02a0336p.06

01-5060Court of Appeals for the Sixth CircuitSep 27, 2002

Full text

)RUGHWDOY*HQHUDO0RWRUV&RUS 1R
7KHUHLVQRHYLGHQFHVKRZLQJWKDW'HIHQGDQW¶VDFWLRQV
DJDLQVW0U)RUGZHUHPRWLYDWHGE\DGHVLUHWRUHWDOLDWH
IRU ILOLQJ WKH ((2& FRPSODLQW RU WR UHWDOLDWH IRU
DQ\WKLQJ HOVH IRU WKDW PDWWHU QRU DUH WKHUH DQ\
LQIHUHQFHVWREHGUDZQZKLFKVXSSRUWVXFKDILQGLQJ6HH
&DQLWLD)GDW6LPSO\SODLQWLIIKDVIDLOHGWR
HVWDEOLVKWKDW'HIHQGDQWKDGDUHWDOLDWRU\PRWLYH´,G
7KHUHZDVQRPRWLYHIRUWKHGHIHQGDQWWRUHWDOLDWHDV
WKHUHZDVQRGLVFULPLQDWLRQFKDUJHIRULWWRIHDU7KH
3ODLQWLIIVLPSOLFLWO\UHFRJQL]HWKLVE\IDLOLQJWRSXUVXH
KDUDVVPHQWRUKRVWLOHZRUNHQYLURQPHQWFODLPV
$VWKHPDMRULW\QRWHVRXUGHFLVLRQLQ+ROOLQVY$WODQWLF
&R )G WK &LU KROGV WKDW LQ RUGHU WR
HVWDEOLVKDQDGYHUVHHPSOR\PHQWDFWLRQDSODLQWLIIPXVWVKRZ
PRUHWKDQPHUHO\³DQDOWHUDWLRQRIMREUHVSRQVLELOLWLHV´7KH
UHFRUG PXVW LQGLFDWH VXFK DFWLRQV DV ³WHUPLQDWLRQ RI
HPSOR\PHQWDGHPRWLRQHYLGHQFHGE\DGHFUHDVHLQZDJHRU
VDODU\DOHVVGLVWLQJXLVKHGWLWOHDPDWHULDOORVVRIEHQHILWV
VLJQLILFDQWO\ GLPLQLVKHG PDWHULDO UHVSRQVLELOLWLHV RU RWKHU
LQGLFHVWKDWPLJKWEHXQLTXHWRDSDUWLFXODUVLWXDWLRQ´,GDW
$QLQFUHDVHLQZRUNORDGVXFKDVWKHRQHSOHDGHGKHUH
ZRXOGKDYHWREHPRUHVXEVWDQWLDODQGRQHURXVWKDQLWDSSHDUV
RQ WKLV UHFRUG DQG LW ZRXOG KDYH WR FRPH RQO\ DIWHU WKH
SODLQWLII¶V IRUPDO FRPSODLQW RI GLVFULPLQDWLRQ LQ RUGHU WR
FRQVWLWXWHUHWDOLDWLRQRQWKHSDUWRIWKHHPSOR\HU7KHIDFWVLQ
WKLVUHFRUGVLPSO\GRQRWVKRZWKDWWREHWKHFDVH
)RU WKH UHDVRQV VWDWHG LQ WKH GLVWULFW FRXUW¶V RSLQLRQ ,
ZRXOGDIILUPWKHMXGJPHQWHQWHUHGE\WKDWFRXUW,WKHUHIRUH
UHVSHFWIXOO\GLVVHQWIURPWKHPDMRULW\¶VGHFLVLRQWRUHPDQG
WKLV FDVH IRU WULDO 0\ SRVLWLRQ VKRXOG QRW EH WDNHQ DV
FRQGRQDWLRQRIWKHWUHDWPHQWWKDWWKHSODLQWLIIUHFHLYHGIURP
KLVFRZRUNHUV7KHLUUDFLDODQLPXVLVDSSDUHQWDQGLWLVDV
VKDPHIXODVLWLVFRQWHPSWLEOH%XW,GRQRWEHOLHYHWKDWWKH
UHFRUGVXSSRUWVLPSXWDWLRQRIWKHVDPHUHSUHKHQVLEOHDWWLWXGH
RURIIHQVLYHFRQGXFWWRWKHSODLQWLII¶VHPSOR\HU
7KH +RQRUDEOH $OJHQRQ / 0DUEOH\ 8QLWHG 6WDWHV 'LVWULFW -XGJH IRU
WKH 6RXWKHUQ 'LVWULFW RI 2KLR 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
*(25*( )25' 0$5< $
)25'
3ODLQWLIIV$SSHOODQWV
Y
*(1(5$/ 027256
