02a0111p.06

00-2504Court of Appeals for the Sixth CircuitApr 4, 2002

Full text

7KH +RQRUDEOH 5REHUW + &OHODQG 8QLWHG 6WDWHV 'LVWULFW -XGJH IRU
WKH (DVWHUQ 'LVWULFW RI 0LFKLJDQ 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
$11(77( 6$1)25'
3HWLWLRQHU$SSHOOHH
Y
-2$1 <8.,16:DUGHQ
5HVSRQGHQW$SSHOODQW
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH:HVWHUQ'LVWULFWRI0LFKLJDQDW*UDQG5DSLGV
1R²5LFKDUG$(QVOHQ'LVWULFW-XGJH
$UJXHG-XQH
'HFLGHGDQG)LOHG$SULO
%HIRUH%2**6DQG68+5+(,15,&+&LUFXLW-XGJHV
&/(/$1''LVWULFW-XGJH
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' /DXUD *UDYHV 0RRG\ 2)),&( 2) 7+(
$77251(<*(1(5$/+$%($6&25386',9,6,21
/DQVLQJ 0LFKLJDQ IRU $SSHOODQW 3DXO / 1HOVRQ

-- 1 of 8 --

6DQIRUGY<XNLQV 1R
)('(5$/38%/,&'()(1'(562)),&(*UDQG5DSLGV
0LFKLJDQIRU$SSHOOHH21%5,()/DXUD*UDYHV0RRG\
2)),&( 2) 7+( $77251(< *(1(5$/ +$%($6
&25386',9,6,21/DQVLQJ0LFKLJDQIRU$SSHOODQW3DXO
/ 1HOVRQ )('(5$/ 38%/,& '()(1'(56 2)),&(
*UDQG5DSLGV0LFKLJDQIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
&/(/$1' 'LVWULFW -XGJH ,Q 3HWLWLRQHU $QQHWWH
6DQIRUGDQGDZRPDQQDPHG&DURO\Q:LOVRQKDGEHHQOLYLQJ
WRJHWKHUIRUVHYHUDO\HDUVVKDULQJDEHGURRPZKLOHMRLQWO\
FDULQJIRUDQXPEHURI\RXQJFKLOGUHQHDFKKDGHDUOLHUERUQH
$PRQJ WKRVH FKLOGUHQ ZHUH 6DQIRUG¶V \HDUROG GDXJKWHU
/RULDQG:LOVRQ¶V\HDUROGVRQ0LFKDHO7KHVHWZRDV
ZHOODVWKHRWKHUFKLOGUHQOLYLQJLQWKHKRPHKDGEHHQEHDWHQ
DQGSV\FKRORJLFDOO\WHUURUL]HGIRUVRPHWLPHE\RQHRUWKH
RWKHURIWKHZRPHQ
,QWKHLQVWDQWFDVH0LFKDHODQG/RULZHUHIRUFHGWRHQJDJH
LQVH[XDOLQWHUFRXUVHLQ6DQIRUGDQG:LOVRQ¶VEHGURRPZKLOH
WKHLUPRWKHUVZDWFKHG7KHVHVTXDOLGHYHQWVXQIROGHGRYHU
WKH FRXUVH RI SHUKDSV WZHQW\ PLQXWHV GXULQJ ZKLFK WLPH
6DQIRUGOHIWDQGUHWXUQHGZLWKWHDIRUKHUFRPSDQLRQ$IWHU
WKLV DQG RWKHU GLVWXUELQJ LQFLGHQWV RI VH[XDO DEXVH RI WKH
FKLOGUHQ FDPH WR OLJKW ERWK 6DQIRUG DQG :LOVRQ ZHUH
FKDUJHGWULHGDQGFRQYLFWHGRQWZRFRXQWVRIILUVWGHJUHH
FULPLQDO VH[XDO FRQGXFW )ROORZLQJ XQVXFFHVVIXO GLUHFW
DSSHDOV6DQIRUGVRXJKWKDEHDVUHYLHZLQWKH8QLWHG6WDWHV
'LVWULFW&RXUWIRUWKH:HVWHUQ'LVWULFWRI0LFKLJDQSXUVXDQW
WR86&†8QDEOHWRORFDWHDQ\HYLGHQFHLQWKH
UHFRUG WKDW 6DQIRUG KDG ³DVVLVWHG´ RU ³HQFRXUDJHG´ WKH
SULQFLSDO RIIHQVH WKH GLVWULFW FRXUW GHWHUPLQHG WKDW UHOLHI
VKRXOGEHJUDQWHG:HGLVDJUHH DQG WKHDZDUGRIKDEHDV
UHOLHIZLOOEHUHYHUVHG

