02a0104p.06

00-1667Court of Appeals for the Sixth CircuitApr 2, 2002

Full text


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
(48$/ (03/2<0(17
23325781,7< &200,66,21
3ODLQWLII$SSHOOHH
Y
&,5&8,7 &,7< 6725(6 ,1&
'HIHQGDQW$SSHOODQW
&,5&8,7 &,7< 6725(6 ,1&
3HWLWLRQHU$SSHOODQW
Y
-8/,( 6+(/721
5HVSRQGHQW$SSHOOHH
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH:HVWHUQ'LVWULFWRI0LFKLJDQDW*UDQG5DSLGV
1RV²:HQGHOO$0LOHV
'LVWULFW-XGJH
$UJXHG-DQXDU\

-- 1 of 4 --

((2&Y&LUFXLW&LW\6WRUHVHWDO 1R
7KLV GHFLVLRQ ZDV RULJLQDOO\ LVVXHG DV DQ ³XQSXEOLVKHG GHFLVLRQ´
ILOHG RQ )HEUXDU\ 2Q 0DUFK WKH FRXUW GHVLJQDWHG WKH
RSLQLRQ DV RQH UHFRPPHQGHG IRU IXOOWH[W SXEOLFDWLRQ
'HFLGHGDQG)LOHG)HEUXDU\
%HIRUH-21(6'$8*+75(<DQG&2/(&LUFXLW
-XGJHV
BBBBBBBBBBBBBBBBB
&2816(/
$5*8('5H['DUUHOO%HUU\'$9,6*5,003$<1(
0$55$ %(55< 6HDWWOH :DVKLQJWRQ IRU $SSHOODQW
%DUEDUD / 6 ORDQ (48$/ (03/2<0(17
23325781,7<&200,66,21:DVKLQJWRQ'&-RKQ5
5XQ\DQ 6$&+6 :$/'0$1 'HWURLW 0LFKLJDQ IRU
$SSHOOHHV21%5,()'DYLG(1DJOH/H&/$,55<$1
5LFKPRQG 9LUJLQLD 3DPHOD * 3DUVRQV &,5&8,7 &,7<
6725(6,1&5LFKPRQG9LUJLQLDIRU$SSHOODQW%DUEDUD
/ 6ORDQ (48$/ (03/2<0(17 23325781,7<
&200,66,21 :DVKLQJWRQ '& -RKQ 5 5XQ\DQ
0DUVKDOO-:LGLFN6$&+6:$/'0$1'HWURLW0LFKLJDQ
'DQLHO & %UXEDNHU 0,.$ 0(<(56 %(&.(77
-21(6*UDQG5DSLGV0LFKLJDQIRU$SSHOOHHV
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
0$57+$&5$,*'$8*+75(<&LUFXLW-XGJH,QWKLV
FRQVROLGDWHGDFWLRQ&LUFXLW&LW\6WRUHV,QFDSSHDOVIURP
UXOLQJVRIWKHGLVWULFWFRXUWWKDWGHQLHG&LUFXLW&LW\¶VPRWLRQV
WRVWD\WKHSURFHHGLQJVLQWKHFDVHRI((2&Y&LUFXLW&LW\
6WRUHV,QFDQGWRFRPSHODUELWUDWLRQLQWKHFDVHRI&LUFXLW
&LW\6WRUHV,QFY6KHOWRQ,QYLHZRIWKHUHFHQW6XSUHPH
&RXUWRSLQLRQLQ(TXDO(PSOR\PHQW2SSRUWXQLW\&RPPLVVLRQ
Y:DIIOH+RXVH,QFBBB86BBB6&W