&25325$7,21
'HIHQGDQW$SSHOOHH
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH:HVWHUQ'LVWULFWRI.HQWXFN\DW%RZOLQJ*UHHQ
1R²-RVHSK+0F.LQOH\-U'LVWULFW-XGJH
6XEPLWWHG-XQH
'HFLGHGDQG)LOHG6HSWHPEHU
%HIRUH.(,7+DQG'$8*+75(<&LUFXLW-XGJHV
0$5%/(<'LVWULFW-XGJH

-- 1 of 10 --

)RUGHWDOY*HQHUDO0RWRUV&RUS 1R
BBBBBBBBBBBBBBBBB
&2816(/
21 %5,() (YDQ ( 7D\ORU /$: 2)),&( 2) (9$1
7$</252ZHQVERUR.HQWXFN\IRU$SSHOODQWV-DQH$QQ
+LPVHO:22'(1 0F/$8*+/,1,QGLDQDSROLV,QGLDQD
IRU$SSHOOHH
0$5%/(<'-GHOLYHUHGWKHRSLQLRQRIWKHFRXUWLQ
ZKLFK .(,7+ - MRLQHG '$8*+75(< - SS
GHOLYHUHGDVHSDUDWHRSLQLRQFRQFXUULQJLQSDUWDQGGLVVHQWLQJ
LQSDUW
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
$/*(121 / 0$5%/(< 'LVWULFW -XGJH 3ODLQWLIIV
$SSHOODQWV ³3ODLQWLIIV´ DSSHDO WKH GLVWULFW FRXUW¶V RUGHU
JUDQWLQJ 'HIHQGDQW$SSHOOHH¶V ³'HIHQGDQW´ PRWLRQ IRU
VXPPDU\MXGJPHQWRQDOORI3ODLQWLIIV¶FODLPVDULVLQJIURP
WKH WHUPLQDWLRQ RI *HRUJH )RUG¶V HPSOR\PHQW ZLWK WKH
*HQHUDO0RWRUV&RUSRUDWLRQ3ODLQWLIIVDVVLJQHUURUWRWKH
GLVWULFW FRXUW¶V IDLOXUH WR GUDZ UHDVRQDEOH LQIHUHQFHV WR
VXSSRUWWKHLUFODLPVRI UHWDOLDWLRQLQYLRODWLRQRI7LWOH9,,
DQGWKH.HQWXFN\&LYLO5LJKWV$FW LQWHQWLRQDOLQIOLFWLRQ
RIHPRWLRQDOGLVWUHVVDQG ORVVRIFRQVRUWLXP-XULVGLFWLRQ
LVSURSHUSXUVXDQWWR86&†)RUWKHIROORZLQJ
UHDVRQVWKLV&RXUW5(9(56(6LQSDUW$)),506LQSDUW
DQG 5(0$1'6 WKH GLVWULFW FRXUW¶V JUDQW RI VXPPDU\
MXGJPHQW
,%$&.*5281'
3ODLQWLII*HRUJH)RUG ³)RUG´ DQ$IULFDQ$PHULFDQKDG
ZRUNHG IRU 'HIHQGDQW WKH *HQHUDO 0RWRUV &RUSRUDWLRQ
³*0´ IRURYHUWKLUW\\HDUV7KHUHPDLQLQJ3ODLQWLII0DU\
)RUG LV *HRUJH )RUG¶V ZLIH 7KH ODVW VHYHQWHHQ \HDUV RI
)RUG¶VHPSOR\PHQWZHUHVSHQWDW*0¶V&RUYHWWH$VVHPEO\
1R )RUGHWDOY*HQHUDO0RWRUV&RUS
IURQWRIWKHP7KHUHLVQRWKLQJLQDSSURSULDWHDERXWD
FRPSDQ\ZDWFKLQJDQHPSOR\HHHVSHFLDOO\RQHZKRLV
KDYLQJ DGPLWWHG GLIILFXOWLHV SHUIRUPLQJ KLV DVVLJQHG
GXWLHV
6HFRQG HYHQ DVVXPLQJ WKDW 0U )RUG KDG
GHPRQVWUDWHGDQDGYHUVHHPSOR\PHQWDFWLRQKHKDVQRW
VKRZQWKDWWKHUHZDVDFDXVDOFRQQHFWLRQEHWZHHQWKH
ILOLQJ RI WKH ((2& FRPSODLQW DQG WKH DGYHUVH
HPSOR\PHQWDFWLRQ0U)RUG³PXVWHVWDEOLVKWKDWWKH
GHFLVLRQFRPSODLQHGDERXWDVUHWDOLDWRU\ZRXOGQRWKDYH
