WHUQHWDOY0DVFLR
3ODLQWLIIV¶ FRQWHQWLRQ IRUFHIXOO\ SUHVVHG DW RUDO DUJXPHQW WKDW
-XGJH 0DVFLR VXUHO\ DFWHG ³LQ WKH FRPSOHWH DEVHQFH RI DOO MXULVGLFWLRQ´
ZKHQ KH KHOG WKHP LQ FRQWHPSW IRU ILOLQJ D GRFXPHQW LQ DQRWKHU FRXUW DV
WKH\ KDG D ULJKW WR GR XQGHU VWDWH ODZ LV DWWUDFWLYH EXW IODZHG 7KLV
DUJXPHQW OLNH SODLQWLIIV¶ RWKHUV LJQRUHV WKH UXOH WKDW 0DVFLR HQMR\V
MXGLFLDO LPPXQLW\ WR DFW DV ORQJ DV KLV FRXUW KDV VXEMHFWPDWWHU MXULVGLFWLRQ
RYHU WKH FDVH LQ ZKLFK KH DFWHG RU SXUSRUWHG WR DFW 0DVFLR¶V UHDVRQ IRU
LVVXLQJ WKH FRQWHPSW FLWDWLRQ PD\ KDYH EHHQ TXLWH ZURQJ RU HYHQ
RXWUDJHRXV EXW HYHQ VXFK D FLUFXPVWDQFH GRHV QRW FKDQJH WKH UHDOLW\ WKDW
-XGJH 0DVFLR¶V FRXUW KDG VXEMHFWPDWWHU MXULVGLFWLRQ RYHU &ODQFH\¶V %DU
ZDV@HQWLWOHGWRWKHUHTXHVWHGH[WUDRUGLQDU\UHOLHI´,GDW
)RUWKLVUHDVRQDOVRLVVXHSUHFOXVLRQGRHVQRWDSSO\
7KH 2KLR 6XSUHPH &RXUW¶V KROGLQJ WKDW -XGJH 0DVFLR
³SDWHQWO\DQGXQDPELJXRXVO\ODFNHGMXULVGLFWLRQ´UHODWHVWRD
PDWWHUGLVWLQFWIURPWKH³FRPSOHWHDEVHQFHRIDOOMXULVGLFWLRQ´
DWLVVXHZKHQDSDUW\UDLVHVWKHGHIHQVHRIDEVROXWHMXGLFLDO
LPPXQLW\ -XGJH 0DVFLR¶V FRXUW KDG VXEMHFWPDWWHU
MXULVGLFWLRQRYHUWKH&ODQFH\¶V%DUFDVH$OWKRXJK2KLRODZ
GHSULYHG-XGJH0DVFLRRIMXULVGLFWLRQWRDFWLQWKHFDVHDWWKH
WLPH KH FRQGXFWHG WKH FRQWHPSW KHDULQJ DQG VHQWHQFHG
SODLQWLIIVKLVDFWLRQVZHUHQRWWDNHQLQWKHFRPSOHWHDEVHQFH
RI DOO MXULVGLFWLRQ EXW PHUHO\ H[FHHGHG KLV DXWKRULW\ D
SUREOHPIXOO\FRUUHFWHGE\2KLR¶VDSSHOODWHFRXUWV
,,,
7KHMXGJPHQWRIWKHGLVWULFWFRXUWLV$)),50('

