01a0215p.06

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
7,1$-2 0$< 0&*5$:
3HWLWLRQHU$SSHOODQW
Y
-2< +2//$1'
5HVSRQGHQW$SSHOOHH
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW
1R²%HUQDUG$)ULHGPDQ'LVWULFW-XGJH
$UJXHG0DUFK
'HFLGHGDQG)LOHG-XO\
%HIRUH0(55,771(/621DQG68+5+(,15,&+
&LUFXLW-XGJHV
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' ) 0DUWLQ 7LHEHU 67$7( $33(//$7(
'()(1'(5 2)),&( /DQVLQJ 0LFKLJDQ IRU $SSHOODQW
5DLQD , .RUEDNLV 2)),&( 2) 7+( $77251(<
*(1(5$//DQVLQJ0LFKLJDQIRU$SSHOOHH21%5,()
) 0DUWLQ 7LHEHU 67$7( $33(//$7( '()(1'(5
2)),&( /DQVLQJ 0LFKLJDQ IRU $SSHOODQW 9LQFHQW -

-- 1 of 8 --

0F*UDZY+ROODQG 1R
/HRQH2)),&(2)7+($77251(<*(1(5$//DQVLQJ
0LFKLJDQIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
'$9,' $ 1(/621 &LUFXLW -XGJH 7KLV LV DQ DSSHDO
IURPDMXGJPHQWGHQ\LQJKDEHDVFRUSXVUHOLHIWRD\HDUROG
JLUOZKRZDVFRQYLFWHGE\D0LFKLJDQMXU\RQDFKDUJHDULVLQJ
RXWRIKHUDVVLVWDQFHLQWKHSHUSHWUDWLRQRIDJDQJUDSH7KH
WULDOHYLGHQFHLQFOXGHGDFRQIHVVLRQJLYHQE\WKHSHWLWLRQHU
GXULQJ D FXVWRGLDO LQWHUURJDWLRQ FRQGXFWHG E\ D SROLFH
GHWHFWLYHLQWKHSUHVHQFHRIWKHSHWLWLRQHU¶VPRWKHU%HIRUH
VKH LQFULPLQDWHG KHUVHOI WKH SHWLWLRQHU UHSHDWHGO\ WROG WKH
GHWHFWLYHVKHGLGQRWZDQWWRWDONDERXWWKHUDSH%RWKWKH
GHWHFWLYHDQGWKHPRWKHUWROGWKHSHWLWLRQHUWKDWVKHKDGWR
WDONDERXWLWZKLFKVKHXOWLPDWHO\GLG
,Q FRQFOXGLQJ WKDW WKH FRQIHVVLRQ ZDV DGPLVVLEOH LQ
HYLGHQFHWKHVWDWHWULDOFRXUWGHFLGHGWKDWWKHSHWLWLRQHUKDG
QRW HIIHFWLYHO\ LQYRNHG KHU FRQVWLWXWLRQDO ULJKW WR UHPDLQ
VLOHQW $ FKDOOHQJH WR WKDW GHFLVLRQ RQ GLUHFW DSSHDO ZDV
XQVXFFHVVIXO 7KH GLVSRVLWLYH TXHVWLRQ LQ WKH KDEHDV
SURFHHGLQJLVZKHWKHUWKHVWDWHFRXUW¶VGHFLVLRQ³ZDVFRQWUDU\
WR RU LQYROYHG DQ XQUHDVRQDEOH DSSOLFDWLRQ RI FOHDUO\
HVWDEOLVKHG)HGHUDOODZDVGHWHUPLQHGE\WKH6XSUHPH&RXUW
RIWKH8QLWHG6WDWHV´6HH86&† G DVDPHQGHG
E\WKH$QWLWHUURULVPDQG(IIHFWLYH'HDWK3HQDOW\$FW
6WDW
7KHGLVWULFWFRXUWFRQFOXGHGWKDWWKHGHFLVLRQUHDFKHGE\
WKH0LFKLJDQFRXUWZDVDSHUPLVVLEOHRQHXQGHUWKHVWDQGDUG
SUHVFULEHGE\WKHVWDWXWH:HGLVDJUHH7KHMXGJPHQWHQWHUHG
E\ WKH GLVWULFW FRXUW ZLOO EH UHYHUVHG DQG WKH FDVH ZLOO EH
UHPDQGHG ZLWK LQVWUXFWLRQV WR JUDQW WKH ZULW XQOHVV WKH
SHWLWLRQHULVJLYHQDQHZWULDO