-- 2 of 8 --

6DQIRUGY<XNLQV 1R
VXIILFLHQWHYLGHQFHH[LVWHGWRVXSSRUW3HWLWLRQHU¶VFRQYLFWLRQ
ZDVQHLWKHU³FRQWUDU\WRFOHDUO\HVWDEOLVKHG6XSUHPH&RXUW
SUHFHGHQW´LHWKHVXIILFLHQF\VWDQGDUGVHWIRUWKLQ-DFNVRQ
Y9LUJLQLDQRUDQ³XQUHDVRQDEOHDSSOLFDWLRQ´RIWKDWODZ
86&† G ,QGHHGWKHHYLGHQFHVXSSRUWVDFRQFOXVLRQ
WKDW6DQIRUGZDVLQWHQWLRQDOO\DQGNQRZLQJO\SUHVHQWERWK
EHIRUHDQGGXULQJWKHDVVDXOWWKDWVKHOHIWDQGUHDSSHDUHGRQ
WKHVFHQHWKRXJKNQRZLQJZKDWZDVKDSSHQLQJDQGWKDWVKH
ZDVSK\VLFDOO\DQGHPRWLRQDOO\VXSSRUWLYHRI:LOVRQGXULQJ
:LOVRQ¶VGHSUDYHGPDQLSXODWLRQRIWKHFKLOGUHQSURYLGLQJ
VXVWHQDQFHDQGFRPSDQLRQVKLSGXULQJWKHHYHQWV:LOVRQZDV
RUFKHVWUDWLQJ
9&21&/86,21
)RUWKHVHUHDVRQVWKHGLVWULFWFRXUW¶VJUDQWRIKDEHDVUHOLHI
LV5(9(56('
1R 6DQIRUGY<XNLQV
,)$&78$/%$&.*5281'
2QH HYHQLQJ :LOVRQ FDOOHG 0LFKDHO DQG /RUL LQWR WKH
ZRPHQ¶VEHGURRPRQHDIWHUWKHRWKHU6KHGLUHFWHG/RULWR
GLVUREHDQGZKHQ/RULUHIXVHG:LOVRQRUGHUHG0LFKDHOWR
UHPRYH/RUL¶VFORWKHVDVZHOODVKLVRZQWRJHWRQWRSRIKHU
DQGWR³KXPS´KHU$IWHUKLVPRWKHUSXVKHGKLPRQWRSRI
WKH\RXQJHUFKLOGDQGWKUHDWHQHGWREHDWKLPLIKHGLGQRW
OLVWHQ0LFKDHOFRPSOLHGLQIHDU/RULLQLWLDOO\EHJDQFU\LQJ
DQGWULHGWRILJKW0LFKDHORIIEXWVWRSSHGZKHQ:LOVRQWROG
KHUWR³VKXWXS´%RWKFKLOGUHQWHVWLILHGWKDWHDFKRIWKHP
RIWHQKDGEHHQEHDWHQE\6DQIRUGDQG:LOVRQZLWKDOHDWKHU
EHOWDQGDSROHIURPDFDQRS\EHG
6DQIRUGZDVSUHVHQWLQWKHEHGURRPDWWKHEHJLQQLQJDQG
WKURXJKRXW PRVW RI WKH RUGHDO $FFRUGLQJ WR 0LFKDHO¶V
WHVWLPRQ\ VKH GLG QRWKLQJ WR VWRS WKH DFW EXW GLG QRW
HQFRXUDJHLWHLWKHU6DQIRUGDOVRGLGQRWDVVLVWKHUGDXJKWHU
GXULQJWKHWLPHWKDW/RULZDV\HOOLQJIRU0LFKDHOWRVWRSDQG
WU\LQJWRNLFNKLPDZD\7KXVZKHQDVNHG0LFKDHODJUHHG
WKDW 6DQIRUG GLG QRWKLQJ ³RWKHU WKDQ EH SUHVHQW´ /RUL¶V
WHVWLPRQ\HVVHQWLDOO\FRQILUPHGWKDW6DQIRUGZDVSUHVHQWLQ
WKHEHGURRPEXWWKDWVKHVDLGDQGGLGQRWKLQJWRHQFRXUDJHRU
VWRS WKH VH[XDO DFWLYLW\ /RUL UHFDOOHG KRZHYHU WKDW KHU
PRWKHUDWRQHSRLQWOHIWWKHURRPDQGUHWXUQHGZLWKVRPHWHD
IRU:LOVRQ
,,352&('85$/+,6725<
%HIRUHMXU\GHOLEHUDWLRQVFRPPHQFHG6DQIRUGPRYHGIRU
D GLUHFWHG YHUGLFW DUJXLQJ WKDW QR HYLGHQFH ZDV DGGXFHG
DJDLQVWKHURWKHUWKDQKHU³PHUHSUHVHQFH´LQWKHURRPZKLOH
WKH DFW LQ TXHVWLRQ WRRN SODFH 7KH WULDO FRXUW GHQLHG WKH
PRWLRQVWDWLQJ
+HUHZHKDYHDPRWKHUZKRKDVDGXW\DQG,VD\LW¶V
DOHJDOGXW\WRSURWHFWKHUFKLOGDQGVWDQGVLGO\E\LI,
DPWREHOLHYHWKHWHVWLPRQ\RIWKHFKLOGUHQ6KHKDG
DGXW\WRLQWHUIHUHVKHKDGDGXW\WRSURWHFWKHUFKLOGVKH
KDGDGXW\WRWDNHWKDWFKLOGRXWVLGHRIWKDWHQYLURQPHQW
DQG ZKLOH WKH &KDSPDQ FDVH VDLG QRUPDOO\ PHUH