-- 2 of 8 --

6WHUQHWDOY0DVFLR 1R
SDQHO RI WKH VDPH FRXUW ZLWK MXULVGLFWLRQ WR DGMXGLFDWH FDSLWDO FULPHV
FKDUJHG LQ WKH VDPH LQGLFWPHQW
6XSUHPH&RXUW¶VRSLQLRQFRQILUPVWKDW-XGJH0DVFLR¶VFRXUW
KDG VXEMHFWPDWWHU MXULVGLFWLRQ RYHU &ODQFH\¶V %DU HYHQ
WKRXJK³-XGJH0DVFLRSDWHQWO\DQGXQDPELJXRXVO\ODFN>HG@
MXULVGLFWLRQWRSURFHHGLQWKHFLYLOQXLVDQFHFDVH´EHFDXVHKH
KDGEHHQGLVTXDOLILHGIURPLWE\WZRVHSDUDWHDFWVRQHKLV
RZQ6WHUQY0DVFLR1(GDW7KHFRXUWUHFLWHG
LQWKHFRXUVHRILWVH[SODQDWLRQRIWKHVWDWHODZVWDQGDUGIRU
ZULWVRISURKLELWLRQWKDWWKHZULWZLOOLVVXHZKHQDMXGJHZKR
KDVVXEMHFWPDWWHUMXULVGLFWLRQQHYHUWKHOHVVDFWVSDWHQWO\DQG
XQDPELJXRXVO\ZLWKRXWMXULVGLFWLRQIRUVRPHUHDVRQRWKHU
WKDQKLVFRXUW¶VVXEMHFWPDWWHUMXULVGLFWLRQRYHUWKHFDXVH
7KH FRXUW WKXV LPSOLHGO\ UHFRJQL]HG WKH VXEMHFWPDWWHU
MXULVGLFWLRQRIWKH-HIIHUVRQ&RXQW\&RXUWRI&RPPRQ3OHDV
DQG SURFHHGHG WR DQDO\]H ZKHWKHU -XGJH 0DVFLR DV D
SDUWLFXODU MXGJH RI WKDW FRXUW ODFNHG MXULVGLFWLRQ IRU VRPH
RWKHUUHDVRQ,QGHHGWKHRSLQLRQLQGLFDWHGWKDW-XGJH0DVFLR
PLJKW DJDLQ KDYH MXULVGLFWLRQ RYHU WKH FDVH RQFH WKH FKLHI
MXVWLFHUXOHGRQWKH$IILGDYLWRI'LVTXDOLILFDWLRQ6HHLGDW
7KXVWKHLVVXHDFWXDOO\OLWLJDWHGEHIRUHWKH6XSUHPH
&RXUWZDV-XGJH0DVFLR¶VMXULVGLFWLRQRYHUDSDUWLFXODUFDVH
QRWZKHWKHUKHRUKLVFRXUWKDGVXEMHFWPDWWHUMXULVGLFWLRQ
RYHUWKHW\SHRIDFWLRQSUHVHQWHGE\WKH&ODQFH\¶V%DUFDVH
6LQFHWKHPDWWHUDWLVVXHKHUHZDVQRWDFWXDOO\OLWLJDWHGLQWKH
SULRUSURFHHGLQJLVVXHSUHFOXVLRQGRHVQRWDSSO\
7KHIRXUWKHOHPHQWRILVVXHSUHFOXVLRQOLNHZLVHGRHVQRW
H[LVW EHFDXVH DVVXPLQJ WKH LVVXH ZDV EHIRUH WKH 2KLR
6XSUHPH &RXUW 0DVFLR GLG QRW KDYH ³D IXOO DQG IDLU
RSSRUWXQLW\WROLWLJDWHWKHLVVXHLQWKHSULRUSURFHHGLQJ´$V
WKHFRXUW¶VRSLQLRQLWVHOIVXJJHVWVDQGWKHUHFRUGEHIRUHXV
PDNHVFOHDUWKH2KLR6XSUHPH&RXUWJUDQWHG6WHUQ¶VUHTXHVW
IRU HPHUJHQF\ UHOLHI DQG LVVXHG WKH ZULW RI SURKLELWLRQ H[
SDUWH0DVFLRZDVQRWJLYHQDQRSSRUWXQLW\WROLWLJDWHWKH
LVVXHRIKLVMXULVGLFWLRQLQWKHSULRUSURFHHGLQJEHFDXVHWRWKH
2KLR6XSUHPH&RXUW³LWDSSHDU>HG@EH\RQGGRXEWWKDW>6WHUQ
1R 6WHUQHWDOY0DVFLR
PDGHYRFLIHURXVSXEOLFVWDWHPHQWVFKDOOHQJLQJWKHOHJDOEDVLV
IRUFHUWDLQRI6WHUQ¶VDFWLRQVLQKLVDQWLJDPEOLQJFUXVDGH
6WHUQDQGKLVDVVLVWDQWVSURFHHGHGZLWKKLJKSURILOHUDLGVRI
DQGSXEOLFQXLVDQFHDFWLRQVDJDLQVWVHYHUDOZHOONQRZQEDUV
DQG SULYDWH FOXEV 2YHU WKH HQVXLQJ WZR GHFDGHV 6WHUQ¶V
FDPSDLJQUHVXOWHGLQWKHWHUPLQDWLRQRIJDPEOLQJDFWLYLW\LQ
QROHVVWKDQORFDWLRQVZLWKVRPHEXVLQHVVHVVKXWGRZQ
HQWLUHO\
)ROORZLQJVRPHRIWKHHDUO\UDLGVDJUDQGMXU\LQGLFWHG
YDULRXV LQGLYLGXDOVRQJDPEOLQJDQGUHODWHGFKDUJHV7KH
SURVHFXWLRQVFDPHWRDKDOWZKHQ0DVFLRZKRKDGEHFRPHD
MXGJHRIWKH&RPPRQ3OHDV&RXUWIRUWKHMXGLFLDOGLVWULFWWKDW
LQFOXGHV 6WHXEHQYLOOH UXOHG WKH JDPEOLQJ VWDWXWH
XQFRQVWLWXWLRQDO :KLOH 6WHUQ SXUVXHG DQ XOWLPDWHO\
VXFFHVVIXO DSSHDO WR WKH 2KLR 6XSUHPH &RXUW VHH 2KLR Y
0F'RQDOG 1(G 2KLR WKH SURVHFXWRU¶V
RIILFH WKH 2KLR 'HSDUWPHQW RI /LTXRU &RQWURO DQG RWKHU
DJHQFLHVFRQWLQXHGWRPRQLWRUORFDOEDUVIRUYLRODWLRQVRIVWDWH
JDPEOLQJODZV0DQ\RIWKHSURVHFXWLRQVWKDWZHUHVWDOOHGE\
0DVFLR¶VUXOLQJZHUHGURSSHGDIWHUWKHUHPDQGIURPWKH2KLR
6XSUHPH&RXUWDSSDUHQWO\EHFDXVH6WHUQKDGGHFLGHGWKDW
PDUVKDOLQJ WKH QHFHVVDU\ SURRI DJDLQVW WKH GHIHQGDQWV KDG
EHFRPHLPSUDFWLFDO
,Q WKH V 6WHUQ EHFDPH FRQFHUQHG WKDW OLTXRU
HVWDEOLVKPHQWVKDGPRYHGDZD\IURPJDPEOLQJDQGWRZDUG
GUXJWUDIILFNLQJ,QKHDJDLQXVHG2KLR¶VODZRIFLYLO
QXLVDQFHV WR VKXW GRZQ FHUWDLQ EDUV WKLV WLPH WKRVH
IUHTXHQWHGE\GUXJGHDOHUVSURVHFXWLQJPDQ\RIWKHSDWURQV
XQGHUVWDWHGUXJODZV6RPHEDUSDWURQVZKRZHUHFRQYLFWHG
LQKLVILUVWGUXJUHODWHGVZHHSEHJDQIUHTXHQWLQJ&ODQFH\¶V
%DULQ:LQWHUVYLOOH2KLR6XUYHLOODQFHRIWKHVHLQGLYLGXDOV
OHGSURVHFXWRUVWRFRQFOXGHWKDW&ODQFH\¶V%DUZDVHQJDJHG
LQ LOOHJDO JDPEOLQJ E\ RSHUDWLQJ IRU SURILW IORDWLQJ FUDSV
JDPHV IRRWEDOO SRROV SDUOD\ VKHHWV DQG RWKHU JDPHV RI
FKDQFH 6WHUQ EHOLHYHG WKDW WKLV DFWLYLW\ YLRODWHG 2KLR¶V
JDPEOLQJDQGOLTXRUFRQWUROODZVVRKHILOHGDFLYLOQXLVDQFH
DFWLRQGHVLJQHGWRVKXWGRZQ&ODQFH\¶V%DULQHDUO\
6WDWHH[UHO6WHUQY&ODQFH\¶V%DUZDVDVVLJQHGWR-XGJH