-- 2 of 8 --

1R 0F*UDZY+ROODQG
,
$
2QWKHQLJKWRI)HEUXDU\WKHSHWLWLRQHU7LQDMR
7LQD 0D\0F*UDZZDVRQHRIDJURXSRIHLJKWRUVRSHRSOH
ZKR ZHUH ³SDUW\LQJ´ DW D KRXVH LQ 6DJLQDZ 0LFKLJDQ
$OWKRXJK7LQDZDVQRW\HW\HDUVROGVKHGLGQRWDWWHQG
VFKRRODQGZDVDOUHDG\WKHPRWKHURID\RXQJVRQWKHER\
ZDV QRW ZLWK KHU RQ WKH QLJKW LQ TXHVWLRQ DOWKRXJK DQ
XQUHODWHG FKLOG ZDV LQ WKH URRP ZKHQ WKH UDSH RFFXUUHG
'XULQJWKHHDUO\PRUQLQJKRXUVRI6DWXUGD\)HEUXDU\RQH
RIWKHSDUW\JRHUV D\HDUROGZRPDQZKRDOOHJHGO\³NHSW
WDONLQ¶DERXWVRPHFUDFN´DQGZLWKZKRP7LQDKDGHQJDJHG
LQDILVWILJKWHDUOLHULQWKHHYHQLQJ ZDVEHDWHQDQGUDSHGE\
VHYHUDORIWKHPDOHJXHVWV7KHSROLFHZHUHFDOOHGDWDERXW
DP:KHQSROLFHRIILFHUVDUULYHGDWWKHKRXVHWKHYLFWLP
WROGWKHPWKDWVKHKDGEHHQKHOGGRZQGXULQJWKHUDSHE\
7LQDDQGWKHODWWHU¶VIULHQG&DURO\Q6LPRQV
7LQDZDVDUUHVWHGDWWKHVFHQHDQGWDNHQLQWRFXVWRG\7KH
SROLFHVXPPRQHG7LQD¶VPRWKHUWRWKHSROLFHVWDWLRQDQGD
GHWHFWLYH7DPLH5HLQNHWRRN7LQDDQGKHUPRWKHULQWRDQ
LQWHUYLHZURRPDWDERXWDP7KHUH7LQDZDVDGYLVHGRI
KHU0LUDQGDULJKWVERWKRUDOO\DQGLQZULWLQJDQGVKHVLJQHG
D ZULWWHQ ZDLYHU IRUP DV GLG WKH PRWKHU HYLGHQFLQJ KHU
XQGHUVWDQGLQJRIKHUULJKWWRUHPDLQVLOHQWDQGKHUULJKWWRDQ
DWWRUQH\
'HWHFWLYH 5HLQNH EHJDQ D IRUPDO LQWHUURJDWLRQ DW
DSSUR[LPDWHO\ DP 7KH LQWHUYLHZ ZKLFK ZDV WDSH
UHFRUGHGHQGHGDWDERXWDP
$WUDQVFULSWRIWKHWDSHGLVFORVHVWKDW7LQDZDVUHOXFWDQWWR
WDONDERXWWKHGHWDLOVRIWKHUDSH$FNQRZOHGJLQJWKDW³EDG
WKLQJV WKDW KDSSHQ DUH DOZD\V KDUG WR WDON DERXW´ WKH
GHWHFWLYH WROG 7LQD WKDW ³\RX QHHG WR WHOO PH ZKDW ZDV
KDSSHQLQJDWWKHKRXVH´7LQDWKHQDVNHGLIWKHLQWHUYLHZ
FRXOGEHSRVWSRQHG³&DQZHMXVWWDONDERXWWKLVODWHU´VKH
DVNHG7LQD¶VPRWKHUDQGWKHGHWHFWLYHERWKUHSOLHGLQWKH
QHJDWLYHWKHGHWHFWLYHH[SODLQLQJWKDW³ZHQHHGWRWDONDERXW

-- 3 of 8 --

0F*UDZY+ROODQG 1R
LWQRZEHFDXVH ,QHHGWRLQYHVWLJDWHLWWRGHFLGHZKDW¶V
JRQQDKDSSHQZLWKSHRSOH´
7LQDLQLWLDOO\GHQLHGKDYLQJUHVWUDLQHGWKHYLFWLPGXULQJWKH
UDSH ³,GLGQ¶WWRXFKWKHJLUO´VKHUHSHDWHGO\GHFODUHG³,
WULHGWRKHOSKHU´7KHGHWHFWLYHHYHQWXDOO\VDLGWKDWVKHGLG
QRWWKLQN7LQDZDVEHLQJKRQHVWDERXWZKDWKDGKDSSHQHG
SHUKDSVEHFDXVHVKHZDVDIUDLGRIZKDW&DURO\QDQGWKHRWKHU
SDUWLFLSDQWVZRXOGGRWRKHULIVKHWROGWKHWUXWK
$IWHUDVKRUWEUHDNWKHGHWHFWLYHUHQHZHGKHUUHTXHVWIRUDQ
KRQHVW DFFRXQW RI ZKDW KDG WUDQVSLUHG 7LQD PXPEOHG
VRPHWKLQJ WKDW ZDV QRW IXOO\ DXGLEOH DQG WKHQ WROG WKH
GHWHFWLYHWKLV³,GRQ¶WZDQWWRWDONDERXWLW,GRQ¶WZDQWWR
UHPHPEHULW´-XVW³GRZKDW\RXKDYHWRGRZLWKPH´