-- 3 of 8 --

6DQIRUGY<XNLQV 1R
,Q 0DUFK DIWHU D VHSDUDWH WULDO 6DQIRUG ZDV FRQYLFWHG RI DQ
DGGLWLRQDO FRXQW RI ILUVWGHJUHH FULPLQDO VH[XDO FRQGXFW DQG RQH FRXQW RI
WKLUGGHJUHH FULPLQDO VH[XDO FRQGXFW 7KH HYLGHQFH VHW IRUWK LQ WKH 0DUFK
FDVH HVWDEOLVKHG WKDW 6DQIRUG :LOVRQ RU ERWK ZRXOG IURP WLPH WR WLPH
RSHQ WKHLU KRPH WR PDOH VWUDQJHUV WKDW WKH VWUDQJHUV ZRXOG FRQIHU ZLWK
WKH ZRPHQ SULYDWHO\ LQ D EDFN URRP DQG WKDW WKH PHQ ZRXOG WKHQ HPHUJH
WR VHOHFW RQH RI WKH FKLOGUHQ RI WKH KRXVHKROG IRU YDJLQDO RU DQDO VH[ ,W
DSSHDUV WKDW HYLGHQFH RI WKHVH FULPHV ZDV QRW LQWURGXFHG LQ WKH FDVH XQGHU
UHYLHZ KHUH
SUHVHQFHLVQ¶WVXIILFLHQWEXWZKHQ\RXKDYHDGXW\WRDFW
DQG \RX GRQ¶W GR VR WKHQ WKDW PD\ ZHOO EH EHFDXVH
DSSDUHQWO\\RXDUHWHOOLQJWKHRWKHUSHUVRQWKDWWKH\PD\
JRDKHDGLQWKHLUFULPLQDOGHHG
)XUWKHU LQ WKLV FDVH LQIHUHQWLDOO\ \RX FDQ FRQVWUXH
VXFKFRQGXFWE\DSHUVRQDVDQDFWLQGLFDWLQJDJUHHPHQW
WRWKHFKLOGWKDWLVLQYROYHGLQWKHDFWLYLW\WRFRQYH\WR
WKDWFKLOGWKDWWKHSDUHQWDSSURYHVRIWKHDFWLYLW\WKDWLV
EHLQJ IRUFHG XSRQ WKH FKLOG 6R , WKLQN \RX KDYH D
GLIIHUHQWVLWXDWLRQZKHQ\RXKDYHVWUDQJHUVDVRSSRVHGWR
DSDUHQWFKLOGRUKXVEDQGDQGZLIHDQGWKDWEHLQJVRLQ
UHVSHFWWRKHURZQFKLOG
>7@KH&RXUWIXUWKHUILQGVWKDWDLGRUHQFRXUDJHPHQW
WUDQVIHUVDQGLVDSSOLFDEOHWR0LFKDHOLQWKDWLIWKH
SDUHQWRI/RULKDGVRXJKWWRLQWHUIHUHWKDWWKHDFWFRXOG
QRW KDYH EHHQ DFFRPSOLVKHG DW OHDVW LW ZRXOG KDYH
FRQYH\HGWR0LFKDHOWKHREMHFWLRQRIWKHSDUHQWRI/RUL
DQGWKDWZDVQRWGRQH
7KXVDIWHUYLHZLQJWKHHYLGHQFHLQWKHOLJKWPRVWIDYRUDEOH
WRWKHSURVHFXWLRQWKHWULDOFRXUWGHQLHG6DQIRUG¶VPRWLRQIRU
DGLUHFWHGYHUGLFW)ROORZLQJGHOLEHUDWLRQVWKHMXU\FRQYLFWHG
6DQIRUG RQ ERWK FRXQWV RI ILUVWGHJUHH FULPLQDO VH[XDO
FRQGXFW6KHVXEVHTXHQWO\ZDVVHQWHQFHGWRFRQFXUUHQWWHUPV
RI\HDUVDQG\HDUV
6DQIRUG DSSHDOHG DOO KHU FRQYLFWLRQV WR WKH 0LFKLJDQ
&RXUWRI$SSHDOV,QDGGUHVVLQJKHUDUJXPHQWVWKHFRXUWVHW
1R 6DQIRUGY<XNLQV
7KH WHVWLPRQ\ RI RQH RI WKH FKLOGUHQ ZDV HTXLYRFDO RQ WKLV SRLQW
LQGLFDWLQJ WKDW 6DQIRUG PD\ KDYH EHHQ ZDONLQJ LQ DW DERXW WKH WLPH RI
DUULYDO RI WKH FKLOGUHQ 7KH MXU\ KRZHYHU FRXOG KDYH UHOLHG RQ WKH RWKHU
WHVWLPRQ\ LQGLFDWLQJ FRQWLQXHG SUHVHQFH
GHIHUHQFHZHFRQFOXGHWKDWWKHVWDWHFRXUWVGLGQRWHTXDWH
³VLOHQW SUHVHQFH´ ZLWK ³PHUH SUHVHQFH´ 5DWKHU WKHUH DUH
VWURQJLQGLFDWLRQVWKDWWKHVWDWHFRXUWFRQVLGHUHGLQWHQWLRQDO
SUHVHQFH DQG HPRWLRQDO VXSSRUW DV PRUH WKDQ ³PHUH
SUHVHQFH´ ,W LV WKH VWDWH¶V SUHURJDWLYH WR PDNH VXFK D
GHWHUPLQDWLRQ ZLWKRXW LQWUXVLRQ E\ WKH IHGHUDO FRXUWV
$FFRUGLQJO\ WKH RQO\ TXHVWLRQ WKDW VKRXOG KDYH EHHQ
FRQVLGHUHG E\ WKH GLVWULFW FRXUW ZDV ZKHWKHU DQ\ HYLGHQFH
VXSSRUWHGWKHFRQFOXVLRQWKDW6DQIRUG¶VSUHVHQFHGXULQJWKH
FULPHVDOOHJHGZDVDOWKRXJKVLOHQWVRPHWKLQJEH\RQG³PHUH
SUHVHQFH´ZDVLQGHHGDVVLVWDQFHDQGHQFRXUDJHPHQW
&6XIILFLHQF\
:H FRQFOXGH WKDW D MXU\ HDVLO\ FRXOG KDYH FRQFOXGHG
EH\RQGDUHDVRQDEOHGRXEWWKDW6DQIRUGGHVSLWHKHUVLOHQFH
UHQGHUHG DVVLVWDQFH DQG HQFRXUDJHPHQW WR FRGHIHQGDQW
:LOVRQ )LUVW WKH DVVDXOW WRRN SODFH LQ 6DQIRUG¶V RZQ
EHGURRPZKLFKVKHVKDUHGZLWK:LOVRQ6HFRQG6DQIRUG
ZDVDOUHDG\SUHVHQWLQWKHEHGURRPZKHQ:LOVRQFDOOHGWKH
FKLOGUHQLQWRWKHURRPWKXVVXSSRUWLQJDQLQIHUHQFHWKDWWKH
GHFLVLRQWRSHUSHWUDWHWKHDEXVHKDGEHHQMRLQWO\PDGH7KLUG
6DQIRUGDSSHDUVWRKDYHEHHQDZDNHDQGIXOO\DZDUHIURP
EHJLQQLQJWRHQGLPPHGLDWHO\SUHVHQWLQZKDWVHHPVWRKDYH
EHHQ D VPDOO URRP ZDWFKLQJ WKH HYHQWV XQIROG )RXUWK
GXULQJWKHDVVDXOW6DQIRUGOHIWWKHURRPDQGUHWXUQHGZLWK
VRPH WHD IRU :LOVRQ ZKR ZDV H[SOLFLWO\ RUFKHVWUDWLQJ WKH
UDSH )LQDOO\ WKH UHFRUG LQGLFDWHV WKDW ERWK 6DQIRUG DQG
:LOVRQEHDWWKHFKLOGUHQRQDUHJXODUEDVLVDQGWKDW6DQIRUG
WROG0LFKDHOQRWWRVD\DQ\WKLQJDERXWWKHWKLQJVWDNLQJSODFH
DWWKHKRXVH³$ILVKGRHVQ¶WJHWFDXJKWLIKHNHHSVKLVPRXWK
VKXW´
9LHZLQJ WKLV HYLGHQFH LQ D OLJKW PRVW IDYRUDEOH WR WKH
SURVHFXWLRQ ZH KROG WKDW WKH VWDWH FRXUW GHFLVLRQ WKDW