-- 3 of 8 --

6WHUQHWDOY0DVFLR 1R
0DVFLR0HDQZKLOHLQDGLIIHUHQWGLYLVLRQRIWKH-HIIHUVRQ
&RXQW\&RPPRQ3OHDV&RXUWVHYHUDOGHIHQGDQWVQDPHGLQ
WKHFLYLOQXLVDQFHDFWLRQZHUHFKDUJHGZLWKFHUWDLQUHODWHG
FULPLQDORIIHQVHV7ZRRIWKHVHGHIHQGDQWVUHWDLQHGDWWRUQH\
-RKQ 0DVFLR VRQ RI -XGJH 0DVFLR DV FRXQVHO IRU WKHLU
GHIHQVH RI WKH FULPLQDO FKDUJHV $WWRUQH\ 0DVFLR GLG QRW
HQWHU DQ DSSHDUDQFH LQ &ODQFH\¶V %DU EXW DFFRUGLQJ WR
SODLQWLIIVKHGLGSK\VLFDOO\DSSHDULQKLVIDWKHU¶VFRXUWURRP
GXULQJSURFHHGLQJVLQWKH&ODQFH\¶V%DUFDVH
:KHQ-XGJH0DVFLROHDUQHGRIKLVVRQ¶VLQYROYHPHQWLQWKH
UHODWHG FULPLQDO SURVHFXWLRQV KH VXD VSRQWH VFKHGXOHG D
KHDULQJIRU)HEUXDU\WRDGGUHVVZKHWKHUKHVKRXOG
FRQWLQXH WR SUHVLGH RYHU WKH FLYLO DFWLRQ $W WKH KHDULQJ
0DVFLR VWDWHG WKDW KH ZRXOG VHQG RXW GUDIW UHPLWWDOV RI
GLVTXDOLILFDWLRQZKLFKWKHSDUWLHVFRXOGVLJQWKXVDOORZLQJ
KLPWRUHPDLQRQWKHFDVH-XGJH0DVFLRWROGFRXQVHO³%XW
,ZRXOGOLNHLIWKHUH¶VDXWKRULW\HLWKHURI\RXKDYHFDQJLYH
PH VRPH FDVH FLWDWLRQ ZLWK UHVSHFW WR ZKHWKHU DQ\
GLVTXDOLILFDWLRQLVDWRWDOGLVTXDOLILFDWLRQ<RXVXEPLW
WKRVHWRPHE\:HGQHVGD\DQG,¶OOVHWWKLVIRU)ULGD\WKHWK
7KLVPDWWHULVFRQWLQXHGXQWLOWKHWKDW´/DWHUWKH
VDPHGD\-XGJH0DVFLRILOHGDMRXUQDOHQWU\DQGDGLVFORVXUH
LQ&ODQFH\¶V%DU-XGJH0DVFLRFODLPVWKDWKHLQWHQGHGWKLV
HQWU\VLPSO\WRPHPRULDOL]HWKHHYHQWVLQFRXUW7KHHQWU\
HVVHQWLDOO\DFFRPSOLVKHGWKLVLQDGGLWLRQWRRUGHULQJFRXQVHO
WRVXEPLWSRLQWVRIODZRQGLVTXDOLILFDWLRQDQGZKHWKHUWKH
PDWWHUVKRXOGEHVWD\HGSHQGLQJWKHFULPLQDOFDVHLQRUGHUWR
SURWHFWWKHFULPLQDOGHIHQGDQWV¶SULYLOHJHDJDLQVWFRPSXOVRU\
VHOILQFULPLQDWLRQ%XWWKHMXGJHDOVRVLJQHGDQGHQWHUHGD
³GLVFORVXUHRIGLVTXDOLILFDWLRQ´ZKLFKVWDWHG³3XUVXDQWWR
WKHWHUPVRI&DQRQ & DQGRU&DQRQ ' -XGJH-RKQ-
0DVFLR KHUHE\ GLVFORVHV KLV GLVTXDOLILFDWLRQ IURP
SDUWLFLSDWLQJWKHLQWKH>VLF@SURFHHGLQJVRIWKHDERYHVW\OHG
FDXVH >&ODQFH\¶V %DU@ IRU WKH UHDVRQ WKDW KLV VRQ -RKQ -
0DVFLRLVDQDWWRUQH\IRURQHRIWKH'HIHQGDQWVOLVWHGLQWKH
&RPSODLQW´DQGWKHUHIRUHWKHMXGJH¶VLPSDUWLDOLW\PLJKWEH
UHDVRQDEO\TXHVWLRQHG3ODLQWLIIVFODLPWKDWWKHGLVFORVXUH
HIIHFWLYHO\ GLVTXDOLILHG -XGJH 0DVFLR IURP WKH FDVH E\ LWV
RZQWHUPVWKHUHE\GHSULYLQJKLPRIMXULVGLFWLRQWRDFWDQ\
1R 6WHUQHWDOY0DVFLR