7LQDFRQWLQXHG³,GLGQ¶WZDQWWRWDONDERXW´
7KHGHWHFWLYHDFNQRZOHGJHGDJDLQWKDWGLVFORVXUHZRXOGEH
GLIILFXOWEXWDVNHGLI7LQDZDQWHGRWKHUSHRSOHWRJHWDZD\
ZLWK ZKDW WKH\ KDG GRQH E\ EODPLQJ HYHU\WKLQJ RQ KHU
7LQD¶V PRWKHU OLNHZLVH XUJHG WKH JLUO WR WHOO ZKDW KDG
KDSSHQHG 7LQD KRZHYHU PDGH NQRZQ KHU ODFN RI
HQWKXVLDVPIRU³PHWU\LQ¶WRZDONWKHVWUHHWVDQGJHWWLQ¶VKRW
DQGNLOOHGIRUWHOOLQ¶´7KLVWKHPHUHFXUUHGDWVHYHUDO
SRLQWVLQWKHHQVXLQJGLVFXVVLRQDVGLGDVVXUDQFHVWKDWWKH
RWKHUVZRXOGEHORFNHGXSDQGWKDW7LQDFRXOGKHOSKHUVHOIE\
FRRSHUDWLQJ
6WLOO7LQDUHVLVWHG³,FDQ¶WWKLQNDERXWLW´VKHVDLG³,
GRQ¶W ZDQW´ VKH FRQWLQXHG DW ZKLFK SRLQW WKH GHWHFWLYH
LQWHUUXSWHGWRWDNH7LQD¶VKDQGZKLOHKHUPRWKHU VSRNHRI
PRYLQJWRDQRWKHUWRZQZKHUHQRRQHZRXOGWKLQNWRORRNIRU
KHU
$IWHUDGLVFXVVLRQRIKRZ7LQDKDGEHHQSLVWROZKLSSHGD
PRQWKHDUOLHUDQGKDGH[DFWHGUHYHQJHZLWK&DURO\Q¶VKHOS
WKHGHWHFWLYHVWHHUHGWKHFRQYHUVDWLRQEDFNWRWKHHYHQWVRI
WKDWPRUQLQJ³+RZPDQ\JX\VGLG\RXVHHUDSHKHU´WKH
GHWHFWLYHDVNHG³+RZPDQ\RI¶HP"´
1R 0F*UDZY+ROODQG
6HH 'LFNHUVRQ 86 DW 6FDOLD - GLVVHQWLQJ
%HFDXVH 'LFNHUVRQ ZDV QRW GHFLGHG XQWLO VHYHUDO \HDUV DIWHU 7LQD¶V
FRQIHVVLRQ ZDV XVHG DJDLQVW KHU DW WULDO WKH VWDWH PLJKW FRQFHLYDEO\ KDYH
DUJXHG WKDW DW WKH WLPH RI WULDO WKH DSSOLFDELOLW\ RI 0LUDQGD DQG LWV SURJHQ\
WR VWDWH FRXUW SURFHHGLQJV KDG QRW EHHQ ³FOHDUO\´ HVWDEOLVKHG E\ WKH
8QLWHG 6WDWHV 6XSUHPH &RXUW 1R VXFK DUJXPHQW KDV EHHQ SUHVHQWHG WR
XV KRZHYHU SHUKDSV EHFDXVH 0LUDQGD LWVHOI LQYROYHG VWDWH FRXUW
SURFHHGLQJV DQG EHFDXVH WKH 6XSUHPH &RXUW DV WKH PDMRULW\ RSLQLRQ LQ
'LFNHUVRQ QRWHV 86 DW KDV ³FRQVLVWHQWO\ DSSOLHG 0LUDQGD¶V
UXOH WR SURVHFXWLRQV DULVLQJ LQ VWDWH FRXUWV´ 7KH LVVXH QRW KDYLQJ EHHQ
UDLVHG LQ DQ\ HYHQW ZH QHHG QRW XQGHUWDNH WR GHFLGH LW
QRWZKHWKHUWKHFRXUW¶VGHFLVLRQLQYROYHGDQXQUHDVRQDEOH
DSSOLFDWLRQ RI WKH &RQVWLWXWLRQ DV ZULWWHQ 7KH TXHVWLRQ
EHIRUHXVUDWKHULVWKLV'LGWKHWULDOFRXUW¶VGHFLVLRQLQYROYH
DQXQUHDVRQDEOHDSSOLFDWLRQRIFOHDUO\HVWDEOLVKHGIHGHUDOODZ
DVGHWHUPLQHGLQ0LUDQGDDQGLWV6XSUHPH&RXUWSURJHQ\"
7KHDQVZHUWRWKDWTXHVWLRQDVZHKDYHH[SODLQHGLV³\HV´
$FFRUGLQJO\DQGEHFDXVHWKHVWDWHGRHVQRWFRQWHQG DQG
FRXOGQRWUHDVRQDEO\FRQWHQG WKDWWKHKDUPOHVVHUURUUXOHKDV
DQ\ UROH WR SOD\ LQ WKLV FDVH WKH MXGJPHQW HQWHUHG E\ WKH
GLVWULFW FRXUW LV 5(9(56(' 7KH FDVH LV 5(0$1'('
ZLWKLQVWUXFWLRQVWRLVVXHDZULWRIKDEHDVFRUSXVXQOHVV7LQD
LVJUDQWHGDQHZWULDOZLWKLQDWLPHWREHIL[HGE\WKHGLVWULFW
FRXUW