-- 4 of 8 --

6DQIRUGY<XNLQV 1R
UREEHU\ IRU H[DPSOH PD\ EH VLOHQW WKURXJKRXW WKH
FRPPLVVLRQ RI WKH FULPH EXW E\ KLV GHPHDQRU RU WKURXJK
EHKDYLRUDQGDFWVQRWGLUHFWO\UHODWHGWRWKHFULPHSURYLGH
³PRUDOVXSSRUW´WKDWLVUHFRJQL]DEOHWRDQGUHOLHGXSRQE\
WKHSULQFLSDO6XFKDFWVPD\EHVLOHQWDQGPD\QRWEHRYHUW
EXWPD\VWLOODPRXQWWRPRUHWKDQ³PHUH´SUHVHQFH6HHHJ
3HRSOHY%RVZHOO1R:/ 0LFK&W
$SS1RY FRQFOXGLQJWKDW³PHUHSUHVHQFHGHIHQVH
ZDVKLJKO\LPSODXVLEOHLQOLJKWRIGHIHQGDQW¶VLQYROYHPHQWLQ
WKHSUHYLRXVDOWHUFDWLRQDQGKLVFORVHDOEHLWVLOHQWSUHVHQFH
ZKLOH VHFXULW\ JXDUGV ZHUH GHOLEHUDWHO\ VKRW´ VHH DOVR
3HRSOHY3DOPHU1:G 0LFK QRWLQJWKDW
DLGLQJ DQG DEHWWLQJ ³LQFOXGHV WKH DFWXDO RU FRQVWUXFWLYH
SUHVHQFHRIDQDFFHVVRU\LQSUHFRQFHUWZLWKWKHSULQFLSDOIRU
WKHSXUSRVHRIUHQGHULQJDVVLVWDQFHLIQHFHVVDU\´
$OWKRXJK QRQH RI WKH VWDWH FRXUW RSLQLRQV LQ WKLV FDVH
H[SUHVVO\DGRSWWKLVWKHRU\LWLVUHDVRQDEOHWRFRQFOXGHWKDW
WKH0LFKLJDQFRXUWVZHUHFRQVLGHULQJLWZKHQWKH\DIILUPHG
6DQIRUG¶VFRQYLFWLRQ)LUVWWKHFRXUWRIDSSHDOVH[SUHVVO\
VWDWHGWKDWZKLOHPHUHSUHVHQFHLVLQVXIILFLHQWWRSURYHDLGLQJ
DQGDEHWWLQJLWGHILQHG³DLGLQJDQGDEHWWLQJ´DV³DOOIRUPVRI
DVVLVWDQFHUHQGHUHGWRWKHSHUSHWUDWRURIDFULPH´LQFOXGLQJ
³DOOZRUGVRUGHHGVWKDWPD\VXSSRUWHQFRXUDJHRULQFLWHWKH
FRPPLVVLRQ RI D FULPH´ :LOVRQ 1:G DW
HPSKDVLVDGGHG 7KLVEURDGGHILQLWLRQHDVLO\HQFRPSDVVHV
VLWXDWLRQVZKHUHWKHDOOHJHGDLGHUDQGDEHWWRUDOWKRXJKVLOHQW
DQGQRWFRPPLWWLQJDFWVGLUHFWO\UHODWHGWRWKHFULPHZDVQRW
³PHUHO\´SUHVHQWEXWSURYLGLQJHPRWLRQDOHQFRXUDJHPHQWDQG
VXSSRUW7KLVLVWUXHSDUWLFXODUO\ZKHUHDVKHUHWKHSHUVRQ
SUHVHQWLVWKHPRWKHUDQGKDVEHDWHQWKHYLFWLPLQWKHSDVW
7KDW WKH &RXUW RI $SSHDOV H[SUHVVO\ XSKHOG 6DQIRUG¶V
FRQYLFWLRQDIWHUGHILQLQJWKHFULPHRIDLGLQJDQGDEHWWLQJLQ
WKLVPDQQHULQGLFDWHVWKDWLWGLGQRWHTXDWH³PHUHSUHVHQFH´
ZLWK³VLOHQWSUHVHQFH´6LPLODUO\ZKHQSUHVHQWHGZLWKQRWLFH
WKDWWKHGLVWULFWFRXUWZDVLQFOLQHGWRJUDQW6DQIRUG¶VSHWLWLRQ
IRUKDEHDVUHOLHIWKH0LFKLJDQ6XSUHPH&RXUWQRQHWKHOHVV
UHIXVHGWRDGGUHVVWKHFHUWLILHGTXHVWLRQUHDIILUPLQJWKDWLW
GHHPHGWKH0LFKLJDQ&RXUWRI$SSHDOV¶VGHFLVLRQFRUUHFW
%DVHG XSRQ WKHVH FRQVLGHUDWLRQV DQG JLYLQJ DSSURSULDWH
1R 6DQIRUGY<XNLQV
IRUWK WKH IROORZLQJ HOHPHQWV XQGHU 0LFKLJDQ ODZ IRU D
FRQYLFWLRQRIDLGLQJDQGDEHWWLQJ
WKH XQGHUO\LQJ FULPH ZDV FRPPLWWHG E\ HLWKHU WKH
GHIHQGDQWRUVRPHRWKHUSHUVRQ
WKHGHIHQGDQWSHUIRUPHGDFWVRUJDYHHQFRXUDJHPHQW
ZKLFKDLGHGDQGDVVLVWHGWKHFRPPLVVLRQRIWKHFULPH
DQG
WKHGHIHQGDQWLQWHQGHGWKHFRPPLVVLRQRIWKHFULPH
RU KDG NQRZOHGJH WKDW WKH SULQFLSDO LQWHQGHG LWV
FRPPLVVLRQDWWKHWLPHRIJLYLQJDLGRUHQFRXUDJHPHQW
3HRSOH Y :LOVRQ 1:G 0LFK &W $SS
7KHFRXUWIXUWKHUREVHUYHGWKDW
0HUHSUHVHQFHHYHQZLWKNQRZOHGJHWKDWDQRIIHQVHLV
DERXW WR EH FRPPLWWHG RU LV EHLQJ FRPPLWWHG LV
LQVXIILFLHQWWRVKRZWKDWDSHUVRQLVDQDLGHUDQGDEHWWRU
7KHSKUDVH³DLGLQJDQGDEHWWLQJ´GHVFULEHVDOOIRUPVRI
DVVLVWDQFH UHQGHUHG WR WKH SHUSHWUDWRU RI D FULPH ,W
LQFOXGHVDOOZRUGVRUGHHGVWKDWPD\VXSSRUWHQFRXUDJH
RULQFLWHWKHFRPPLVVLRQRIDFULPH
,GDW
)LQDOO\WKHFRXUWQRWHGWKDW³ZKHWKHUDSDUHQWKDVDGXW\WR
SUHYHQWWKHFRPPLVVLRQRIDFULPLQDODFWXSRQWKHSDUHQW¶V
FKLOGZKHUHWKDWFULPHWDNHVSODFHLQWKHSDUHQW¶VSUHVHQFH
KDVQRWEHHQSUHYLRXVO\DGGUHVVHGE\WKLV&RXUW´,GDW
1HYHUWKHOHVVWKHFRXUWIRXQGLWXQQHFHVVDU\WRIXUWKHUDGGUHVV
WKH LVVXH FRQFOXGLQJ WKDW ³WKH SURVHFXWLRQ LQWURGXFHG
VXIILFLHQWHYLGHQFHWKDW6DQIRUGLQWHQGHGWKHFRPPLVVLRQRI
WKH FULPH´ ,G ,Q D IRRWQRWH WKH FRXUW ³VWURQJO\
HQFRXUDJH>G@ WKH /HJLVODWXUH WR FRQVLGHU WKH WKHRU\ RI
FXOSDELOLW\ UHOLHG RQ E\ WKH WULDO FRXUW LQ WKLV FDVH $Q
H[FHSWLRQWRWKHμPHUHSUHVHQFH¶UXOHH[LVWVZKHQDSDUHQWKDV
DOHJDOGXW\WRSUHYHQWWKHFRPPLVVLRQRIDFULPH´,GDW
Q7KH0LFKLJDQ6XSUHPH&RXUWGHQLHG6DQIRUGOHDYH
WRDSSHDOZLWKRXWFRPPHQW