6HH 6WDWH Y 6ZLJHU 1(G 2KLR &W $SS
³6XEMHFW PDWWHU MXULVGLFWLRQ IRFXVHV RQ WKH FRXUW DV D IRUXP DQG RQ WKH
FDVH DV RQH RI D FODVV RI FDVHV QRW RQ WKH SDUWLFXODU IDFWV RI D FDVH RU WKH
SDUWLFXODU WULEXQDO WKDW KHDUV WKH FDVH >,Q FRQWUDVW MXULVGLFWLRQ RI D
SDUWLFXODU FDVH@ HQFRPSDVVHV WKH WULDO FRXUW¶V DXWKRULW\ WR GHWHUPLQH D
VSHFLILF FDVH ZLWKLQ WKDW FODVV RI FDVHV WKDW LV ZLWKLQ LWV VXEMHFW PDWWHU
MXULVGLFWLRQ ,W LV RQO\ ZKHQ WKH WULDO FRXUW ODFNV VXEMHFW PDWWHU
MXULVGLFWLRQ WKDW LWV MXGJPHQW LV YRLG ODFN RI MXULVGLFWLRQ RI WKH SDUWLFXODU
FDVH PHUHO\ UHQGHUV WKH MXGJPHQW YRLGDEOH´ 6HH DOVR HJ 6WDWH Y
)LOLDJJL 1(G 2KLR GLVFXVVLQJ WKH MXULVGLFWLRQ RI
WKH SUHVLGLQJ MXGJH RI WKH FRXUW RI FRPPRQ SOHDV WR DGMXGLFDWH QRQFDSLWDO
FKDUJHV ZKHQ WKH GHIHQGDQW ZDLYHG WULDO E\ MXU\ DQG YHVWHG D WKUHHMXGJH
REYLRXVO\GRHVQRWLQYROYHWKHVDPHFODLPFDXVHRIDFWLRQRU
GHIHQVHV GHVSLWH SODLQWLIIV¶ FRQFOXVRU\ DVVHUWLRQ WR WKH
FRQWUDU\
$VIRULVVXHSUHFOXVLRQWKDWGRFWULQHDSSOLHVRQO\LI³ WKH
SUHFLVH LVVXH UDLVHG LQ WKH SUHVHQW FDVH >ZDV@ UDLVHG DQG
DFWXDOO\OLWLJDWHGLQWKHSULRUSURFHHGLQJ GHWHUPLQDWLRQRI
WKH LVVXH >ZDV@ QHFHVVDU\ WR WKH RXWFRPH RI WKH SULRU
SURFHHGLQJ WKHSULRUSURFHHGLQJUHVXOWHGLQDILQDO
MXGJPHQWRQWKHPHULWVDQG WKHSDUW\DJDLQVWZKRP>LVVXH
SUHFOXVLRQ@LVVRXJKWKDGDIXOODQGIDLURSSRUWXQLW\WR
OLWLJDWHWKHLVVXHLQWKHSULRUSURFHHGLQJ´6PLWKY6HFXULWLHV
([FK&RPP¶Q)G WK&LU HQEDQF
FLWLQJ'HWURLW3ROLFH2IILFHUV$VV¶QY<RXQJ)G
WK &LU 1HLWKHU WKH ILUVW QRU WKH IRXUWK
UHTXLUHPHQWH[LVWVKHUH
7KH LVVXH LQ 6WDWH H[ UHO 6WHUQ Y 0DVFLR -XGJH ZDV
ZKHWKHU-XGJH0DVFLRDVDSDUWLFXODUMXGJHFRXOGH[HUFLVH
MXULVGLFWLRQRYHUDFDVHZKHQKHKDGGLVTXDOLILHGKLPVHOIIURP
KHDULQJWKHFDVH KHFODLPVKHGLGQRWLQWHQGWRGRVR DQGD
SDUW\LQWKHFDVHKDGILOHGDQ$IILGDYLWRI'LVTXDOLILFDWLRQLQ
WKH6XSUHPH&RXUW1HLWKHURIWKHVHPDWWHUVUHODWHWRZKHWKHU
KH RU KLV FRXUW KDG VXEMHFWPDWWHU MXULVGLFWLRQ RYHU WKH
&ODQFH\¶V%DUFDVHLQZKLFKKHSXUSRUWHGWRDFW2KLRFRXUWV
XVHWKHWHUP³MXULVGLFWLRQ´LQDYDULHW\RIFRQWH[WVUHODWHGWR
DMXGJH¶VDXWKRULW\WRDFWLQDFDVHQRWDOORIZKLFKGHSHQG
XSRQ KLV FRXUW¶V VXEMHFWPDWWHU MXULVGLFWLRQ 7KH 2KLR