EHHQPDGHμEXWIRU¶WKHSURWHFWHGVWDWXVRIWKHSODLQWLII´
&DQLWLD>Y<HOORZ)UHLJKW6\V,QF)G
WK &LU @ QXPHURXV FLWDWLRQV RPLWWHG 7KH
3ODLQWLII KDV IDLOHG WR VKRZ DQ\ UHDVRQ ZK\ WKH
'HIHQGDQWZRXOGWHUPLQDWHKLP RULQWKLVFDVHZRXOG
ZDQW WR PDNH KLP TXLW RU UHWLUH IRU ILOLQJ WKH ((2&
FRPSODLQW
0U)RUGFODLPVWKDWWKHFDXVDOUHODWLRQVKLSLVVKRZQ
EHFDXVH ³*HRUJH¶V DGYHUVH WUHDWPHQW EHJDQ DOPRVW DV
VRRQDVKHZDVSXWEDFNXQGHU5HLVHU¶VVXSHUYLVLRQRQ
WKH>'ULYH2II@MRE´(YHQLIWKLVZHUHWUXHDQGIRUWKH
SXUSRVHV RI VXPPDU\ MXGJPHQW WKH &RXUW WUHDWV LW DV
VXFK WKH 'HIHQGDQW UHFHLYHG QRWLFH RI WKH ((2&
FRPSODLQWDURXQG0D\0U)RUGGLGQRWEHJLQ
WKH'ULYH2IIMREXQWLO2FWREHU7KLVVL[PRQWK
ODSVHGRHVQRWJLYHULVHWRDQLQIHUHQFHRIFDXVDWLRQ$QG
HYHQLIVL[PRQWKVZHUHLQGHHGD³VKRUWSHULRG´DVXUJHG
E\0U)RUGWKHFORVHSUR[LPLW\RIWKHSURWHFWHGDFWLYLW\
DQGDGYHUVHDFWLRQDOWKRXJKFHUWDLQO\DIDFWRUWKDWPXVW
EHZHLJKHGFDQLQQRFDVHVWDQGLQJDORQHEHWKHEDVLV
IRUDILQGLQJRIFDXVDWLRQ:KLOHWKHSUR[LPLW\LQWLPH
EHWZHHQ HQJDJLQJ LQ D SURWHFWHG DFWLYLW\ DQG DGYHUVH
HPSOR\PHQW DFWLRQ PD\ JLYH ULVH WR DQ LQIHUHQFH RI
FDXVDO FRQQHFWLRQ ³WHPSRUDO SUR[LPLW\ DORQH ZLOO QRW
VXSSRUWDQLQIHUHQFHLQWKHIDFWRIFRPSHOOLQJHYLGHQFH´
WRWKHFRQWUDU\6HH0RRQY7UDQVSRUW'ULYHUV,QF
)G WK&LU

-- 2 of 10 --

)RUGHWDOY*HQHUDO0RWRUV&RUS 1R
WKDWSRVLWLRQHQGHGKHZDVDEOHWREXPSDIHOORZZRUNHU
IURPDQRWKHUMREGXHWRKLVVHQLRULW\XQGHUXQLRQUXOHV
$QGZKHQKHKDGGLIILFXOW\LQWKDWMREKLVVXSHUYLVRU
DUUDQJHGIRURWKHUZRUNHUVWRKHOSKLPDQGHYHQVWHSSHG
LQKLPVHOIRQRQHRFFDVLRQWRDVVLVW0U)RUG7KLVLVQRW
DGYHUVH
0U)RUGSRUWUD\VWKHDGYHUVHHPSOR\PHQWDVEHLQJWKH
³RYHUORDG RI ZRUN´ KH ZDV JLYHQ ZKLOH LQ 'ULYH 2II
+RZHYHUDV0U)RUG¶VGHSRVLWLRQWHVWLPRQ\UHYHDOVKH
FRPSODLQHGRIZRUNRYHUORDGVLQYLUWXDOO\HYHU\SRVLWLRQ
KHKHOGGXULQJWKHWLPHVUHOHYDQWWRWKLVODZVXLWERWK
EHIRUHDQGDIWHUWKHILOLQJRIWKH((2&FRPSODLQW
0U )RUG¶V LQLWLDO SUREOHPV DV ,QVSHFWRU LQ
'HSDUWPHQW LQYROYHG .LQJ DQG 0LOOLQJ
³JHWWLQJWRJHWKHUPDNLQJ>KLP@ZRUNKDUGHUWKDQ
WKH\ZDVZRUNLQJ´
0U)RUGWHVWLILHGWKDWKLVQH[WSULPDU\MRE3RUWHU
LQ'HSDUWPHQW³ZDVWRRPXFKZRUN´
0U )RUG WHVWLILHG WKDW LQ KLV ILQDO SULPDU\ MRE
'ULYH 2II LQ 'HSDUWPHQW KH ³GLGQ¶W KDYH