-- 4 of 8 --

0F*UDZY+ROODQG 1R
:KDW WKH &RQVWLWXWLRQ LWVHOI H[FOXGHV IURP WULDO DV -XVWLFH 6FDOLD
QRWHG 86 DW LQ GLVVHQWLQJ IURP WKH PDMRULW\ RSLQLRQ LQ
'LFNHUVRQ LV ³FRPSHOOHG FRQIHVVLRQV´ ± ZKLFK 7LQD¶V FRQIHVVLRQ RQH
FRXOG UHDVRQDEO\ FRQFOXGH ZDVQ¶W <HW XQGHU WKH 0LUDQGD UXOH DV WKH
'LFNHUVRQ PDMRULW\ H[SODLQHG ³VWDWHPHQWV ZKLFK PD\ EH E\ QR PHDQV
LQYROXQWDU\ PDGH E\ D GHIHQGDQW ZKR LV DZDUH RI KLV μULJKWV¶ PD\
QRQHWKHOHVV EH H[FOXGHG DQG D JXLOW\ GHIHQGDQW JR IUHH DV D UHVXOW´
86 DW -DPHV 0DGLVRQ DQG KLV FRQWHPSRUDULHV ZRXOG SUREDEO\ KDYH
IRXQG VXFK D UHVXOW SHUSOH[LQJ XQOHVV WKH )LIWK $PHQGPHQW ZDV LQ IDFW
DLPHG DW ³>S@UHYHQWLQJ IRROLVK UDWKHU WKDQ FRPSHOOHG FRQIHVVLRQV ´
ZKLFKWKHGHWHFWLYHKDGLQVLVWHG LQUHVSRQVHWR7LQD¶VVD\LQJ
³,GRQ¶WZDQQDWDONDERXWLW´ WKDW³>Z@HKDYHWRWDONDERXWLW
:HKDYHWRJHWWKLVFOHDUHGXS7KHKHDULQJ¶VDWRQHWKLUW\´
7KH WLPLQJ RI WKLV H[SOLFLW UHMHFWLRQ RI DQ XQDPELJXRXV
UHTXHVWWRUHPDLQVLOHQWFOHDUO\UHIXWHVWKHVWDWH¶VSURIIHUHG
UHDVRQIRUWKHUHMHFWLRQ
:HQRWHILQDOO\WKDWLQGHQ\LQJWKHPRWLRQWRVXSSUHVVWKH
FRQIHVVLRQ WKH VWDWH WULDO FRXUW WRRN LQWR DFFRXQW QRW RQO\
7LQD¶V GHPHDQRU DV UHIOHFWHG LQ WKH WDSH UHFRUGLQJ EXW
'HWHFWLYH5HLQNH¶VGHPHDQRUDQGDWWLWXGHWRZDUG7LQDDIWHU
WKH ODWWHU¶V VWDWHPHQWV DERXW QRW ZDQWLQJ WR WDON 7KH
PDJLVWUDWH MXGJH ZKR DOVR OLVWHQHG WR WKH WDSH UHFRUGLQJ
IRXQGQRWKLQJWRDOWHUWKHFRQFOXVLRQWRZKLFKDUHDGLQJRIWKH
WUDQVFULSWZRXOGSRLQW1HLWKHUGRZH
,W LV WUXH WR EH VXUH WKDW WKH GHWHFWLYH¶V DWWLWXGH WRZDUG
7LQDZDVYHU\V\PSDWKHWLF7KHGHWHFWLYHREYLRXVO\EHOLHYHG
WKDWVKHFRXOGFDWFKPRUHIOLHVZLWKKRQH\WKDQZLWKYLQHJDU
1RWKLQJ UHVHPEOLQJ WKH UDFN DQG WKH WKXPEVFUHZ ZDV
HPSOR\HGLQWKLVFDVH7LQD¶VZLOOGRHVQRWVHHPWRKDYHEHHQ
RYHUERUQHDQG±DVVXPLQJWKDWKHUVZDVQRW³DFRQIHVVLRQ
IRUFHGIURPWKHPLQGE\WKHIODWWHU\RIKRSH´VHH.LQJY
3DUUDWW&DU 3(QJ5HS 13 DV
TXRWHGLQ'LFNHUVRQ86DW±WKHFRQIHVVLRQDSSHDUV
WREHWUXVWZRUWK\
3HUKDSVWKHWULDOFRXUW¶VGHFLVLRQWRDGPLWWKHFRQIHVVLRQLQ
HYLGHQFH ZDV QRW DQ XQUHDVRQDEOH DSSOLFDWLRQ RI WKH
&RQVWLWXWLRQDVZULWWHQ%XWWKHTXHVWLRQEHIRUHXVKHUHLV
1R 0F*UDZY+ROODQG
³,GRQ¶WZDQQDWDONDERXWLW´7LQDUHSOLHG³:HKDYHWR
WDONDERXWLW´WKHGHWHFWLYHLQVLVWHG³:HKDYHWRJHWWKLV
FOHDUHGXS7KHKHDULQJ¶VDWRQHWKLUW\´
7LQDWKHQVXJJHVWHGWKDWVKHZRXOGMXVWJRDKHDGDQGWDNH
DOOWKHEODPH'HWHFWLYH5HLQNHZRXOGQRWDFFHSWWKDWDVNLQJ
³GLG\RXDQG&DURO\QKROGWKHJLUO¶V>VLF@GRZQEHFDXVHWKH
JX\VWROG\RXWR"´7KHPRWKHUUHSHDWHGWKHTXHVWLRQDQGWKH
GHWHFWLYHVDLG³7LQD,NQRZ\RXWRXFKHGWKHJLUO´
2QFHDJDLQ7LQDUHVSRQGHGZLWKWKHZRUGV³,GRQ¶WZDQW
WRWDONDERXWLW´+HUPRWKHUWROGKHUVKHKDGWRWDONDERXWLW
DQGFRXOGQRWWDNHWKHUDSIRUD³KH>D@WK>H@Q´OLNH&DURO\Q³,
GRQ¶WZDQQDWDONDERXWLW´7LQDUHSHDWHG³,MXVWGRQ¶WZDQQD
WDONDERXWLW´VKHVDLGIRUWKHHLJKWKRUQLQWKWLPH
5HIXVLQJWRWDNHQRIRUDQDQVZHUWKHGHWHFWLYHNHSWXUJLQJ
IXOOGLVFORVXUH7LQDZDVROGHQRXJKWREHWULHGDVDQDGXOW
WKHGHWHFWLYHWROGKHUDQGZDVIDFLQJDOLIHVHQWHQFHLQSULVRQ
³,I,WHOO\RXZKDWKDSSHQHG´7LQDILQDOO\UHVSRQGHG³,¶OOJR
IUHH ULJKW"´ 7KH GHWHFWLYH UHSOLHG WKDW VKH FRXOG SURPLVH
QRWKLQJ³ULJKWQRZ´DQGZHQWRQWRVD\WKDW³\RXKDYHWREH
KRQHVWZLWKPHILUVWDQGWKHQZHFDQWDONDERXWZKDWZH¶UH
JRQQDGRZLWK\RX´
6XFFXPELQJDWODVW7LQDWKHQJDYHDGHWDLOHGFRQIHVVLRQ
6KHH[SODLQHGWKDWVKHKDGKHOGRQHRIWKHYLFWLP¶VDUPVDQG
&DURO\QKDGKHOGWKHRWKHUZKLOH³WKHJX\V´ DSSDUHQWO\WKUHH
LQQXPEHU HQJDJHGLQRUDODQGYDJLQDOVH[ZLWKWKHYLFWLP
DQGKLWDQGNLFNHGKHU$FKLOGZKRZDVDERXWHLJKW\HDUVROG
ZDWFKHGDOOWKLV³+HZDVMXVWVLWWLQ¶WKHUHODXJKLQ¶´7LQD
VDLG
%
,WZDVGHFLGHGWKDW7LQDVKRXOGEHWULHGDVDQDGXOW$IWHU
DQHYLGHQWLDU\KHDULQJWKHVWDWHWULDOFRXUWWRZKLFKWKHFDVH
ZDVDVVLJQHGGHQLHGDPRWLRQLQOLPLQHLQZKLFKWKHGHIHQVH
KDG VRXJKW WR KDYH WKH FRQIHVVLRQ VXSSUHVVHG 7KH WULDO
FRXUW¶VNH\ILQGLQJZDVWKLV