-- 4 of 8 --

6WHUQHWDOY0DVFLR 1R
3ODLQWLII¶V SRVLWLRQ WKDW WKH 2KLR 6XSUHPH &RXUW¶V UHVROXWLRQ RI WKH
MXULVGLFWLRQDO PDWWHU DGGUHVVHG WKH VDPH LVVXH DV SUHVHQWO\ EHIRUH WKLV
FRXUW LV EHOLHG E\ WKH FLUFXPVWDQFH WKDW QRZKHUH LQ LWV RSLQLRQ GLG WKH
2KLR FRXUW FLWH RU FRQVLGHU D VLQJOH VWDWH RU IHGHUDO FDVH RQ MXGLFLDO
LPPXQLW\ IURP D VXLW IRU FLYLO GDPDJHV
ILOLQJWKHFLYLOQXLVDQFHDFWLRQ6LQFH-XGJH0DVFLR¶VFRXUW
KDGVXEMHFWPDWWHUMXULVGLFWLRQRYHUWKHFDVHKHGLGQRWDFW
³LQWKHFRPSOHWHDEVHQFHRIDOOMXULVGLFWLRQ´IRUSXUSRVHVRI
WKHMXGLFLDOLPPXQLW\GHWHUPLQDWLRQ
3ODLQWLIIVUHO\KHDYLO\RQWKHRSLQLRQRIWKH2KLR6XSUHPH
&RXUWLQ6WDWHH[UHO6WHUQY0DVFLR-XGJH,QDGGLWLRQWR
FODLPLQJWKDWWKHRSLQLRQVKRZVWKDW-XGJH0DVFLRDFWHG³LQ
WKHFRPSOHWHDEVHQFHRIDOOMXULVGLFWLRQ´WKH\DUJXHWKDW
WKHVWDWHFRXUW¶VRSLQLRQVKRXOGEHJLYHQSUHFOXVLYHHIIHFWLQ
WKLV FDVH 3ODLQWLIIV GR QRW PDNH FOHDU ZKHWKHU WKH\ VHHN
DSSOLFDWLRQ RI WKH FODLP SUHFOXVLRQ RU LVVXH SUHFOXVLRQ
GRFWULQH
>&@ODLPSUHFOXVLRQLVWKHGRFWULQHE\ZKLFKD
ILQDO MXGJPHQW RQ WKH PHULWV LQ DQ DFWLRQ SUHFOXGHV D
SDUW\IURPEULQJLQJDVXEVHTXHQW ODZVXLWRQWKHVDPH
FODLP RU FDXVH RI DFWLRQ RU UDLVLQJ D QHZ GHIHQVH WR
GHIHDWDSULRUMXGJPHQW,WSUHFOXGHVQRWRQO\UHOLWLJDWLQJ
DFODLPRUFDXVHRIDFWLRQSUHYLRXVO\DGMXGLFDWHGLWDOVR
SUHFOXGHVOLWLJDWLQJDFODLPRUGHIHQVHWKDWVKRXOGKDYH
EHHQUDLVHGEXWZDVQRWLQDFODLPRUFDXVHRIDFWLRQ
SUHYLRXVO\ DGMXGLFDWHG >,@VVXH SUHFOXVLRQ
SUHFOXGHV UHOLWLJDWLRQ RI LVVXHV RI IDFW RU ODZ DFWXDOO\
OLWLJDWHGDQGGHFLGHGLQDSULRUDFWLRQEHWZHHQWKHVDPH
SDUWLHVDQGQHFHVVDU\WRWKHMXGJPHQWHYHQLIGHFLGHGDV
SDUWRIDGLIIHUHQWFODLPRUFDXVHRIDFWLRQ
*DUJDOORY0HUULOO/\QFK3LHUFH)HQQHU 6PLWK,QF
)G WK&LU FLWDWLRQVRPLWWHG %HFDXVH
6WDWHH[UHO6WHUQY0DVFLR-XGJHZDVDQRULJLQDODFWLRQLQ
WKH 2KLR 6XSUHPH &RXUW VHHNLQJ D ZULW RI SURKLELWLRQ WR
YDFDWH-XGJH0DVFLR¶VRUGHUVDQGSUHYHQWKLPIURPDFWLQJLQ
WKH &ODQFH\¶V %DU FDVH WKH LQVWDQW FLYLO ULJKWV DFWLRQ
1R 6WHUQHWDOY0DVFLR
$V H[SODLQHG PRUH IXOO\ EHORZ WKH 2KLR 6XSUHPH &RXUW DSSDUHQWO\
DJUHHG ZLWK SODLQWLIIV¶ YLHZ RI WKH GLVFORVXUH FLWLQJ LW DV RQH RI WZR
UHDVRQV WKDW 0DVFLR¶V MXULVGLFWLRQ RYHU WKH FDVH HQGHG RQ )HEUXDU\
6HH 6WDWH H[ UHO 6WHUQ Y 0DVFLR -XGJH 1(G
2KLR
IXUWKHULQWKHPDWWHU%XW0DVFLRDVVHUWVWKDWWKLVGLVFORVXUH
VLPSO\UHFRUGHGKLVSXWWLQJWKHSDUWLHVRQQRWLFHRIDSRWHQWLDO
GLVTXDOLILFDWLRQ SUREOHP -XGJH 0DVFLR PDLQWDLQV WKDW KH
LQWHQGHG DV VKRZQ E\ KLV RUGHU WR WKH SDUWLHV WR VXEPLW
EULHILQJ DQG WR DSSHDU IRU IXUWKHU KHDULQJV WR UHWDLQ
MXULVGLFWLRQRYHUWKHFDVH
/DWHLQWKHDIWHUQRRQRI)HEUXDU\6WHUQILOHGLQ
WKH2KLR6XSUHPH&RXUWDQ³$IILGDYLWRI'LVTXDOLILFDWLRQ´
SXUVXDQWWR2+,2 5(9 &2'(†6HFWLRQ
HQDFWHG LQ DOWHUHG WKH SURFHGXUH IRU UDLVLQJ MXGLFLDO
GLVTXDOLILFDWLRQPDWWHUVEHIRUHWKH6XSUHPH&RXUWVRWKDWWKH
ILOLQJ RI DQ DIILGDYLW RI GLVTXDOLILFDWLRQ DXWRPDWLFDOO\
GLVTXDOLILHV WKH VXEMHFW MXGJH 6HH 2+,2 5(9 &2'(
† ' ³>7@KHDIILGDYLWGHSULYHVWKHMXGJHDJDLQVW
ZKRPWKHDIILGDYLWZDVILOHGRIDQ\DXWKRULW\WRSUHVLGHLQWKH
SURFHHGLQJXQWLOWKHFKLHIMXVWLFHUXOHVRQWKHDIILGDYLW
´ 2Q)HEUXDU\WKH6XSUHPH&RXUWRI2KLR
VHQW-XGJH0DVFLRDOHWWHULQIRUPLQJKLPRIWKHDIILGDYLWDQG
LQVWUXFWLQJ WKDW QR IXUWKHU MXGLFLDO UXOLQJV VKRXOG EH PDGH
XQWLO WKH FKLHI MXVWLFH DFWHG RQ WKH DIILGDYLW H[FHSW DV
SURYLGHGLQ2+,2 5(9 &2'(† ' DQG
0DVFLRZDVJLYHQWHQGD\VWRILOHDZULWWHQUHVSRQVH
%HIRUHWKH&KLHI-XVWLFHKDGDFWHGRQWKHDIILGDYLW-XGJH
0DVFLROHDUQHGWKDW6WHUQDQGKLVDVVLVWDQWVKDGVXESRHQDHG
0DVFLR WR DSSHDU DV D ZLWQHVV LQ WKH FULPLQDO SURFHHGLQJ
6WHUQSODQQHGWRUHVLVWWKHFULPLQDOGHIHQGDQWV¶DVVHUWLRQVRI
VHOHFWLYH SURVHFXWLRQ E\ KDYLQJ -XGJH 0DVFLR WHVWLI\ WKDW
6WHUQKDGSURFHHGHGDJDLQVWFHUWDLQRI0DVFLR¶VEXVLQHVVHVLQ
WKH V :KHQ 0DVFLR OHDUQHG RI WKH VXESRHQD KH
VXPPRQHG XQGHUWKUHDWRIDUUHVW RQHRI6WHUQ¶VDVVLVWDQWV
SODLQWLII&KULVWRSKHU'%HFNHUWRDSSHDULQKLVFRXUW7KHH[
SDUWHSURFHHGLQJVLQ-XGJH0DVFLR¶VFKDPEHUVWRRNSODFHRQ