-- 5 of 8 --

6DQIRUGY<XNLQV 1R
6DQIRUGVXEVHTXHQWO\VRXJKWKDEHDVUHYLHZLQWKH8QLWHG
6WDWHV 'LVWULFW &RXUW IRU WKH :HVWHUQ 'LVWULFW RI 0LFKLJDQ
SXUVXDQWWR86&†7KHGLVWULFWFRXUWGHWHUPLQHG
WKDWUHOLHIVKRXOGEHJUDQWHGILQGLQJQRHYLGHQFHLQWKHUHFRUG
WRSURYHWKHVHFRQGHOHPHQWRIDLGLQJDQGDEHWWLQJLHWKDW
6DQIRUGDVVLVWHG RUHQFRXUDJHGWKHSULQFLSDORIIHQVH7KH
GLVWULFWFRXUWRSLQHGWKDWWKHODFNRIHYLGHQFHLQWKHUHFRUGRQ
WKDWLVVXHYLRODWHG6DQIRUG¶V)RXUWHHQWK$PHQGPHQWULJKWWR
GXHSURFHVVRIODZDVHVWDEOLVKHGLQ-DFNVRQY9LUJLQLD
86 KROGLQJWKDWDQDSSOLFDQWLV³HQWLWOHGWR
KDEHDV FRUSXV UHOLHI LI LW LV IRXQG WKDW XSRQ WKH UHFRUG
HYLGHQFHDGGXFHGDWWKHWULDOQRUDWLRQDOWULHURIIDFWFRXOG
KDYHIRXQGSURRIRIJXLOWEH\RQGDUHDVRQDEOHGRXEW´
5DWKHUWKDQJUDQWUHOLHIRXWULJKWKRZHYHUWKHGLVWULFWFRXUW
GHWHUPLQHG LQ WKH LQWHUHVW RI FRPLW\ WR FHUWLI\ WR WKH
0LFKLJDQ6XSUHPH&RXUWWKHIROORZLQJTXHVWLRQ
:KHWKHU3HWLWLRQHU6DQIRUG¶VVLOHQWSUHVHQFHGXULQJWKH
RIIHQVH DV GHVFULEHG LQ WKH UHFRUG FRQVWLWXWHV
³HQFRXUDJHPHQW´RU³DVVLVWDQFH´RIWKHRIIHQVHVRDVWR
VXSSRUWKHUDLGLQJDQGDEHWWLQJFRQYLFWLRQXQGHUVWDWH
ODZ7KH&RXUWYLHZVWKLVTXHVWLRQDVLQFOXGLQJEXWQRW
OLPLWHGWRWKHTXHVWLRQRIZKHWKHU6DQIRUGDVPRWKHURI
RQHRIWKHYLFWLPV³HQFRXUDJHG´WKHRIIHQVHE\IDLOLQJWR
SURWHFWKHUGDXJKWHUIURPWKHFULPLQDOFRQGXFW
7KH 0LFKLJDQ 6XSUHPH &RXUW GHFOLQHG WKH GLVWULFW FRXUW¶V
UHTXHVWQRWLQJ WKDW³WKHPDWWHUZDVDOUHDG\UHVROYHGE\
WKH0LFKLJDQ&RXUWRI$SSHDOV´DQG WKDW³WKHHYLGHQFH
VXSSRUWHGWKHMXU\¶VILQGLQJWKDWSHWLWLRQHUDLGHGDQGDEHWWHG
ILUVWGHJUHHFULPLQDOVH[XDOFRQGXFW´
6XEVHTXHQWO\ WKH GLVWULFW FRXUW JUDQWHG 6DQIRUG¶V
DSSOLFDWLRQIRUZULWRIKDEHDVFRUSXVEHFDXVH³WKHHYLGHQFH
RI6DQIRUG¶VVLOHQWSUHVHQFHZDVLQVXIILFLHQWXQGHUWKH
GRFWULQHRI-DFNVRQY9LUJLQLDWRVXSSRUWKHUFRQYLFWLRQVLQ
WKDW FDVH IRU DLGLQJ DQG DEHWWLQJ DV GHILQHG E\ VWDWH ODZ´
7KLVDSSHDOIROORZHG
1R 6DQIRUGY<XNLQV
7ZR SRLQWV EHDU PHQWLRQLQJ DW WKLV MXQFWXUH )LUVW QHLWKHU FKLOG