-- 5 of 8 --

0F*UDZY+ROODQG 1R
³,DPDEVROXWHO\FRQYLQFHGWKDWZKHQWKHGHIHQGDQWVDLG
μ,GRQ¶WZDQWWRWDONDERXWLW¶VKHGLGQRWPHDQWKDWVKH
ZDQWHGWRVWRSWKHLQWHUYLHZ6KHQHYHUGHPDQGHGRU
UHTXHVWHGWRWHUPLQDWHWKHLQWHUYLHZ´
3RUWLRQVRIWKHWDSHUHFRUGLQJZHUHSOD\HGWRWKHMXU\DW
WULDO DQG WKH SURVHFXWRU KLJKOLJKWHG WKH FRQIHVVLRQ GXULQJ
FORVLQJDUJXPHQW,QWKHFRXUVHRILWVGHOLEHUDWLRQVWKHMXU\
DVNHGHLWKHUWRVHHDWUDQVFULSWRIWKHFRQIHVVLRQRUWRKHDUWKH
UHFRUGLQJDJDLQ7KHMXGJHDOORZHGWKHWDSHWREHUHSOD\HG
6KRUWO\WKHUHDIWHUWKHMXU\UHWXUQHGDYHUGLFWRIJXLOW\RQRQH
FRXQW RI ILUVWGHJUHH FULPLQDO VH[XDO FRQGXFW 7LQD ZDV
VHQWHQFHGWRLPSULVRQPHQWIRUDWHUPRIWR\HDUV
2Q DSSHDO WR WKH 0LFKLJDQ &RXUW RI $SSHDOV 7LQD¶V
FRXQVHO PDLQWDLQHG WKDW WKH FRQIHVVLRQ VKRXOG KDYH EHHQ
VXSSUHVVHG ERWK EHFDXVH LW ZDV ³FRHUFHG E\ SURPLVHV RI
OHQLHQF\´ DQG EHFDXVH LW ZDV ³H[WUDFWHG LQ GLVUHJDUG RI
FRQWLQXHGUHTXHVWVWRVWRSWKHLQWHUYLHZ´7KHFRXUWRI
DSSHDOV DIILUPHG WKH FRQYLFWLRQ FRQFOXGLQJ WKDW WKH
FRQIHVVLRQKDGEHHQJLYHQYROXQWDULO\7KHFRXUWQRWHGWKDW
7LQD DQG KHU PRWKHU KDG ³ERWK VLJQHG D IRUP ZDLYLQJ
GHIHQGDQW¶V0LUDQGDULJKWV´DQGKDGWROGWKHGHWHFWLYHWKDW
WKH\NQRZLQJO\ZDLYHGWKHVHULJKWVDQGZLVKHGWRWDON7KH
FRXUWGLGQRWDGYHUWWR7LQD¶VUHSHDWHGGHFODUDWLRQVGXULQJ
WKHILUVWSDUWRIWKHLQWHUURJDWLRQWKDWVKHGLGQRWZDQWWRWDON
DERXWWKHUDSH
7KH 0LFKLJDQ 6XSUHPH &RXUW GHQLHG DQ DSSOLFDWLRQ IRU
OHDYHWRDSSHDO7KHUHDIWHULQ'HFHPEHURIWKHSUHVHQW
KDEHDVSURFHHGLQJZDVLQLWLDWHGLQWKHIHGHUDOGLVWULFWFRXUW
7KHFDVHZDVUHIHUUHGWRDPDJLVWUDWHMXGJHZKRLVVXHGD
UHSRUWDQGUHFRPPHQGDWLRQLQZKLFKKHFRQFOXGHGWKDWDZULW
VKRXOG LVVXH 7KH GLVWULFW MXGJH GLVDJUHHG ILQGLQJ 7LQD¶V
VWDWHPHQWV WKDW VKH GLG QRW ZDQW WR WDON DERXW WKH UDSH
³XQFOHDU DQG DPELJXRXV´ ,Q FRQWH[W WKH GLVWULFW FRXUW
VXJJHVWHG D UHDVRQDEOH SROLFH RIILFHU FRXOG KDYH EHOLHYHG
WKDW7LQDZDVPHUHO\LQGLFDWLQJ³DKHVLWDQF\GXHWRDIHDURI
UHWDOLDWLRQIURPWKHRWKHUVXVSHFWV´