-- 5 of 8 --

6WHUQHWDOY0DVFLR 1R
)HEUXDU\WK$WWKHFRPEDWLYHPHHWLQJ0DVFLREHUDWHG
%HFNHUIRUVXESRHQDLQJDVLWWLQJMXGJHDQGPDLQWDLQHGWKDWKH
QR ORQJHU KDG DQ RZQHUVKLS LQWHUHVW LQ D FHUWDLQ EXVLQHVV
ZKHQ6WHUQSURFHHGHGDJDLQVWLWLQ%HFNHUDGYLVHG
0DVFLRWKDWWKHSURVHFXWRU¶VRIILFHKDGILOHGWKH$IILGDYLWRI
'LVTXDOLILFDWLRQ 0DVFLRKDGQRW\HWUHFHLYHGWKHOHWWHUIURP
WKH6XSUHPH&RXUW ZKLFKOHG0DVFLRWRFRQFHGHWKDW³QR
IXUWKHUSURFHHGLQJVFDQEHKDGLQWKLVFDVHXQWLOWKDW¶VGRQH
%XW,VWLOOWKLQNWKDW,KDYHWKHULJKWWRGHWHUPLQHFRQWHPSW
RIFRXUWIRU\RXDQG0U6WHUQIRUZKDW\RX¶YHGRQHEHFDXVH
WKDW¶VQRWUXOLQJRQWKHLVVXHVRIWKHFDVHWKDW¶VUXOLQJRQ\RXU
XQZDUUDQWHGDWWDFNRQDFRXUWRIFRPPRQSOHDV,¶PWHOOLQJ
\RXQRZDQGWKHPLQXWH>6WHUQ@JHWVEDFN\RX¶UHJRLQJWREH
EURXJKW WR FRXUW IRU WKDW SXUSRVH´ 7KH FRQIHUHQFH HQGHG
DEUXSWO\ ZLWK -XGJH 0DVFLR WHOOLQJ %HFNHU WR VDYH KLV
H[SODQDWLRQVIRUWKHSXEOLFKHDULQJ
3XUSRUWHGO\DFWLQJXQGHUWKHH[FHSWLRQLQ2+,2 5(9 &2'(
† ' ³$ MXGJH DJDLQVW ZKRP DQ DIILGDYLW RI
GLVTXDOLILFDWLRQKDVEHHQILOHGXQGHUGLYLVLRQV % DQG & RI
WKLV VHFWLRQ PD\ GHWHUPLQH D PDWWHU WKDW GRHV QRW DIIHFW D
VXEVWDQWLYH ULJKW RI DQ\ RI WKH SDUWLHV´ -XGJH 0DVFLR
FRQGXFWHG FRQWHPSW SURFHHGLQJV LQ &ODQFH\¶V %DU RQ
)HEUXDU\%XWVHH6WHUQY0DVFLR1(GDW
UXOLQJWKDWWKHH[FHSWLRQGLGQRWDSSO\WRFLYLOFRQWHPSW
SURFHHGLQJV DQFLOODU\ WR D FDVH LQ ZKLFK DQ DIILGDYLW RI
GLVTXDOLILFDWLRQ KDV EHHQ ILOHG $IWHU WKH SURFHHGLQJV LQ
RSHQ FRXUW FRQFOXGHG -XGJH 0DVFLR ILOHG DQRWKHU MRXUQDO
HQWU\LQ&ODQFH\¶V%DUZKLFKUHDGVLQLWVHQWLUHW\
2QWKLVWKGD\RI)HEUXDU\3URVHFXWRU>VLF@
$WWRUQH\ 6WHSKHQ 0 6WHUQ DQG $VVLVWDQW 3URVHFXWLQJ
$WWRUQH\&KULVWRSKHU'%HFNHUZHUHEURXJKWEHIRUHWKH
&RXUWWRDQVZHUWKHFKDUJHRIGLUHFWFRQWHPSWRI&RXUWDV
ILOHGE\WKLV&RXUW
7KH&RXUWILQGVWKDWWKH³0HPRUDQGXP´ILOHGE\WKH
2IILFH RI WKH 3URVHFXWLQJ $WWRUQH\ DQG VLJQHG E\
&RQWHPQRUVRQ)HEUXDU\DVZHOODVWKH$IILGDYLW
IRU'LVTXDOLILFDWLRQILOHGZLWKWKH2KLR6XSUHPH&RXUW
RQ)HEUXDU\WRFRQVWLWXWHWZRVHSDUDWHLQFLGHQWV
1R 6WHUQHWDOY0DVFLR
ZKHQWKHZDQWRIMXULVGLFWLRQLVNQRZQWRWKHMXGJHQR
H[FXVHLVSHUPLVVLEOH%XWZKHUHMXULVGLFWLRQRYHUWKH
VXEMHFWPDWWHULVLQYHVWHGE\ODZLQWKHMXGJHRULQWKH
FRXUWZKLFKKHKROGVWKHPDQQHUDQGH[WHQWLQZKLFKWKH
MXULVGLFWLRQ VKDOO EH H[HUFLVHG DUH JHQHUDOO\ DV PXFK
TXHVWLRQVIRUKLVGHWHUPLQDWLRQDVDQ\RWKHUTXHVWLRQV
LQYROYHGLQWKHFDVHDOWKRXJKXSRQWKHFRUUHFWQHVVRIKLV
GHWHUPLQDWLRQ LQ WKHVH SDUWLFXODUV WKH YDOLGLW\ RI KLV
MXGJPHQWVPD\GHSHQG,QGHHGVRPHRIWKHPRVW
GLIILFXOW DQG HPEDUUDVVLQJ TXHVWLRQV ZKLFK D MXGLFLDO
RIILFHULVFDOOHGXSRQWRFRQVLGHUDQGGHWHUPLQHUHODWHWR
KLVMXULVGLFWLRQRUWKDWRIWKHFRXUWKHOGE\KLPRUWKH
PDQQHULQZKLFKWKHMXULVGLFWLRQVKDOOEHH[HUFLVHG
%UDGOH\86DW HPSKDVLVDGGHG
7KLVFRXUWKDVUHDG%UDGOH\DVHVWDEOLVKLQJWKDW³>R@QO\LQ
WKHDEVHQFHRIVXEMHFWPDWWHUMXULVGLFWLRQDUHMXGLFLDODFWRUV
GHYRLGRIWKHVKLHOGRILPPXQLW\:KHQKRZHYHUDFRXUW
ZLWK VXEMHFW PDWWHU MXULVGLFWLRQ DFWV ZKHUH >IRU H[DPSOH@
SHUVRQDO MXULVGLFWLRQ LV ODFNLQJ MXGLFLDO DQG SURVHFXWRULDO
DEVROXWHLPPXQLW\UHPDLQLQWDFW´+ROORZD\Y%UXVK
)G WK&LU HQEDQF FLWLQJ%UDGOH\DQG
6WXPSY6SDUNPDQ86 HPSKDVLV
DGGHG VHHDOVR%DUQHVY:LQFKHOO)G WK
&LU (YHQJUDYHSURFHGXUDOHUURUVRUDFWVWDNHQZKHQ
QR VWDWXWH SXUSRUWV WR FRQIHU RQ WKH FRXUW WKH DXWKRULW\
SXUSRUWHGO\ H[HUFLVHG ZLOO QRW GHSULYH D MXGJH RI MXGLFLDO
LPPXQLW\6HH6WXPS86DW
,Q 2KLR &RXUWV RI &RPPRQ 3OHDV KDYH EURDG JHQHUDO
MXULVGLFWLRQRYHUDOPRVWDOOW\SHVRIFLYLOFDVHVDQGIXUWKHU
KDYHFHUWDLQLQKHUHQWSRZHUVUHODWHGWRWKHH[HUFLVHRIVXFK
MXULVGLFWLRQ6HH2+,2 5(9 &2'(†*UHHQVWHLQY
&OLIIRUG1(G 2KLR +DOHY6WDWH1(
2KLR 7KHFLYLODFWLRQWKDW-XGJH0DVFLR
UHJDUGHGDVVWLOOSHQGLQJEHIRUHKLPWKH&ODQFH\¶V%DUFDVH
XQGRXEWHGO\IHOOZLWKLQWKHVXEMHFWPDWWHUMXULVGLFWLRQRIWKH
-HIIHUVRQ&RXQW\&RXUWRI&RPPRQ3OHDVDVSURVHFXWRU6WHUQ
ZHOONQHZZKHQKHLQYRNHGWKHMXULVGLFWLRQRIWKDWFRXUWLQ