HQRXJK WLPH WR JHW LW DOO GRQH ZKDW ZDV EHLQJ
GRQH´
7KXV WKHUH LV QR HYLGHQFH WKDW WKHUH ZDV DQ\ SHULRG
KHUHHLWKHU EHIRUH RU DIWHU WKH ILOLQJ RI WKH ((2&
FRPSODLQWWKDW0U)RUGGLGQRWEHOLHYHWKDWKHKDGWRR
PXFKZRUN$QGWKHUHLVQRHYLGHQFHLQWKHUHFRUGWKDW
WKHZRUNORDGKHZDVJLYHQLQ'ULYH2IIZDVLQDQ\ZD\
GLIIHUHQWIURPWKDWRIWKHSUHYLRXVSHUVRQLQWKDWSRVLWLRQ
DZKLWHIHPDOH
1RUFDQKLVVXJJHVWLRQWKDWKHZDVEHLQJ³ZDWFKHG´
ZKLOH LQ 'ULYH 2II EH FRQVWUXHG DV DQ DGYHUVH
HPSOR\PHQWDFWLRQ+HDGPLWWHGWKDWKHZRXOGDWWLPHV
JHW EHKLQG LQ WKLV SRVLWLRQHYHQ ZLWK DGGLWLRQDO
KHOSDQGWKDWWKH&RUYHWWHVFRPLQJRIIRIWKHDVVHPEO\
OLQHZRXOGRFFDVLRQDOO\EXPSLQWRWKHRQHVKHKDGOHIWLQ
1R )RUGHWDOY*HQHUDO0RWRUV&RUS
3ODQWLQ%RZOLQJ*UHHQ.HQWXFN\)URP6SULQJXQWLO
$SULO )RUG ZRUNHG LQ 'HSDUWPHQW NQRZQ DV
,QVSHFWLRQ ZLWK /DUU\ .LQJ ³.LQJ´ DQG 'RQ 0LOOLRQ
³0LOOLRQ´ DPRQJ RWKHUV %HVLGHV )RUG DOO RI WKH RWKHU
LQVSHFWRUVLQ'HSDUWPHQWZHUH&DXFDVLDQ
,QVSHFWRUVZHUHUHVSRQVLEOHIRUSHUIRUPLQJGLDJQRVWLFDQG
DOLJQPHQWWHVWVRQILQLVKHGYHKLFOHVEHIRUHWKH\ZHUHVKLSSHG
2QHVXFKWHVWLQYROYHGKHDGOLJKWDOLJQPHQWVWKDWFRXOGEH
GRQHDWHLWKHUWKH³DXWRPDWLFSLW´ZKHUHLQVSHFWRUVRQO\KDG
WRHQWHUDFRGHLQWRDFRPSXWHURUDWWKH³PDQXDOSLW´ZKLFK
UHTXLUHGLQVSHFWRUVWRDWWDFKLQVWUXPHQWVWRWKHKHDGOLJKWVDQG
WKHQPDQXDOO\VHWWKHDOLJQPHQW ZLWKDVFUHZGULYHU)RUG
FODLPVWKDW.LQJDQG0LOOLRQ³ZHUHUDFLVWV´ZKRZHUH³WU\LQJ
WR PRYH >KLP@ RII RI KLV MRE´ E\ PDNLQJ KLV ZRUN PRUH
GLIILFXOW6SHFLILFDOO\)RUGFRQWHQGVWKDW.LQJDQG0LOOLRQ
IRUFHG KLP LQWR GRLQJ DGGLWLRQDO ZRUN E\ FODLPLQJ WKH
DXWRPDWLF SLW IRU WKHPVHOYHV RIWHQ OHDYLQJ KLP WR XVH WKH
PRUH GLIILFXOW PDQXDO SLW 'HSDUWPHQW LQVSHFWRUV DOVR
ZRUNHG ZLWK ³UHUXQ FDUV´ WKDW SUHYLRXVO\ KDG SUREOHPV
GLVFRYHUHGDQGUHSDLUHGDQGEHHQUHWXUQHGRQFHFRUUHFWHG
$VWKHVHFDUVGLGQRWQHFHVVLWDWHWKHIXOOUDQJHRIQRUPDOWHVWV
UHUXQ FDUV ZHUH SUHIHUUHG E\ WKH LQVSHFWRUV WR WKRVH ILUVW
FRPLQJRIIRIWKHDVVHPEO\OLQHIRUIXOOLQVSHFWLRQ.LQJDQG
0LOOLRQ)RUGDVVHUWVFRQVSLUHGWRWDNHPRUHWKDQWKHLUVKDUH
RI UHUXQ FDUV OHDYLQJ KLP WR GR PRUH ZRUN RQ YHKLFOHV
RULJLQDOO\FRPLQJRIIWKHDVVHPEO\OLQH
)RUGFRQIURQWHG.LQJDQG0LOOLRQDERXWWKLVWUHDWPHQWEXW
WKH\ GHQLHG FRQVSLULQJ WR PDNH KLP GR PRUH ZRUN )RUG