DFWXDOO\ VDLG WKDW 6DQIRUG ZDV ³PHUHO\ SUHVHQW´ 7KRVH ZHUH WKH ZRUGV
RI D ODZ\HU LQVHUWHG LQWR OHDGLQJ TXHVWLRQV ZLWK ZKLFK WKH FKLOGUHQ DJUHHG
E\ UHVSRQGLQJ ³\HV´ RU ³QR´ 6HFRQG HYHQ WKRXJK WKH SURVHFXWRU GLG QRW
REMHFW LW UHPDLQV FOHDU WKDW VXFK WHVWLPRQ\ FDQQRW EH GLVSRVLWLYH RI WKLV
FRXUW¶V GHWHUPLQDWLRQ RI ³PHUH SUHVHQFH´
DQG WKDW WKH HYLGHQFH LV LQVXIILFLHQW EHFDXVH WKH
SURVHFXWLRQIDLOHGWRHVWDEOLVKWKLVLVWRXVH-DFNVRQDV
DEDFNGRRUWRUHYLHZRITXHVWLRQVRIVXEVWDQWLYHODZ
:KHQHYHU FRXUWV FRQVLGHU WKDW SRVVLELOLW\ H[SUHVVO\>@
WKH\ UHMHFW FODLPV WKDW FRQYLFWLRQV VKRXOG EH UHYHUVHG
EHFDXVHVWDWHFRXUWVPLVXQGHUVWRRGRUPLVDSSOLHGVWDWH
ODZ $Q HTXDOO\ ILUP UHEXII LV DSSURSULDWH ZKHQ WKH
VDPHFODLPDSSHDUVLQ-DFNVRQLDQJXLVH
%DWHV)GDW
$SSDUHQWO\UHO\LQJRQWKHWHVWLPRQ\RIERWKFKLOGUHQWKDW
6DQIRUG GLG QRW WRXFK WKHP RU VD\ DQ\WKLQJ DQG WKHLU
DJUHHPHQWWKDWVKHZDV³PHUHO\SUHVHQW´GXULQJWKHUHOHYDQW
WLPHSHULRGWKHGLVWULFWFRXUWFRQFOXGHGWKDW6DQIRUG¶VVLOHQW
SUHVHQFHZDVLQVXIILFLHQWXQGHU-DFNVRQY9LUJLQLDWRVXSSRUW
KHUFRQYLFWLRQVIRUDLGLQJDQGDEHWWLQJDVGHILQHGE\VWDWH
ODZ7KXVWKHGLVWULFWFRXUWDSSHDUVWRKDYHFRQFOXGHGWKDW
WKHVHFRQGHOHPHQWIRUSURYLQJDLGLQJDQGDEHWWLQJLHWKDW
WKH GHIHQGDQW KDYH JLYHQ DVVLVWDQFH RU HQFRXUDJHPHQW
UHTXLUHG DQ RYHUW DFW 7KLV FRQFOXVLRQ LV HUURU ³:KDW LV
HVVHQWLDOWRHVWDEOLVKDQHOHPHQWOLNHWKHTXHVWLRQZKHWKHUD
JLYHQHOHPHQWLVQHFHVVDU\LVDTXHVWLRQRIVWDWHODZ´%DWHV
)G DW 7KXV XQGHU WKH ³DVVLVWDQFH RU
HQFRXUDJHPHQW´ SURQJ RI DQ DLGLQJ DQG DEHWWLQJ FODLP
ZKHWKHU ³VLOHQW´ SUHVHQFH LV V\QRQ\PRXV ZLWK ³PHUH´
SUHVHQFH DQG ZKHWKHU VRPH RYHUW DFW LV UHTXLUHG WR SURYH
HQFRXUDJHPHQWLVDGHWHUPLQDWLRQWKDWSURSHUO\PXVWEHOHIW
WRWKHVWDWHFRXUWV
0RUHRYHUZHEHOLHYHWKDWWKHGLVWULFWFRXUW¶VHTXDWLRQRI
³PHUHSUHVHQFH´ZLWK³VLOHQWSUHVHQFH´LVLQKHUHQWO\IODZHG
$Q DLGHU DQG DEHWWRU LQWHQWLRQDOO\ SUHVHQW GXULQJ D EDQN