1R 0F*UDZY+ROODQG
FLUFXPVWDQFHVWKHUHDVRQDEOHQHVVRI0LFKLJDQ¶VDSSOLFDWLRQ
RI0LUDQGDLVWRVWDQGRUIDOORQWKHUHDVRQLQJRIWKHWULDO
FRXUWLWREYLRXVO\IDOOV
7KHVWDWHWULDOFRXUWGLGQRWSURIHVVWRILQGDVWKHIHGHUDO
GLVWULFWFRXUWGLGWKDW7LQDZDVEHLQJXQFOHDUZKHQVKHVDLG
WKDWVKHGLGQRWZDQWWRWDONDERXWWKHUDSH1HLWKHUGLGWKH
VWDWHWULDOFRXUWFRQFOXGHDVWKHGLVWULFWFRXUWVHHPVWRKDYH
GRQHWKDWDQLQYRFDWLRQRIWKHULJKWWRVLOHQFHLVXQFOHDUDQG
WKXVLQHIIHFWLYHLILWVWHPVIURPDIHDURIUHWDOLDWLRQ%XWKDG
WKHVWDWHFRXUWWDNHQHLWKHUWDFNZHEHOLHYHWKDWLWZRXOGKDYH
EHHQREMHFWLYHO\XQUHDVRQDEOHLQGRLQJVR
,QFRQQHFWLRQZLWKUHTXHVWVIRUFRXQVHOWKH6XSUHPH&RXUW
KDVWROGXVWKDWWKHUHTXHVWPXVWEHPDGH³XQDPELJXRXVO\´
6HH'DYLVY8QLWHG6WDWHV86 7LQD¶V
ODZ\HUGRHVQRWGHQ\WKDWDQLQYRFDWLRQRIWKHULJKWWRVLOHQFH
LILWLVWREHHIIHFWLYHPXVWEHXQDPELJXRXVDVZHOO$VIDU
DVZHFDQVHHKRZHYHUWKHUHZDVQRWKLQJDPELJXRXVDERXW
7LQD¶VUHSHDWHGLQVLVWHQFHVKHGLGQRWZDQWWRWDONDERXWWKH
UDSH:KHQ7LQDNHSWVD\LQJZLWKRXWTXDOLILFDWLRQWKDWVKH
MXVW GLG QRW ZDQW WR WDON DERXW WKH VXEMHFW ± PDNLQJ WKHVH
GHFODUDWLRQVDIWHUVKHKDGEHHQIRUPDOO\DGYLVHGRIKHUULJKW
RIVLOHQFH ± LWZRXOGVLPSO\QRWEHUHDVRQDEOHWRWDNHKHU
ZRUGV DW OHVV WKDQ IDFH YDOXH $QG LI KHU UHDVRQ IRU QRW
ZDQWLQJWRWDONDERXWWKHUDSHZDVDIHDUWKDWVKHZRXOGEH
VKRWDQGNLOOHGLIVKHGLGWKHH[LVWHQFHRIVXFKDIHDUZRXOG
QRWPDNHLWDQ\OHVVFOHDUWKDWVKHPHDQWZKDWVKHZDVVD\LQJ
,IDQ\WKLQJLWZRXOGPDNHLWHYHQPRUHFOHDUWKDWVKHUHDOO\
GLG QRW ZDQW WR WDON DERXW WKH UDSH :H DUH DZDUH RI QR
VXSSRUWHLWKHULQORJLFRULQODZIRUWKHSURSRVLWLRQWKDWDQ
RWKHUZLVHXQDPELJXRXVH[SUHVVLRQRIDGHVLUHWRUHPDLQVLOHQW
FDQVRPHKRZEHFRPHDPELJXRXVLISURPSWHGE\DIHDURI
UHWDOLDWLRQ
7KHVWDWHDUJXHVWKDWZKHQ'HWHFWLYH5HLQNHUHMHFWHG7LQD¶V
UHTXHVWV WR UHPDLQ VLOHQW RQ WKH VXEMHFW RI WKH UDSH WKH
GHWHFWLYH ZDV PHUHO\ GHFOLQLQJ WR OHW 7LQD WDNH VROH
UHVSRQVLELOLW\IRUWKHFULPH%XW7LQD¶VVXJJHVWLRQWKDW³,¶OO
MXVWJRDKHDGDQGWDNH>DOO@WKHEODPH´FDPHDIWHUWKHSRLQWDW