FODLPVWKDWKHRQFHDVNHG.LQJDQG0LOOLRQZK\WKH\ZHUH
PDNLQJKLPZRUNKDUGHUWKDQWKH\GLGDQGWHVWLILHGLQKLV
GHSRVLWLRQWKDW³WKH\VDLGLQDMRNLQJZD\μ\RX¶UHEODFNDQG
ZH¶UH ZKLWH DQG ZH DUHQ¶W VXSSRVHG WR ZRUN KDUG ¶´
3ODLQWLIISHUFHLYHGWKDW.LQJDQG0LOOLRQZHUHXSVHWWKDWKH
DVDQ$IULFDQ$PHULFDQKDGPRUHVHQLRULW\WKDQWKH\GLGDQG
VWDWHGWKDW³WKH\WROGPHWKDWDEODFNPDQVKRXOGQ¶WKDYHWKDW
SRVLWLRQ´)RUGFRQWHQGVWKDWERWK.LQJDQG0LOOLRQFDOOHG
KLP³DQLJJHU´PRUHWKDQRQFHRYHUWKH\HDUV3ODLQWLIIDOVR

-- 3 of 10 --

)RUGHWDOY*HQHUDO0RWRUV&RUS 1R
FODLPV WKDW .LQJ RQFH FDOOHG DQRWKHU $IULFDQ$PHULFDQ
HPSOR\HH³DPRQNH\´
)RUGFRPSODLQHGRQQXPHURXVRFFDVLRQVWRKLVVXSHUYLVRU
%XWFK 5HLVHU ³5HLVHU´ DQG KLV XQLRQ UHSUHVHQWDWLYH -RH
7KLHQ ³7KLHQ´ DERXWJHQHUDOPLVWUHDWPHQWIURP.LQJDQG
0LOOLRQDOWKRXJKKHFDQQRWUHFDOOZKHQVXFKFRQYHUVDWLRQV
RFFXUUHG )RUG FODLPV WKDW KH PDGH 5HLVHU DZDUH GXULQJ
VRPHRIWKHVHGLVFXVVLRQVWKDWKHEHOLHYHGWKHSUREOHPVZHUH
UDFHUHODWHG:KHQ5HLVHUDVNHG)RUGZK\WKH\ZHUHDFWLQJ
DVWKH\ZHUH)RUGWROGKLPWKDW³,KDGPRUHVHQLRULW\DQG
WKH\UHVHQWHGWKDWEHFDXVH,ZDVEODFNDQGWKH\²ERWKRI
WKHPZHUHZKLWH´3ODLQWLIIFRQWHQGVWKDW5HLVHUWROGKLPRQ
DWOHDVWRQHRFFDVLRQWKDW5HLVHUGLGQRWEHOLHYHWKHSUREOHPV
LQYROYHGUDFH5HLVHUDQG7KLHQSURPLVHGWRWDONZLWK.LQJ
DQG0LOOLRQ)RUGGRHVQRWNQRZZKHWKHUWKH\WDONHGZLWK
WKHP SULYDWHO\ EXW 5HLVHU FDPH WR WKH ZRUN DUHD DQG WROG
.LQJ0LOOLRQDQG)RUGWKDWWKH\DOOQHHGHGWRZRUNWRJHWKHU

2Q $SULO )RUG ZHQW WR 5HLVHU DQG DJDLQ
FRPSODLQHGWKDWKLVFRZRUNHUVZHUHGHOLEHUDWHO\³VFUHZLQJ
>KLP@´DQGZHUH³ZRUNLQJ>KLP@KDUG´E\IRUFLQJKLPWRXVH
WKHPDQXDOUDWKHUWKDQDXWRPDWLFSLW5HLVHUDVNHG)RUGZKDW
KHZDQWHGKLPWRGRDERXWLWDQG3ODLQWLIIUHVSRQGHG³WDONWR
WKRVHJX\VDQGVWRSWKHPIURPFUHDWLQJ>D@KDUVKHQYLURQPHQW
IRUPHWRZRUNLQ´5HLVHUWROG)RUGWKDWKHZRXOGWDONWRKLV
FRZRUNHUV 3ODLQWLII WKHQ SKRQHG 'RULDQ /HH ³/HH´ DQ
$IULFDQ$PHULFDQODERUUHODWLRQVUHSUHVHQWDWLYHDQGDVNHG
KLPWRVSHDNZLWK)RUG¶VFRZRUNHUVDERXWWKHPLVWUHDWPHQW
/HHZDVLQDPHHWLQJDWWKHWLPHEXWDJUHHGWRFRPHWRWKH
ZRUNDUHDDVVRRQDVWKHPHHWLQJZDVILQLVKHG
$IWHUFDOOLQJ/HH)RUGDSSURDFKHG0LOOLRQDQG³DVNHGKLP
ZK\ZHUHWKH\PDNLQJ>KLV@MREKDUGHU´WRZKLFK0LOOLRQ
UHSOLHG³IXFN\RX´$WWKDWSRLQWDSK\VLFDODOWHUFDWLRQEURNH