-- 6 of 8 --

6DQIRUGY<XNLQV 1R
6WDWHFDVHODZGHILQHVWKHFRPELQDWLRQRIHOHPHQWV
;<DQG=DVFULPLQDO7KHVXSUHPHFRXUWRIWKH
VWDWHFRQFOXGHVWKDWWKLVLVDQLQFRUUHFWLQWHUSUHWDWLRQ
RIWKHVWDWXWHDQGWKDWWKHSURVHFXWLRQQHHGHVWDEOLVK
RQO\;DQG<&LUFXPVWDQFH=WKHFRXUWFRQFOXGHV
LVDQDIILUPDWLYHGHIHQVH$IWHUDWULDODWZKLFKWKH
SURVHFXWLRQ HVWDEOLVKHV RQO\ ; DQG < WKH FRXUW
FRQYLFWVWKHGHIHQGDQW
,GDW LQWHUQDOFLWDWLRQVRPLWWHG
³&DVH´LVWKHVFHQDULRUHOLHGXSRQE\6DQIRUGDQGWKH
GLVWULFW FRXUW LQ WKLV FDVH DV WKH\ FRQFOXGH WKDW LQVRIDU DV
6DQIRUG FRPPLWWHG QR RYHUW DFWV WKHUH ZDV LQVXIILFLHQW
HYLGHQFH WR VXSSRUW KHU FRQYLFWLRQ 7KH\ SRLQW WR WKH
0LFKLJDQ &RXUW RI $SSHDOV¶V OLVW RI WKH WKUHH HOHPHQWV
UHTXLUHGWRSURYHDLGLQJDQGDEHWWLQJ FRPPLVVLRQRIWKH
XQGHUO\LQJ RIIHQVH DVVLVWDQFH RU HQFRXUDJHPHQW DQG
LQWHQWWKDWWKHRIIHQVHEHFRPPLWWHGFRPELQHGZLWKLWV
VWDWHPHQWWKDWPHUHSUHVHQFHLVQRWHQRXJKWRHVWDEOLVKWKH
VHFRQGHOHPHQW6HH:LOVRQ1:GDW
³&DVH´ZKLFKLPSOLFDWHV³DTXHVWLRQEH\RQGWKHUHDFKRI
DIHGHUDOFRXUWRQFROODWHUDODWWDFN´%DWHV)GDW
LVWKHVFHQDULRUHOLHGXSRQE\$SSHOODQW DQGWKHVWDWHWULDO
FRXUW7KH\HVVHQWLDOO\DUJXHWKDWZKHUHDGXW\WRSURWHFW
H[LVWVWKHUHDUHRQO\WZRHOHPHQWV FRPPLVVLRQRIWKH
XQGHUO\LQJ RIIHQVH DQG LQWHQW WKDW WKH RIIHQFH EH
FRPPLWWHG$VGLVFXVVHGDERYHKRZHYHUWKHGLVWULFWFRXUW
SURSHUO\ UHIXVHG WR UHO\ XSRQ WKLV WKHRU\ EHFDXVH WKH
0LFKLJDQ&RXUWRI$SSHDOVDIILUPHG6DQIRUG¶VFRQYLFWLRQRQ
VXIILFLHQF\JURXQGVDQGQRWXQGHUWKHGXW\WKHRU\
7KXVDOWKRXJKQHLWKHUSDUW\GLUHFWO\DGGUHVVHVLWZHWKLQN
WKDW ³&DVH ´ LV WKH VFHQDULR PRVW DSURSRV WR WKH IDFWV
FXUUHQWO\EHIRUHWKHFRXUW$VVWDWHGE\WKH6HYHQWK&LUFXLW
&DVHLVMXVWDYDULDQWRIFDVH:KDWLVHVVHQWLDOWR
HVWDEOLVKDQHOHPHQWOLNHWKHTXHVWLRQZKHWKHUDJLYHQ
HOHPHQWLVQHFHVVDU\LVDTXHVWLRQRIVWDWHODZ7RVD\
WKDWVWDWHODZ³ULJKWO\XQGHUVWRRG´UHTXLUHVSURRIRI=
1R 6DQIRUGY<XNLQV
,,,67$1'$5'2)5(9,(:
7KLV FRXUW UHYLHZV D GLVWULFW FRXUW¶V JUDQW RI D ZULW RI
KDEHDVFRUSXVGHQRYR0F4XHHQY6FURJJ\)G
WK&LU 7KXVWKHJUDQWRIKDEHDVUHOLHIPD\
VWDQGRQO\LIZHFRQFOXGHWKDWWKHVWDWHFRXUW¶VDGMXGLFDWLRQRI
6DQIRUG¶VFODLP³UHVXOWHGLQDGHFLVLRQWKDWZDVFRQWUDU\WR
RULQYROYHGDQXQUHDVRQDEOHDSSOLFDWLRQRIFOHDUO\HVWDEOLVKHG
)HGHUDO ODZ DV GHWHUPLQHG E\ WKH 6XSUHPH &RXUW RI WKH
8QLWHG6WDWHV´86&† G
,9',6&866,21
$SSHOODQW VHWV IRUWK WKUHH UHDVRQV ZK\ WKLV FRXUW VKRXOG
UHYHUVH WKH GLVWULFW FRXUW¶V JUDQW RI KDEHDV UHOLHI )LUVW
$SSHOODQW DUJXHV WKDW 6DQIRUG¶V FODLP LV QRW FRJQL]DEOH
EHFDXVHLWZRXOGUHTXLUHWKLVFRXUWWRLQWHUSUHW0LFKLJDQODZ
GLIIHUHQWO\WKDQGLGWKH0LFKLJDQFRXUWV6HFRQG$SSHOODQW
FRQWHQGVWKDWWKHGLVWULFWFRXUWHUUHGLQKROGLQJWKDWWKHVWDWH
WULDO FRXUW KDG LQFRUUHFWO\ DSSOLHG 0LFKLJDQ ODZ )LQDOO\
$SSHOODQWDUJXHVWKDW6DQIRUG¶VFRQYLFWLRQLVVXSSRUWHGE\
VXIILFLHQWHYLGHQFHHYHQLI³PHUHSUHVHQFH´LVLQVXIILFLHQW
XQGHU0LFKLJDQODZWRFRQVWLWXWHDLGLQJDQGDEHWWLQJ)RUWKH
UHDVRQVVHWIRUWKEHORZZHFRQFOXGHWKDW6DQIRUG¶VFODLPLV
FRJQL]DEOHRQIHGHUDOKDEHDVUHYLHZEXWWKDWWKHGLVWULFWFRXUW
HUUHGLQJUDQWLQJUHOLHI
$$SSURSULDWHQHVVRI)HGHUDO5HYLHZ
$SSHOODQWDVVHUWVWKDWWKHGLVWULFWFRXUWZDVSUHFOXGHGIURP
UHDFKLQJ WKH PHULWV RI 6DQIRUG¶V SHWLWLRQ EHFDXVH WKH WULDO
FRXUWDOUHDG\KDGFRQFOXGHGDVDPDWWHURIVWDWHODZWKDWLQ
OLJKW RI 6DQIRUG¶V GXW\ WR SURWHFW PHUH SUHVHQFH ZDV
VXIILFLHQWWRHVWDEOLVKDLGLQJDQGDEHWWLQJ7KXV$SSHOODQW
FRQWHQGVWKDWWKLVLVQRWD³VXIILFLHQF\RIWKHHYLGHQFH´FDVH
EXWVLPSO\DFDVHLQZKLFKWKHVWDWHFRXUWKDVGHWHUPLQHGWKDW
DQ RYHUW DFW LV QRW DQ HOHPHQW RI WKH RIIHQVH ZKHUH D
SDUHQWFKLOGUHODWLRQVKLSH[LVWV
7KH GLVWULFW FRXUW UHMHFWHG WKLV DQDO\VLV EDVHG RQ WKH
0LFKLJDQ&RXUWRI$SSHDOV¶VGHFLVLRQQRWWRDGGUHVVWKHLVVXH