-- 6 of 8 --

6WHUQHWDOY0DVFLR 1R
WRFRUUHFWLRQWKURXJKRUGLQDU\PHFKDQLVPVRIUHYLHZZKLFK
DUH ODUJHO\ IUHH RI WKH KDUPIXO VLGHHIIHFWV LQHYLWDEO\
DVVRFLDWHG ZLWK H[SRVLQJ MXGJHV WR SHUVRQDO OLDELOLW\´
)RUUHVWHUY:KLWH86
%HFDXVH³LPPXQLW\LVMXVWLILHGDQGGHILQHGE\WKHIXQFWLRQV
LWSURWHFWVDQGVHUYHVQRWE\WKHSHUVRQWRZKRPLWDWWDFKHV´
LGDWMXGLFLDOLPPXQLW\KDVLWVOLPLWVLQWKHIRUPRIWZR
H[FHSWLRQV³)LUVWDMXGJHLVQRWLPPXQHIURPOLDELOLW\IRU
QRQMXGLFLDO DFWLRQV LH DFWLRQV QRW WDNHQ LQ WKH MXGJH¶V
MXGLFLDOFDSDFLW\6HFRQGDMXGJHLVQRWLPPXQHIRUDFWLRQV
WKRXJKMXGLFLDOLQQDWXUHWDNHQLQWKHFRPSOHWHDEVHQFHRIDOO
MXULVGLFWLRQ´ 0LUHOHV Y :DFR 86
FLWDWLRQVRPLWWHG 7KHGLVWULFWFRXUWGHWHUPLQHGWKDW-XGJH
0DVFLR¶V FRQWHPSW ILQGLQJV DQG VHQWHQFHV RVWHQVLEO\
XQGHUWDNHQLQWKHFRXUVHRIDGMXGLFDWLQJWKH&ODQFH\¶V%DU
FDVHZHUHMXGLFLDOLQQDWXUH&I0LUHOHV86DW D
MXGJH¶VRUGHUWRDSSUHKHQGDQDWWRUQH\DQGEULQJKLPEHIRUH
DFRXUWLVDMXGLFLDODFW .LQJY/RYH)G WK
&LU KROGLQJ D FRQWHPSW KHDULQJ DQG LVVXLQJ D
FRQWHPSWVHQWHQFHDUHMXGLFLDODFWLYLWLHV 3ODLQWLIIVKDYHQRW
DSSHDOHG WKLV DVSHFW RI WKH FRXUW¶V KROGLQJ ,QVWHDG WKH\
FRQWHVW WKH GLVWULFW FRXUW¶V UXOLQJ WKDW DOWKRXJK -XGJH
0DVFLR¶V FRQGXFW H[FHHGHG KLV DXWKRULW\ LW ZDV QRW
XQGHUWDNHQLQWKH³FRPSOHWHDEVHQFHRIDOOMXULVGLFWLRQ´
:KLOH WKH VHFRQG UHFRJQL]HG H[FHSWLRQ WR MXGLFLDO
LPPXQLW\DOORZVVXLWVZKHQDMXGJHDFWHG³LQWKHFRPSOHWH
DEVHQFHRIDOOMXULVGLFWLRQ´VLPSO\H[FHHGLQJWKHOLPLWVRI
RQH¶VMXULVGLFWLRQZLOOQRWHOLPLQDWHLPPXQLW\EHFDXVHPDQ\
FRXUWVDUHFRXUWVRIOLPLWHGMXULVGLFWLRQUHJXODUO\FDOOHGXSRQ
WRUHVROYHXQVHWWOHGSRLQWVRIODZUHODWLQJWRWKHFRQWRXUVRI
WKHLU RZQ MXULVGLFWLRQ 6HH %UDGOH\ 86 DW 7KH
6XSUHPH&RXUWFRPPHQWHG
$GLVWLQFWLRQPXVWEHKHUHREVHUYHGEHWZHHQH[FHVVRI
MXULVGLFWLRQDQGWKHFOHDUDEVHQFHRIDOOMXULVGLFWLRQRYHU
WKHVXEMHFWPDWWHU:KHUHWKHUHLVFOHDUO\QRMXULVGLFWLRQ
RYHU WKH VXEMHFWPDWWHU DQ\ DXWKRULW\ H[HUFLVHG LV D
XVXUSHGDXWKRULW\DQGIRUWKHH[HUFLVHRIVXFKDXWKRULW\
1R 6WHUQHWDOY0DVFLR
RIFRQWHPSWRI&RXUW7KH&RXUWWKHUHIRUHILQGVERWK
&RQWHPQRUVLQFRQWHPSWRI&RXUW
7KH&RXUWVHQWHQFHV&KULVWRSKHU'%HFNHURQWKHILUVW
ILQGLQJRIFRQWHPSWWRSD\DILQHRIDQGRQWKH
VHFRQGILQGLQJRIFRQWHPSWWRSD\DILQHRIERWK
RIZKLFKDUHWREHSDLGZLWKLQWKLUW\ GD\V
:LWK UHVSHFW WR 3URVHFXWLQJ $WWRUQH\ 6WHSKHQ 0
6WHUQWKH&RXUWILQGLQJKLPLQFRQWHPSWVHQWHQFHVKLP
WRDWHUPRILPSULVRQPHQWLQWKH-HIIHUVRQ&RXQW\-DLORI
WHQ GD\VDQGDILQHRIIRUWKHILUVWRIIHQVH
DQG RQ WKH VHFRQG ILQGLQJ RI FRQWHPSW D WHUP RI
LPSULVRQPHQWLQWKH-HIIHUVRQ&RXQW\-DLORIWZHQW\
GD\VSOXVDILQHRIZLWKVDLGVHQWHQFHVWRUXQ
FRQVHFXWLYHO\
6HQWHQFHVWREHSXWLQWRH[HFXWLRQLPPHGLDWHO\DQGWKH
6KHULIILVWRFDXVHWKH'HIHQGDQWWREHFRQYH\HGWRWKH
-HIIHUVRQ&RXQW\-DLOIRUWKZLWK
7KH6KHULIIKDYLQJDGYLVHGWKH&RXUWLQDGLVUHVSHFWIXO
PDQQHU E\ DUJXLQJ DQG \HOOLQJ ZLWK WKH &RXUW WKDW KH
ZRXOGQRWSXWWKH&RQWHPQRUVLQWKH-HIIHUVRQ&RXQW\
-DLODVZHOODVQRWJLYLQJDVVXUDQFHVWKDWWKH2UGHUZRXOG
EHFDUULHGRXWLVIRXQGLQFRQWHPSWRI&RXUWDQGILQHG
IRU VDLG FRQWHPSW 7KH 6KHULII LV IXUWKHU
25'(5('WRKDYHWKH'HIHQGDQWLQFDUFHUDWHGLQVRPH
MDLOE\QRRQRIWKLVGDWHRUWKLVZLOOEHFRQVLGHUHG
DFRQWHPSWRI&RXUW
&RQWHPQRU6WHUQ¶V0RWLRQIRU6WD\RI([HFXWLRQDQG
%RQGLVRYHUUXOHG
6WHUQDQG%HFNHUILOHGDQHPHUJHQF\DSSHDODQGWKH6HYHQWK
'LVWULFW&RXUWRI$SSHDOVJUDQWHGDVWD\RIH[HFXWLRQLQD
FDVH VW\OHG ,Q UH &RQWHPSW RI WKH -HIIHUVRQ &RXQW\
3URVHFXWLQJ $WWRUQH\ DQG &KLHI $VVLVWDQW 3URVHFXWLQJ
$WWRUQH\
2Q)HEUXDU\6WHUQILOHGDQRULJLQDODFWLRQLQWKH
2KLR 6XSUHPH &RXUW VHHNLQJ D ZULW RI SURKLELWLRQ 6WHUQ
DUJXHGWKDW0DVFLRKDGEHHQGLYHVWHGRIDOOMXULVGLFWLRQWR
SURFHHGLQ&ODQFH\¶V%DURQ)HEUXDU\E\PHDQVRIERWK
-XGJH 0DVFLR¶V 'LVFORVXUH RI 'LVTXDOLILFDWLRQ DQG 6WHUQ¶V