RXWEHWZHHQ)RUGDQG0LOOLRQ3ODLQWLIIFODLPVWKDWKHVWUXFN
0LOOLRQILUVWEHFDXVHKHEHOLHYHGWKDW0LOOLRQZDVUHDFKLQJ
IRUDNQLIH0LOOLRQZDVOHIWEOHHGLQJRQWKHIORRUDVDUHVXOW
RIWKHILJKW)RUGZDVWKHQWDNHQWRDQLQWHUYLHZZLWK7KLHQ
1R )RUGHWDOY*HQHUDO0RWRUV&RUS
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
&21&855,1*,13$57',66(17,1*,13$57
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
0$57+$ &5$,* '$8*+75(< &LUFXLW -XGJH
FRQFXUULQJLQSDUWDQGGLVVHQWLQJLQSDUW,DJUHHZLWKWKH
PDMRULW\ WKDW WKH GLVWULFW FRXUW ZDV FRUUHFW LQ JUDQWLQJ
VXPPDU\MXGJPHQWWRWKHGHIHQGDQWRQWKHSODLQWLIIV¶VWDWH
ODZWRUWFODLPV+RZHYHU,FDQQRWDJUHHZLWKLWVFRQFOXVLRQ
WKDW*HRUJH)RUG¶V7LWOH9,,FODLPIRUUHWDOLDWRU\GLVFKDUJH
VKRXOGKDYHVXUYLYHGVXPPDU\MXGJPHQW
7KHGLVWULFWFRXUWPDGHWZRFUXFLDOILQGLQJVLQGLVPLVVLQJ
WKH7LWOH9,,DFWLRQ WKDWQRDGYHUVHHPSOR\PHQWDFWLRQ
KDG RFFXUUHG DQG WKDW HYHQ LI DQ DGYHUVH HPSOR\PHQW
DFWLRQ FRXOG EH VKRZQ WKH SODLQWLII KDG SUHVHQWHG QR
HYLGHQFHWHQGLQJWRVKRZDFDXVDOFRQQHFWLRQEHWZHHQKLV
ILOLQJ RI WKH ((2& FRPSODLQW DQG WKH SXUSRUWHG DGYHUVH
HPSOR\PHQWDFWLRQ,IWKHGLVWULFWFRXUWZDVFRUUHFWRQHLWKHU
EDVLVWKHSODLQWLII¶VDWWHPSWWRHVWDEOLVKDSULPDIDFLHFDVH
IDLOV
7KHUHFRUGPXVWRIFRXUVHEHUHYLHZHGLQWKHOLJKWWKDWLV
PRVWIDYRUDEOHWRWKHQRQPRYDQWWKHSODLQWLIILQWKLVFDVH
7KHUH LV QRWKLQJ WR VXJJHVW WKDW WKH GLVWULFW FRXUW GLG
RWKHUZLVH 0RUHRYHU WKH HYLGHQFH WR VXSSRUW WKH GLVWULFW
FRXUW¶VILQGLQJVZDVDEO\VHWRXWLQWKHPHPRUDQGXPRSLQLRQ
ILOHGE\WKHFRXUWRQ'HFHPEHUDVIROORZV
)LUVWQRWKLQJLQWKHUHFRUGWHQGVWRVKRZWKDW0U)RUG
VXIIHUHGDQ\DGYHUVHHPSOR\PHQWDFWLRQDQGLQIDFWKLV
RZQWHVWLPRQ\VXJJHVWVTXLWHWKHRSSRVLWH$IWHUEHLQJ
VXVSHQGHG DQG WKHQ WHUPLQDWHG IRU DVVDXOWLQJ D FR
ZRUNHU0U)RUGZDVUHLQVWDWHGDVDQHPSOR\HH:KHQ
KHUHWXUQHGWRZRUNKHZDVJLYHQDSRVLWLRQIDYRUHGE\
PDQ\HPSOR\HHV+HFRPSODLQHGWKDWKLVZRUNORDGZDV
WRR JUHDW DQG KLV VXSHUYLVRUV DUUDQJHG WR OLJKWHQ KLV
GXWLHV DGGLQJDGGLWLRQDOGXWLHVFOHDQLQJWKHVWDLQOHVV
VWHHORQO\LI0U)RUGFRPSOHWHGKLVRWKHUWDVNV :KHQ

-- 4 of 10 --

)RUGHWDOY*HQHUDO0RWRUV&RUS 1R
DQGFRQMXJDOUHODWLRQVKLSEHWZHHQKXVEDQGDQGZLIHRU
ZLIHDQGKXVEDQG
(LWKHU D ZLIH RU KXVEDQG PD\ UHFRYHU GDPDJHV