-- 2 of 4 --

1R ((2&Y&LUFXLW&LW\6WRUHVHWDO
&LUFXLW&LW\FRQFHGHGDWRUDODUJXPHQWWKDWWKHDSSHDOLQWKH
VXLWEURXJKWE\WKH((2&LVPRRW%XW&LUFXLW&LW\PDLQWDLQV
WKDW GHVSLWH WKH UXOLQJ LQ :DIIOH +RXVH WKH GLVWULFW FRXUW
VKRXOG KDYH FRPSHOOHG LWV HPSOR\HH -XOLH 6KHOWRQ WR
DUELWUDWHWKHYHU\³FODLP´WKDWZDVWKHVXEMHFWRIWKH((2&
OLWLJDWLRQ:HGLVDJUHHDQGZHWKHUHIRUHDIILUPWKHMXGJPHQW
RIWKHGLVWULFWFRXUW
:KHQ-XOLH6KHOWRQDSSOLHGIRUDSDUWWLPHSRVLWLRQDVD
FXVWRPHU VHUYLFH UHSUHVHQWDWLYH DW &LUFXLW &LW\ VKH ZDV
UHTXLUHG WR VLJQ D IRUP LQGLFDWLQJ KHU DSSURYDO DQG
DFFHSWDQFH RI WKH ³&LUFXLW &LW\ 'LVSXWH 5HVROXWLRQ
$JUHHPHQW´ DV D SUHFRQGLWLRQ WR KDYLQJ KHU DSSOLFDWLRQ
FRQVLGHUHG E\ WKH FRPSDQ\ 7KDW DJUHHPHQW ZKLFK ZDV
UHSURGXFHGRQWKHDSSOLFDWLRQIRUPLWVHOISURYLGHGLQUHOHYDQW
SDUW
([FHSWDVVHWIRUWKEHORZ,DJUHHWKDW,ZLOOVHWWOHDQ\
DQG DOO SUHYLRXVO\ XQDVVHUWHG FODLPV GLVSXWHV RU
FRQWURYHUVLHVDULVLQJRXWRIRUUHODWLQJWRP\DSSOLFDWLRQ
RU FDQGLGDF\ IRU HPSOR\PHQW HPSOR\PHQW DQGRU
FHVVDWLRQRIHPSOR\PHQWZLWK&LUFXLW&LW\H[FOXVLYHO\
E\ ILQDO DQG ELQGLQJ DUELWUDWLRQ EHIRUH D QHXWUDO
$UELWUDWRU%\ZD\RIH[DPSOHRQO\VXFKFODLPVLQFOXGH
FODLPVXQGHUIHGHUDOVWDWHDQGORFDOVWDWXWRU\RUFRPPRQ
ODZVXFKDVWKH$JH'LVFULPLQDWLRQLQ(PSOR\PHQW$FW
7LWOH9,,RIWKH&LYLO5LJKWV$FWRIDVDPHQGHG
LQFOXGLQJ WKH DPHQGPHQWV RI WKH &LYLO 5LJKWV $FW RI
WKH$PHULFDQVZLWK'LVDELOLWLHV$FW7KH)DPLO\
0HGLFDO/HDYH$FWWKHODZRIFRQWUDFWDQGODZRIWRUW
,XQGHUVWDQGWKDWLI,GRILOHDODZVXLWUHJDUGLQJDGLVSXWH
DULVLQJRXWRIRUUHODWLQJWRP\DSSOLFDWLRQRUFDQGLGDF\
IRU HPSOR\PHQW HPSOR\PHQW RU FHVVDWLRQ RI
HPSOR\PHQW &LUFXLW &LW\ PD\ XVH WKLV $JUHHPHQW LQ
VXSSRUWRILWVUHTXHVWWRWKHFRXUWWRGLVPLVVWKHODZVXLW
DQGUHTXLUHPHLQVWHDGWRXVHDUELWUDWLRQ
,XQGHUVWDQGWKDW,VWLOOPD\H[HUFLVHP\ULJKWVXQGHUWKH
1DWLRQDO/DERU5HODWLRQV$FWDQGILOHFKDUJHVZLWKWKH
1DWLRQDO /DERU 5HODWLRQV %RDUG , IXUWKHU XQGHUVWDQG