-- 7 of 8 --

6DQIRUGY<XNLQV 1R
RI³ZKHWKHUDSDUHQWKDVDGXW\WRSUHYHQWWKHFRPPLVVLRQRI
DFULPLQDODFWXSRQWKHSDUHQW¶VFKLOGZKHUHWKHFULPHWDNHV
SODFHLQWKHSDUHQW¶VSUHVHQFH´:LOVRQ1:GDW
&LWLQJ <OVW Y 1XQQHPDNHU 86 WKH
GLVWULFWFRXUWFRQFOXGHGWKDW³DVWKHODVWUHDVRQHGGHFLVLRQ´
WKHDSSHOODWHFRXUW¶VUXOLQJRQVXIILFLHQF\JURXQGVDQGQRW
WKHWULDOFRXUW¶VUHOLDQFHRQWKHGXW\WKHRU\ZDVWKHODZWKDW
DSSOLHGWRWKHFDVH7KXVILQGLQJQRHYLGHQFHWKDW6DQIRUG
KDG³DVVLVWHG´RU³HQFRXUDJHG´:LOVRQWKHGLVWULFWWKRXJKW
LWVHOIFRPSHOOHGWRJUDQW6DQIRUGKDEHDVUHOLHI
:HDJUHH WKDWWKHKDEHDVSHWLWLRQPD\QRWEHGLVPLVVHG
EDVHGRQWKHVWDWHWULDOFRXUW¶VFRQFOXVLRQWKDWPHUHSUHVHQFH
PD\EHHQRXJKZKHQHYHUDGHIHQGDQWKDVGXW\WRDFWEXWGRHV
QRW 7KH 0LFKLJDQ &RXUW RI $SSHDOV H[SUHVVO\ UHIXVHG WR
XSKROG WKLV WKHRU\ UHIHUULQJ WKH LVVXH WR WKH OHJLVODWXUH
LQVWHDG5DWKHU6DQIRUG¶VFRQYLFWLRQZDVXSKHOG³EHFDXVH
WKHSURVHFXWLRQLQWURGXFHGVXIILFLHQWHYLGHQFHWKDW6DQIRUG
LQWHQGHGWKHFRPPLVVLRQRIWKHFULPH´1:GDW
)HGHUDOUHYLHZRIVXFKDKROGLQJLVDULJKWSURWHFWHGXQGHUWKH
)RXUWHHQWK $PHQGPHQW RI WKH &RQVWLWXWLRQ -DFNVRQ
86DW$FFRUGLQJO\ZHUHMHFW$SSHOODQW¶VFODLPWKDW
6DQIRUG¶VDSSOLFDWLRQLVQRWFRJQL]DEOHLQIHGHUDOFRXUW
%$SSOLFDEOH/DZ
:H DOVR FRQFOXGH KRZHYHU WKDW WKH GLVWULFW FRXUW
PLVXQGHUVWRRGWKHSURSHUUHODWLRQVKLSEHWZHHQWKHUROHVRI
WKH IHGHUDO DQG VWDWH FRXUWV 7KH 6XSUHPH &RXUW KDV
FDXWLRQHGWKDWWKHVXIILFLHQF\VWDQGDUG³PXVWEHDSSOLHGZLWK
H[SOLFLWUHIHUHQFHWRWKHVXEVWDQWLYHHOHPHQWVRIWKHFULPLQDO
RIIHQVHDVGHILQHGE\VWDWHODZ´,GDWQ HPSKDVLV
DGGHG ,Q%DWHVY0F&DXJKWU\)G WK&LU
WKH8QLWHG6WDWHV&RXUWRI$SSHDOVIRUWKH6HYHQWK&LUFXLW
SURYLGHGIXUWKHUJXLGDQFHLQWKLVUHJDUGGLVWLQJXLVKLQJSXUH
VXIILFLHQF\FODLPVIURPVWDWHODZFODLPVGLVJXLVHGDV-DFNVRQ
FODLPV
-DFNVRQHVWDEOLVKHVWKDWVWDWHVPXVWDFWRQWKHEDVLVRI
VXIILFLHQWHYLGHQFH7KHSULQFLSOHVHHPVXQSUREOHPDWLF
LWLVEDUEDULFWRLPSULVRQSHUVRQVZKRQRUHDVRQDEOHMXURU
1R 6DQIRUGY<XNLQV
FRXOG WKLQN KDG FRPPLWWHG D FULPH ,PSOHPHQWLQJ
-DFNVRQLVQRWVRHDV\DVVWDWLQJLWVSULQFLSOHKRZHYHU
-XGJPHQWV UHSUHVHQW WKH DSSOLFDWLRQ RI ODZ WR IDFW
(YLGHQFHFDQEH³LQVXIILFLHQW´RQO\LQUHODWLRQWRDUXOH
RI ODZ UHTXLULQJ PRUH RU GLIIHUHQW HYLGHQFH :KHQ D
VWDWHFRXUWHQWHUVRUDIILUPVDFRQYLFWLRQLWLVVD\LQJWKDW
WKHHYLGHQFHVDWLVILHVWKHOHJDOQRUPV7KHVHQRUPVDUH
IRUWKHVWDWHWRVHOHFW6WDWHODZPHDQVZKDWVWDWHFRXUWV
VD\LWPHDQV$FODLPWKDWWKHVWDWHFRXUWPLVXQGHUVWRRG
WKHVXEVWDQWLYHUHTXLUHPHQWVRIVWDWHODZGRHVQRWSUHVHQW
DFODLPXQGHU†³$IHGHUDOFRXUWPD\QRWLVVXHWKH
ZULWRQWKHEDVLVRIDSHUFHLYHGHUURURIVWDWHODZ´7KH
GLIIHUHQFH EHWZHHQ XQUHYLHZDEOH OHJDO LQWHUSUHWDWLRQV
DQG IDFWXDO FODLPV RSHQ XQGHU -DFNVRQ HVWDEOLVKHV D
IRUPLGDEOHSUREOHPRILPSOHPHQWDWLRQ
&RQVLGHUIRXUVLWXDWLRQVLQZKLFKDGHIHQGDQWPLJKW
VD\WKDWWKHHYLGHQFHLVLQVXIILFLHQW
6WDWHODZGHILQHVWKHFRPELQDWLRQRIHOHPHQWV;<
DQG=DVFULPLQDO 3HUKDSV;LVNLOOLQJ<LVLQWHQW
WRNLOODQG=LVODFNRIMXVWLILFDWLRQ 7KHSURVHFXWRU
DQGWKHVWDWHFRXUWVFRQFHGHWKDW;<DQG= DUH
HOHPHQWVRIWKHFULPHDQGDJUHHZLWKWKHGHIHQGDQW
RQWKHLUPHDQLQJ'HIHQGDQWFRQWHQGVWKDWWKHUHLV
QREDVLVRQZKLFKWKHWULHURIIDFWFRXOGILQG=7KH
VWDWHFRXUWGLVDJUHHVDQGFRQYLFWV
'HIHQGDQWEHOLHYHVWKDWWKHFRPELQDWLRQRIHOHPHQWV
; < DQG = LV DQ RIIHQVH 7KH FRXUW GLVDJUHHV
KROGLQJ WKDW WKH VWDWH QHHG SURYH RQO\ ; DQG <
$IWHUDWULDODWZKLFKWKHSURVHFXWLRQLQWURGXFHVQR
HYLGHQFHRI=WKHFRXUWFRQYLFWVWKHGHIHQGDQW
6WDWHODZGHILQHVWKHFRPELQDWLRQRIHOHPHQWV;<
DQG=DVFULPLQDO'HIHQGDQWEHOLHYHVWKDWHOHPHQW
=FDQEHVDWLVILHGRQO\LIWKHVWDWHHVWDEOLVKHVIDFW=
EXWWKHVWDWHFRXUWGLVDJUHHV$IWHUDWULDODWZKLFK
WKHSURVHFXWLRQLQWURGXFHVVRPHHYLGHQFHRI=EXW
GRHV QRW HVWDEOLVK = WKH FRXUW FRQYLFWV WKH
GHIHQGDQW

-- 8 of 8 --

Continue your research in ChatGPT or Claude

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