DJDLQVWDWKLUGSHUVRQIRUORVVRIFRQVRUWLXPUHVXOWLQJ
IURPDQHJOLJHQWRUZURQJIXODFWRIVXFKWKLUGSHUVRQ
.< 5(9 67$7† ,QWKLVFDVH0UV)RUG¶V
WHVWLPRQ\GHPRQVWUDWHVWKDWDOWKRXJKVKHDQGKHUKXVEDQG
VXIIHUHGIURPVWUHVVWKHEDVLFDVSHFWVRIWKHLUPDUULHGOLIHGLG
QRWFKDQJHDVDUHVXOWRI'HIHQGDQW¶VFRQGXFW7KURXJKRXW
DQG0UV)RUGWHVWLILHGWKDWWKH\HQJDJHGLQDOORI
WKHLU QRUPDO PDULWDO DFWLYLWLHV LQFOXGLQJ DWWHQGLQJ FKXUFK
HDWLQJRXWRFFDVLRQDOO\ILVKLQJLQWKHVXPPHUDQGKDYLQJ
UHJXODU VH[XDO UHODWLRQV ,Q DGGLWLRQ VKH VWDWHG WKDW KHU
KXVEDQGFRQWLQXHGWRDVVLVWZLWKFRRNLQJFOHDQLQJDQG\DUG
ZRUN7KXV3ODLQWLIIKDVSURYLGHGQRHYLGHQFHWRVXSSRUWKHU
ORVVRIFRQVRUWLXPFODLP
7KLV&RXUWWKHUHIRUH$)),506WKHGLVWULFWFRXUW¶VJUDQW
RIVXPPDU\MXGJPHQWWR'HIHQGDQWDVWR3ODLQWLII¶VORVVRI
FRQVRUWLXPFODLP
9,&21&/86,21
)RUWKHIRUHJRLQJUHDVRQVWKH&RXUW5(9(56(6LQSDUW
$)),506LQSDUWDQG5(0$1'6WKHGLVWULFWFRXUW¶VJUDQW
RIVXPPDU\MXGJPHQWWR'HIHQGDQW
1R )RUGHWDOY*HQHUDO0RWRUV&RUS
3ODLQWLII FDQQRW UHFDOO WKH GDWH RQ ZKLFK KH ILOHG KLV ((2& FODLP
7KH MRE RI SRUWHU LV DSSDUHQWO\ D FRYHWHG SRVLWLRQ DQG HPSOR\HHV
ZLWK VHQLRULW\ RIWHQ DUH XVHG RQ D WHPSRUDU\ EDVLV WR ILOO LQ IRU YDFDWLRQLQJ
SRUWHUV )RUG¶V SRUWHU SRVLWLRQ ZDV RQ D WHPSRUDU\ EDVLV
/HH DQG %ULDQ &ROOLQV ³&ROOLQV´ ZKR ZDV DQRWKHU
VXSHUYLVRUDFWLQJLQSODFHRI5HLVHU$IWHUDQVZHULQJDVHULHV
RI TXHVWLRQV )RUG ZDV WROG WKDW KH ZDV VXVSHQGHG XQWLO
IXUWKHU QRWLFH %HIRUH OHDYLQJ WKH SODQW 3ODLQWLII ILOHG D
IRUPDOJULHYDQFHDOOHJLQJWKDWKLVSXQLVKPHQWIRUWKHILJKW
ZDV XQMXVW DQG H[FHVVLYH 2Q $SULO 'HIHQGDQW
WHUPLQDWHG3ODLQWLII¶VHPSOR\PHQWEHFDXVHRIWKHILJKW2Q
$SULO /HH VHQW )RUG D OHWWHU VWDWLQJ WKDW )RUG¶V
JULHYDQFHKDGEHHQVHWWOHGDQGWKDWKHFRXOGUHWXUQWRZRUN
6RPHWLPHLQ$SULO3ODLQWLIIILOHGDUDFHGLVFULPLQDWLRQ
FKDUJHZLWKWKH(TXDO(PSOR\PHQW2SSRUWXQLW\&RPPLVVLRQ
((2& 7KH*0SODQWUHFHLYHGQRWLFHWKDW)RUGKDGILOHG
DFKDUJHRIGLVFULPLQDWLRQZLWKWKH((2&WKURXJKDOHWWHUWR
/HHZKLFKZDVGDWHG0D\
2Q0D\3ODLQWLIIUHWXUQHGWRZRUNDQGPHWZLWK
7KLHQ /HH &ROOLQV %LOO 6FKDQXHO SUHVLGHQW RI WKH ORFDO
XQLRQDQGDQXQLGHQWLILHGPHPEHURI'HIHQGDQW¶VSHUVRQQHO
GHSDUWPHQW)RUGZDVLQIRUPHGWKDWKHPXVWVWD\DZD\IURP
.LQJDQG0LOOLRQFRXOGQRWJRLQWRKLVIRUPHUZRUNDUHDDQG