-- 3 of 4 --

((2&Y&LUFXLW&LW\6WRUHVHWDO 1R
WKDW,VWLOOPD\ILOHDGPLQLVWUDWLYHFKDUJHVZLWKWKH(TXDO
(PSOR\PHQW2SSRUWXQLW\&RPPLVVLRQRUVLPLODUIHGHUDO
VWDWHRUORFDODJHQF\EXWWKDWXSRQUHFHLSWRIDULJKWWR
VXHOHWWHURUVLPLODUDGPLQLVWUDWLYHGHWHUPLQDWLRQ,VKDOO
DUELWUDWHDQ\FODLPWKDW,PD\KDYHDJDLQVW&LUFXLW&LW\
6KHOWRQZDVKLUHGLQ)HEUXDU\DQGZRUNHGDWRQHRI
WKHFRPSDQ\¶V0LFKLJDQVWRUHVXQWLO-DQXDU\ZKHQVKH
FODLPHGWRKDYHEHHQFRQVWUXFWLYHO\GLVFKDUJHGDVDUHVXOWRI
VH[XDOKDUDVVPHQWIURPDPDOHVXSHUYLVRUDQGWKHFRPSDQ\¶V
IDLOXUHWRWDNHDSSURSULDWHUHPHGLDODFWLRQ6KHWKHQILOHGD
FRPSODLQW ZLWK WKH (TXDO (PSOR\PHQW 2SSRUWXQLW\
&RPPLVVLRQ ((2& DQGWKDWDJHQF\VXEVHTXHQWO\ILOHGVXLW
DJDLQVW &LUFXLW &LW\ LQ IHGHUDO GLVWULFW FRXUW VHHNLQJ
LQMXQFWLYH UHOLHI EDFNSD\ FRPSHQVDWRU\ GDPDJHV DQG
SXQLWLYHGDPDJHV,QUHVSRQVH&LUFXLW&LW\ILOHGDVHSDUDWH
VXLW DJDLQVW 6KHOWRQ VHHNLQJ WR FRPSHO DUELWUDWLRQ RI KHU
VH[XDOKDUDVVPHQWFODLPDJDLQVWWKHFRPSDQ\8SRQPRWLRQ
E\WKH((2&WKHWZRDFWLRQVZHUHFRQVROLGDWHG
%HIRUHWKHGLVWULFWFRXUW&LUFXLW&LW\DUJXHGWKDW6KHOWRQ¶V
VLJQDWXUHRQWKHDSSOLFDWLRQIRUPERXQGKHUWRVHHNUHOLHIIRU
DQ\DOOHJHGHPSOR\PHQWLQMXU\RQO\LQDQDUELWUDOIRUXP7KH
((2& DQG 6KHOWRQ FRXQWHUHG E\ FRQWHQGLQJ WKDW 6KHOWRQ
DORQH ZDV D SDUW\ WR WKH DJUHHPHQW DQG WKDW VKH DJUHHG WR
IRUHJRMXGLFLDOSURFHHGLQJVRQO\LQVLWXDWLRQVLQZKLFKVKH
LQLWLDWHGDVXLWRULQZKLFKDQRWLFHRIULJKWWRVXHOHWWHUZDV
LVVXHGE\DJRYHUQPHQWDODJHQF\%HFDXVHWKH((2&DQRQ
SDUW\WRWKHDUELWUDWLRQDJUHHPHQWKDGILOHGWKHVXLWDJDLQVW
&LUFXLW &LW\ WKH &RPPLVVLRQ DQG 6KHOWRQ PDLQWDLQHG WKDW
VXFKDSURFHHGLQJZDVSHUPLVVLEOH7KHGLVWULFWMXGJHUHO\LQJ
XSRQFLUFXLWSUHFHGHQWHPERGLHGLQWKHGHFLVLRQVLQ((2&Y
)UDQN¶V1XUVHU\ &UDIWV,QF)G WK&LU
DQG((2&Y1RUWKZHVW$LUOLQHV)G WK&LU
DJUHHGZLWKWKH((2&DQG6KHOWRQGLVPLVVHG&LUFXLW
&LW\¶V DFWLRQ DJDLQVW LWV IRUPHU HPSOR\HH GHQLHG &LUFXLW