-- 7 of 8 --

6WHUQHWDOY0DVFLR 1R
ILOLQJRIDQ$IILGDYLWRI'LVTXDOLILFDWLRQ+HVRXJKWDZULWRI
SURKLELWLRQWREDU-XGJH0DVFLRIURPSURFHHGLQJIXUWKHULQ
&ODQFH\¶V %DU SDUWLFXODUO\ WR SUHYHQW IXUWKHU FRQWHPSW
ILQGLQJVDQGVHQWHQFHV
:LWKRXWDIIRUGLQJ0DVFLRWLPHWRILOHDUHVSRQVHWKH2KLR
6XSUHPH &RXUW ILOHG DQ RSLQLRQ LQ 6WDWH H[ UHO 6WHUQ Y
0DVFLR-XGJHDQGJUDQWHGWKHZULW7KHFRXUWVWDWHG
$EVHQWDSDWHQWDQGXQDPELJXRXVODFNRIMXULVGLFWLRQD
FRXUW KDYLQJ JHQHUDO VXEMHFWPDWWHU MXULVGLFWLRQ FDQ
GHWHUPLQHLWVRZQMXULVGLFWLRQDQGDSDUW\FKDOOHQJLQJ
WKHFRXUW¶VMXULVGLFWLRQSRVVHVVHVDQDGHTXDWHUHPHG\E\
DSSHDO :KHUH DQ LQIHULRU FRXUW SDWHQWO\ DQG
XQDPELJXRXVO\ ODFNV MXULVGLFWLRQ RYHU WKH FDXVH
SURKLELWLRQ ZLOO OLH ERWK WR SUHYHQW WKH IXWXUH
XQDXWKRUL]HGH[HUFLVHRIMXULVGLFWLRQDQGWRFRUUHFWWKH
UHVXOWVRISUHYLRXVMXULVGLFWLRQDOO\XQDXWKRUL]HGDFWLRQV
6WHUQY0DVFLR1(GDW7KHFRXUWDJUHHGZLWK
6WHUQ WKDW 0DVFLR ³SDWHQWO\ DQG XQDPELJXRXVO\ ODFN>HG@
MXULVGLFWLRQ´ WR DFW LQ &ODQFH\¶V %DU IRU WKH UHDVRQV
VXEPLWWHG E\ 6WHUQ ,ELG 7KH FRXUW ³LVVXH>G@ D ZULW RI
SURKLELWLRQUXOLQJWKDWDOORI-XGJH0DVFLR¶VRUGHUVLQWKHFLYLO
FDVHIROORZLQJ)HEUXDU\DUHYRLGDQGSUHYHQWLQJ -XGJH
0DVFLR IURP SURFHHGLQJ LQ WKH FLYLO FDVH XQWLO WKH &KLHI
-XVWLFHKDVUXOHGRQWKHDIILGDYLWRIGLVTXDOLILFDWLRQ´
,ELG
$IWHU PHHWLQJ ZLWK &KLHI -XVWLFH 0R\HU LQ ODWH 0DUFK
6WHUQ ZLWKGUHZ KLV ILOLQJV UHODWLQJ WR 0DVFLR 0DVFLR
UHVFLQGHGWKHFRQWHPSWILQGLQJDQGDJUHHGWRUHFXVHKLPVHOI
IURPWKH&ODQFH\¶V%DUFDVH,QDSXEOLFVWDWHPHQWUHOHDVHG
E\&KLHI-XVWLFH0R\HUERWK6WHUQDQG0DVFLRDJUHHGWKDW
VXFKUHVXOW³UHVROYH>G@WKHFXUUHQWLVVXHVLQYROYLQJWKHWZR
RIILFHV´7KH\H[SUHVVHGVDWLVIDFWLRQZLWKWKHUHVROXWLRQRI
WKHPDWWHUDQG³UHJUHWWKDWWKHPDWWHUHVFDODWHGLQWRDSXEOLF
GLVSXWH´0DVFLRDQG6WHUQ³DJUHH>G@WKDWQRRWKHUSXEOLF
VWDWHPHQWVRQWKHPDWWHUZLOOEHLVVXHG´
1R 6WHUQHWDOY0DVFLR
2KLR¶V GRFWULQH RI MXGLFLDO LPPXQLW\ IURP VWDWHODZ WRUW DFWLRQV IRU
PRQH\ GDPDJHV SDUDOOHOV WKH IHGHUDO GRFWULQH DSSOLFDEOH WR † VXLWV
6HH :LOVRQ Y 1HX 1(G 2KLR $FFRUGLQJO\ RXU
GLVFXVVLRQ RI IHGHUDO ODZ DSSOLHV ZLWK HTXDO IRUFH WR SODLQWLIIV¶ VWDWHODZ
FODLPV
2Q )HEUXDU\ 6WHUQ DQG %HFNHU SUR VH DQG DV
FRXQVHOIRUHDFKRWKHUILOHGVXLWLQVWDWHFRXUWDJDLQVW-XGJH
0DVFLR LQ ERWK KLV LQGLYLGXDO DQG RIILFLDO FDSDFLWLHV
FODLPLQJ YLRODWLRQV RI WKHLU ULJKWV XQGHU WKH )RXUWK DQG
)RXUWHHQWK $PHQGPHQWV WR WKH 8QLWHG 6WDWHV &RQVWLWXWLRQ
SXUVXDQWWR86&† 6HFWLRQRI$UWLFOH,RIWKH
2KLR &RQVWLWXWLRQ WKH 2KLR 5HYLVHG &RGH DQG 2KLR
FRPPRQ ODZ 0DVFLR UHPRYHG WKH FDVH WR WKH 6RXWKHUQ
'LVWULFW RI 2KLR SXUVXDQW WR 86& †† E
$OWKRXJKSODLQWLIIVDWWHPSWHGWRFRPPHQFHGLVFRYHU\WKH\
DOVRILOHGIRUVXPPDU\MXGJPHQWDVGLG0DVFLR7KHGLVWULFW
FRXUW JUDQWHG 0DVFLR¶V PRWLRQ FRQFOXGLQJ WKDW DEVROXWH
MXGLFLDOLPPXQLW\EDUVWKHLQVWDQWVXLWEHFDXVH0DVFLRDFWHG
LQ D MXGLFLDO FDSDFLW\ DQG GLG QRW FOHDUO\ ODFN DOO VXEMHFW
PDWWHUMXULVGLFWLRQHYHQWKRXJKKHGLGDFWLQH[FHVVRIKLV
DXWKRULW\3ODLQWLIIVWLPHO\DSSHDOHG
,,
³>-@XGJHVRIFRXUWVRIVXSHULRURUJHQHUDOMXULVGLFWLRQDUH
QRWOLDEOHWRFLYLODFWLRQVIRUWKHLUMXGLFLDODFWVHYHQZKHQ
VXFKDFWVDUHLQH[FHVVRIWKHLUMXULVGLFWLRQDQGDUHDOOHJHGWR
KDYHEHHQGRQHPDOLFLRXVO\RUFRUUXSWO\´%UDGOH\Y)LVKHU
86 :DOO 7KLVLPPXQLW\DSSOLHVWR
DFWLRQVEURXJKWXQGHU86&†WRUHFRYHUIRUDOOHJHG
GHSULYDWLRQRIFLYLOULJKWV6HH3LHUVRQY5D\86
7KH 6XSUHPH &RXUW H[SODLQHG ³,I MXGJHV
ZHUHSHUVRQDOO\OLDEOHIRUHUURQHRXVGHFLVLRQVWKHUHVXOWLQJ
DYDODQFKH RI VXLWV PRVW RI WKHP IULYRORXV EXW YH[DWLRXV
ZRXOG SURYLGH SRZHUIXO LQFHQWLYHV IRU MXGJHV WR DYRLG
UHQGHULQJ GHFLVLRQV OLNHO\ WR SURYRNH VXFK VXLWV 7KH
UHVXOWLQJWLPLGLW\ZRXOGEHKDUGWRGHWHFWRUFRQWURODQGLW
ZRXOG PDQLIHVWO\ GHWUDFW IURP LQGHSHQGHQW DQG LPSDUWLDO
DGMXGLFDWLRQ0RVWMXGLFLDOPLVWDNHVRUZURQJVDUHRSHQ

-- 8 of 8 --

Setzen Sie Ihre Recherche in ChatGPT oder Claude fort

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