-- 6 of 8 --

0F*UDZY+ROODQG 1R
,W ZLOO EH UHFDOOHG WKDW 7LQD DVNHG WKH GHWHFWLYH QHDU WKH RXWVHW
ZKHWKHU WKH LQWHUYLHZ FRXOG EH SRVWSRQHG 7KH VLJQLILFDQFH RI WKLV
TXHVWLRQ QHHG QRW FRQFHUQ XV KHUH JLYHQ RXU FRQFOXVLRQ WKDW 7LQD
HIIHFWLYHO\ LQYRNHG KHU ULJKW WR VLOHQFH RQ WKH VXEMHFW RI WKH UDSH E\
VD\LQJ WKDW VKH GLG QRW ZDQW WR WDON DERXW LW
,IWKHUHZDVHYHUDQ\GRXEWWKDW0LUDQGDJLYHVDVXVSHFWWKH
ULJKWWRFRQWUROWKHVXEMHFWVGLVFXVVHGDWDSROLFHLQWHUYLHZDV
ZHOO DV WKH ULJKW WR GHWHUPLQH ZKHWKHU WKH LQWHUYLHZ ZLOO
SURFHHG DW DOO WKDW GRXEW ZDV UHPRYHG DV ZH VHH LW E\
0LFKLJDQY0RVOH\³7KURXJKWKHH[HUFLVHRIKLVRSWLRQWR
WHUPLQDWHTXHVWLRQLQJ´WKH6XSUHPH&RXUWGHFODUHGLQWKDW
FDVHWKHVXVSHFW³FDQFRQWUROWKHWLPHDWZKLFKTXHVWLRQLQJ
RFFXUV WKH VXEMHFWV GLVFXVVHG DQG WKH GXUDWLRQ RI WKH
LQWHUURJDWLRQ´ 0RVOH\ 86 DW HPSKDVLV
VXSSOLHG
,WLVWUXHWKDW7LQDGLGQRWVD\WRWKHGHWHFWLYHLQVRPDQ\
ZRUGV ³, ZDQW WR H[HUFLVH P\ RSWLRQ WR WHUPLQDWH WKLV
LQWHUYLHZDOWRJHWKHULI,ZLOORWKHUZLVHKDYHWRWDONDERXWWKH
UDSH´ %XW WKH 6XSUHPH &RXUW KDV ORQJ KHOG WKDW ³QR
ULWXDOLVWLFIRUPXODRUWDOLVPDQLFSKUDVHLVHVVHQWLDOLQRUGHUWR
LQYRNHWKHSULYLOHJHDJDLQVWVHOILQFULPLQDWLRQ´6HH(PVSDN
Y8QLWHG6WDWHV86 $Q\UHDVRQDEOH
SROLFHRIILFHUNQRZLQJWKDWH[HUFLVHRIWKHULJKWWRVLOHQFH
PXVWEH³VFUXSXORXVO\KRQRUHG´ZRXOGKDYHXQGHUVWRRGWKDW
ZKHQ7LQDUHSHDWHGO\VDLGVKHGLGQRWZDQWWRWDONDERXWWKH
UDSHVKHVKRXOGQRWKDYHEHHQWROGWKDWVKHKDGWRWDONDERXW
LW)RUWKHVWDWHWULDOFRXUWWRKROGRWKHUZLVHZHEHOLHYHZDV
REMHFWLYHO\XQUHDVRQDEOH
8QOLNHWKHVWDWHWULDOFRXUWWKH0LFKLJDQ&RXUWRI$SSHDOV
FRQILQHGLWVHOIWRWKHLVVXHRIZKHWKHUWKHFRQIHVVLRQKDGEHHQ
JLYHQYROXQWDULO\7KHDSSHOODWHFRXUWVLPSO\GLGQRWDGGUHVV
WKH TXHVWLRQ ZKHWKHU WKH FRQIHVVLRQ ZDV LQDGPLVVLEOH E\
UHDVRQRILWVKDYLQJEHHQJLYHQDIWHU7LQDLQYRNHGKHUULJKWRI
VLOHQFH ZLWK UHVSHFW WR WKH UDSH 7KDW EHLQJ VR DQG WKH
0LFKLJDQ6XSUHPH&RXUWQRWKDYLQJVSRNHQWRWKHTXHVWLRQ
HLWKHU WKH UDWLRQDOH JLYHQ E\ WKH WULDO FRXUW UHSUHVHQWV WKH
VWDWH¶V ILQDO ZRUG RQ WKH VXEMHFW ,I XQGHU WKHVH
1R 0F*UDZY+ROODQG
,QGLVPLVVLQJ7LQD¶VKDEHDVFDVHWKHGLVWULFWFRXUWLVVXHG
DFHUWLILFDWHRIDSSHDODELOLW\SXUVXDQWWR86&† F
7KH FHUWLILFDWH ZDV OLPLWHG WR WKH DGPLVVLELOLW\ RI WKH
FRQIHVVLRQLQOLJKWRIWKHFODLP³WKDWSHWLWLRQHU¶VVWDWHPHQW
ZDVH[WUDFWHGLQGLVUHJDUGRIFRQWLQXHGUHTXHVWVWRVWRS
WKH LQWHUYLHZ DQG FRHUFHG E\ SURPLVHV RI OHQLHQF\´ 2XU
SDQHOKDVMXULVGLFWLRQWRGHFLGHERWKEUDQFKHVRIWKLVFODLPD
WLPHO\ QRWLFH RI DSSHDO KDYLQJ EHHQ ILOHG EXW ZH ILQG LW
XQQHFHVVDU\WRUHDFKWKHFRQWHQWLRQWKDWWKHFRQIHVVLRQZDV
³FRHUFHGE\SURPLVHVRIOHQLHQF\´
,,
7KH$QWLWHUURULVPDQG(IIHFWLYH'HDWK3HQDOW\$FWRI
SURYLGHVDPRQJRWKHUWKLQJVDVIROORZV
³$QDSSOLFDWLRQIRUDZULWRIKDEHDVFRUSXVRQEHKDOIRI
DSHUVRQLQFXVWRG\SXUVXDQWWRWKHMXGJPHQWRID6WDWH
FRXUWVKDOOQRWEHJUDQWHGZLWKUHVSHFWWRDQ\FODLPWKDW
ZDVDGMXGLFDWHGRQWKHPHULWVLQ6WDWHFRXUWSURFHHGLQJV
XQOHVVWKHDGMXGLFDWLRQRIWKHFODLP±
UHVXOWHG LQ D GHFLVLRQ WKDW ZDV FRQWUDU\ WR RU
LQYROYHG DQ XQUHDVRQDEOH DSSOLFDWLRQ RI FOHDUO\
HVWDEOLVKHG )HGHUDO ODZ DV GHWHUPLQHG E\ WKH
6XSUHPH&RXUWRIWKH8QLWHG6WDWHVRU
UHVXOWHG LQ D GHFLVLRQ WKDW ZDV EDVHG RQ DQ
XQUHDVRQDEOHGHWHUPLQDWLRQRIWKHIDFWVLQOLJKWRI
WKH HYLGHQFH SUHVHQWHG LQ WKH 6WDWH FRXUW
SURFHHGLQJ´86&† G
7LQD0F*UDZFODLPVWKDWKHUFRQIHVVLRQZDVLQDGPLVVLEOH
XQGHU 0LUDQGD Y $UL]RQD 86 DQG LWV
SURJHQ\7KLVFODLPZDVDGMXGLFDWHGRQWKHPHULWVLQWKHVWDWH
FRXUWSURFHHGLQJV8QOHVVRQHRIWKHVWDWXWRU\FRQGLWLRQVZDV
PHWWKHUHIRUHWKHGLVWULFWFRXUWDFWHGFRUUHFWO\LQGHQ\LQJWKH
DSSOLFDWLRQIRUDZULWRIKDEHDVFRUSXV
7LQDGRHVQRWFRQWHQGWKDWWKHVWDWHFRXUW¶VGHFLVLRQZDV
EDVHG RQ DQ XQUHDVRQDEOH GHWHUPLQDWLRQ RI WKH IDFWV 6KH