&LW\¶VUHTXHVWIRUDVWD\LQWKH((2&LQLWLDWHGDFWLRQDQG
RUGHUHGWKHFRPSDQ\WRUHVSRQGWRWKDWFRXUWILOLQJ
1R ((2&Y&LUFXLW&LW\6WRUHVHWDO
,WLVQRZFOHDURIFRXUVHWKDWRXUUXOLQJVLQWKH)UDQN¶V
1XUVHU\DQG1RUWKZHVW$LUOLQHVFDVHVZHUHFRUUHFWJLYHQWKH
KROGLQJLQ:DIIOH+RXVHWKDWDQDJUHHPHQWEHWZHHQHPSOR\HU
DQGHPSOR\HHWRDUELWUDWHHPSOR\PHQWUHODWHGGLVSXWHVGRHV
QRW EDU WKH ((2& IURP ³SXUVXLQJ YLFWLPVSHFLILF MXGLFLDO
UHOLHI VXFK DV EDFNSD\ UHLQVWDWHPHQW DQG GDPDJHV LQ DQ
HQIRUFHPHQWDFWLRQ´EURXJKWXQGHU7LWOH9,,:DIIOH+RXVH
6&W DW 7KH HPSOR\HU LQ WKLV FDVH QHYHUWKHOHVV
LQVLVWVWKDWQRWKLQJLQWKH:DIIOH+RXVHGHFLVLRQUHOLHYHV-XOLH
6KHOWRQ IURP KHU FRQWUDFWXDO REOLJDWLRQ WR DUELWUDWH WKH
GLVSXWHWKDWOHGWRWKH((2&DFWLRQHYHQWKRXJKWKHUHVXOWV
LQWKHWZRSDUDOOHOPDWWHUVPLJKWHQGXSLQFRQIOLFW
:HILQGWKLVDUJXPHQWWREHXQSHUVXDVLYH$WWKLVWLPH
QRWKLQJLQWKHFRPSODLQWDOHUWVWKHGLVWULFWFRXUWWKDW&LUFXLW
&LW\HYHQKDVDFDVHRUFRQWURYHUV\DJDLQVW6KHOWRQ6KHOWRQ
GLGQRWUHFHLYHDULJKWWRVXHOHWWHUIURPWKH((2&RUILOHVXLW
DJDLQVW &LUFXLW &LW\ WKH RQO\ SRVVLEOH ZD\V LQ ZKLFK VKH
FRXOG EH VDLG WR KDYH EUHDFKHG KHU RULJLQDO DJUHHPHQW WR
DUELWUDWH ,Q IDFW 6KHOWRQ KDV JRQH VR IDU DV WR ILOH DQ
DIILGDYLW VWDWLQJ WKDW VKH ³GR>HV@ QRW LQWHQG WR DVVHUW DQ\
FODLP´³ILOHDQ\ODZVXLW´RU³LQWHUYHQHLQWKHODZVXLWZKLFK
KDV EHHQ ILOHG DJDLQVW &LUFXLW &LW\´ :LWK QHLWKHU D
FRQVWLWXWLRQDOQRUDSUXGHQWLDOEDVLVIRUDVVHUWLQJIHGHUDOFRXUW
MXULVGLFWLRQRYHU&LUFXLW&LW\¶VFRPSODLQWDQGLQYLHZRID
FRPSODLQWWKDWODFNVDQ\WKHRU\XSRQZKLFKUHFRYHU\FRXOGEH
EDVHGWKHGLVWULFWFRXUWGLGQRWHUULQGHQ\LQJ&LUFXLW&LW\¶V
PRWLRQWRFRPSHODUELWUDWLRQDQGJUDQWLQJ6KHOWRQ¶VPRWLRQ
IRUMXGJPHQWRQWKHSOHDGLQJVSXUVXDQWWR)HG5&LY3
F
)RUWKHUHDVRQVVHWRXWDERYHZH$)),50WKHMXGJPHQWRI
WKHGLVWULFWFRXUW

-- 4 of 4 --

Continue your research in ChatGPT or Claude

Connect Omnilex to search the legal corpus from your AI assistant.