-- 7 of 8 --

0F*UDZY+ROODQG 1R
GRHV FRQWHQG KRZHYHU WKDW WKH GHFLVLRQ WR DGPLW WKH
FRQIHVVLRQFDPHZLWKLQ86&† G DV³DGHFLVLRQ
WKDWZDVFRQWUDU\WRRULQYROYHGDQXQUHDVRQDEOHDSSOLFDWLRQ
RI FOHDUO\ HVWDEOLVKHG )HGHUDO /DZ DV GHWHUPLQHG E\ WKH
6XSUHPH&RXUWRIWKH8QLWHG6WDWHV´
:H DUH SHUVXDGHG WKDW WKH VWDWH FRXUW DSSOLHG FOHDUO\
HVWDEOLVKHGHOHPHQWVRIWKH0LUDQGDUXOHWRWKHIDFWVRI7LQD¶V
FDVH³XQUHDVRQDEO\´,IZHDUHFRUUHFWLQWKLVZHDUHIUHHWR
FRQFOXGHDVZHGRWKDWWKHVWDWHFRXUWGHFLVLRQIDOOVZLWKLQ
86& † G DQG WKDW WKH JHQHUDO SURKLELWLRQ
DJDLQVW JUDQWLQJ KDEHDV UHOLHI ZLWK UHVSHFW WR FODLPV
DGMXGLFDWHGRQWKHPHULWVE\DVWDWHFRXUWKDVQRDSSOLFDWLRQ
KHUH 6HH :LOOLDPV Y 7D\ORU 86
KROGLQJ WKDW ³ZKHQ D VWDWHFRXUW GHFLVLRQ XQUHDVRQDEO\
DSSOLHVWKHODZRIWKLV&RXUWWRWKHIDFWVRIDSULVRQHU¶VFDVH
DIHGHUDOFRXUWDSSO\LQJ† G PD\FRQFOXGHWKDWWKH
VWDWHFRXUWGHFLVLRQIDOOVZLWKLQWKDWSURYLVLRQ¶VμXQUHDVRQDEOH
DSSOLFDWLRQ¶FODXVH´ 6HHDOVR)ORULGDY7KRPDV6&W
DQG'RDQY%ULJDQR)G WK
&LU
,Q WKH 0LUDQGD GHFLVLRQ LWVHOI WKH 6XSUHPH &RXUW
H[SODLQHGLWVKROGLQJLQWKHIROORZLQJWHUPV³WKHSURVHFXWLRQ
PD\ QRW XVH VWDWHPHQWV VWHPPLQJ IURP FXVWRGLDO
LQWHUURJDWLRQRIWKHGHIHQGDQWXQOHVVLWGHPRQVWUDWHVWKHXVH
RI SURFHGXUDO VDIHJXDUGV HIIHFWLYH WR VHFXUH WKH SULYLOHJH
DJDLQVW VHOILQFULPLQDWLRQ´ 0LUDQGD 86 DW
$PRQJ WKH SURFHGXUDO VDIHJXDUGV WKDW WKH 0LUDQGD &RXUW
ZHQWRQWRHQXPHUDWHZDVWKHIROORZLQJ
³>,@IWKHLQGLYLGXDOLVDORQH>LHZLWKRXWDQDWWRUQH\@DQG
LQGLFDWHV LQ DQ\ PDQQHU WKDW KH GRHV QRW ZLVK WR EH
LQWHUURJDWHGWKHSROLFHPD\QRWTXHVWLRQKLP7KHPHUH
IDFW WKDW KH PD\ KDYH DQVZHUHG VRPH TXHVWLRQV RU
YROXQWHHUHGVRPHVWDWHPHQWVRQKLVRZQGRHVQRWGHSULYH
KLPRIWKHULJKWWRUHIUDLQIURPDQVZHULQJDQ\IXUWKHU
LQTXLULHV XQWLO KH KDV FRQVXOWHG ZLWK DQ DWWRUQH\ DQG
WKHUHDIWHU FRQVHQWV WR EH TXHVWLRQHG´ ,G DW
HPSKDVLVVXSSOLHG
1R 0F*UDZY+ROODQG
7KH 0LUDQGD&RXUWPDGHLWFU\VWDOFOHDUWKDWJLYLQJWKH
SUHVFULEHGZDUQLQJVEHIRUHWKHFRPPHQFHPHQWRITXHVWLRQLQJ
GRHVQRWSUHFOXGHLQYRFDWLRQRIWKHULJKWWR VLOHQFHGXULQJ
TXHVWLRQLQJ
³2QFH ZDUQLQJV KDYH EHHQ JLYHQ WKH VXEVHTXHQW
SURFHGXUH LV FOHDU ,I WKH LQGLYLGXDO LQGLFDWHV LQ DQ\
PDQQHUDWDQ\WLPHSULRUWRRUGXULQJTXHVWLRQLQJWKDW
KHZLVKHVWRUHPDLQVLOHQWWKHLQWHUURJDWLRQPXVWFHDVH´
,GDW HPSKDVLVVXSSOLHG
$VWKH6XSUHPH&RXUWVXEVHTXHQWO\H[SODLQHGLQ0LFKLJDQY
0RVOH\86 ³>D@UHDVRQDEOHDQGIDLWKIXO
LQWHUSUHWDWLRQ RI WKH 0LUDQGD RSLQLRQ PXVW UHVW RQ WKH
LQWHQWLRQRIWKH&RXUWLQWKDWFDVHWRDGRSWμIXOO\HIIHFWLYH
PHDQVWRQRWLI\WKHSHUVRQRIKLVULJKWWRVLOHQFHDQGWR
DVVXUH WKDW WKH H[HUFLVH RI WKH ULJKW ZLOO EH VFUXSXORXVO\
KRQRUHG ¶´ 4XRWLQJ 0LUDQGD 86 DW
(PSKDVLVVXSSOLHG
7KH6XSUHPH&RXUWKDVUHFHQWO\GHFOLQHGWRRYHUUXOHWKH
0LUDQGDGHFLVLRQ6HH'LFNHUVRQY8QLWHG6WDWHV86
&KDUDFWHUL]LQJ0LUDQGDDVD³FRQVWLWXWLRQDO
GHFLVLRQ´ PRUHRYHU WKH &RXUW KHOG LQ 'LFNHUVRQ WKDW
0LUDQGD DQG LWV 6XSUHPH &RXUW SURJHQ\ ³JRYHUQ WKH
DGPLVVLELOLW\ RI VWDWHPHQWV PDGH GXULQJ FXVWRGLDO
LQWHUURJDWLRQLQERWKVWDWHDQGIHGHUDOFRXUWV´,G HPSKDVLV
VXSSOLHG
,QWKHFULPLQDOSURFHHGLQJDJDLQVW7LQD0F*UDZWKHVWDWH
WULDOFRXUWGHFOLQHGWRKROGWKHFRQIHVVLRQLQDGPLVVLEOHXQGHU
0LUDQGD VLQFH 7LQD ³QHYHU GHPDQGHG RU UHTXHVWHG WR
WHUPLQDWHWKHLQWHUYLHZ´$OWKRXJK7LQDVDLGWKDWVKHGLGQRW
ZDQW WR WDON DERXW WKH UDSH LWVHOI LQ RWKHU ZRUGV KHU
FRQIHVVLRQ WKDW VKH DVVLVWHG LQ WKH UDSH ZDV KHOG WR EH
DGPLVVLEOHXQGHU0LUDQGDEHFDXVHVKHQHYHUVDLGWKDWVKHGLG
QRWZDQWWRWDONDERXWVXEMHFWVRWKHUWKDQWKHUDSH7KLVLQ
RXUYLHZZDVDQXQUHDVRQDEOHDSSOLFDWLRQRI0LUDQGDDQGLWV
SURJHQ\

-- 8 of 8 --