ZRXOGEHSODFHGDWGLVFLSOLQDU\OHYHOILYHRQHOHYHOEHORZ
WHUPLQDWLRQ7KHXQLGHQWLILHGSHUVRQDOOHJHGO\WROG)RUGWKDW
³LI>KH@VQHH]HG>KH@ZRXOGEHILUHG´$IWHUWKHPHHWLQJ)RUG
EHJDQDGLIIHUHQWLQVSHFWLRQMRELQ'HSDUWPHQWDQGZRUNHG
WKHUH IRU DERXW RQH ZHHN 3ODLQWLII WKHQ YROXQWDULO\
WUDQVIHUUHGLQWRD³SRUWHU´SRVLWLRQLQ'HSDUWPHQWZKHUH
KHZDVUHVSRQVLEOHIRUFOHDQLQJVHYHUDODUHDVRIWKHSODQW
$VDSRUWHU)RUGZDVUHTXLUHGWRPRSGXVWYDFXXPDQG
FOHDQ DPRQJ RWKHU WKLQJV HLJKW EDWKURRPV )RUG VRRQ
FRPSODLQHG WR KLV +LVSDQLF VXSHUYLVRU .HOO\ %ULFLQR
³%ULFLQR´ WKDWWKHMRE³ZDVWRRPXFKZRUN´)RUGFODLPV
WKDW*0PDQDJHPHQWLQVWUXFWHG%ULFLQRWR³JLYH>KLP@DKDUG
WLPH´DQGEDVHVWKLVFRQWHQWLRQRQ%ULFLQR¶VFRPPHQWWKDW
³WKH\WROGPHDERXW\RX´

-- 5 of 10 --

)RUGHWDOY*HQHUDO0RWRUV&RUS 1R
$IWHU KHDULQJ )RUG¶V FRPSODLQW %ULFLQR DQG DQRWKHU
VXSHUYLVRU0DUW\)RUWLHUSXUSRUWHGWRGHFUHDVHKLVZRUNE\
DOORZLQJ)RUGWRFOHDQRQO\VL[UDWKHUWKDQHLJKWEDWKURRPV
%XW)RUGZDVLQVWUXFWHGWRDOVRZLSHGRZQWKHVWDLQOHVVVWHHO
LQWKHVL[EDWKURRPVLIKHKDGWLPHZKLFKKHGLGQRWKDYHWR
GRSUHYLRXVO\3ODLQWLIIIHOWWKDWWKHUHZDVQRQHWFKDQJHLQ
KLVZRUNORDGDQGLIDQ\WKLQJKLVZRUNEHFDPHHYHQPRUH
GLIILFXOWDVDUHVXOWRIWKHVHFKDQJHV)RUGFODLPVWKDWKHKDG
PRUH ZRUN WKDQ DQ\ RI WKH RWKHU SRUWHUV DV D UHVXOW RI D
GLUHFWLYH IURP PDQDJHPHQW DV SXQLVKPHQW IRU KLV ((2&
FODLP
2Q2FWREHU)RUGUHWXUQHGWR'HSDUWPHQWXQGHU
WKHVXSHUYLVLRQRI5HLVHUEHFDXVHWKHUHZDVQRQHHGIRUKLV
FRQWLQXLQJWHPSRUDU\SRUWHUDVVLVWDQFH3ODLQWLIIZDVWKHQ
JLYHQDSRVLWLRQLQ³GULYHRII´ZKLFKLQYROYHGLQVSHFWLQJWKH
YHKLFOHVIRUYLVLEOHLPSHUIHFWLRQVFKHFNLQJWKHIOXLGOHYHOV
PDNLQJ IXUWKHU YLVXDO LQVSHFWLRQV XQGHU WKH KRRG DQG
SHUIRUPLQJ PLQRU HOHFWULFDO WHVWLQJ 2QFH WKDW ZRUN ZDV
FRPSOHWHGLQIRUPDWLRQDERXWWKHYHKLFOHZRXOGEHHQWHUHG
LQWRDFRPSXWHUDQGFDUVZLWKSUREOHPVZRXOGEHWDNHQWRWKH
DSSURSULDWHUHSDLUDUHDZKLOHWKRVHGHHPHGILWZRXOGEHWDNHQ
WRWKHVKLSSLQJDUHD)RUGKDGGLIILFXOW\LQWKLVQHZSRVLWLRQ
IURP WKH EHJLQQLQJ $V KH ZDV EHLQJ WUDLQHG E\ 7KHOPD
:LOOLDPV ³:LOOLDPV´ KHIRXQGWKDW³WKHUHZDVDORWRIVWXII
WRUHPHPEHU´DQGKHIHOOEHKLQGTXLFNO\)RUGIHOWWKDWWKHUH
ZDVQRWHQRXJKWLPHIRUKLPWRSHUIRUPDOORIWKHQHFHVVDU\
WDVNVDQGHQWHUWKHLQIRUPDWLRQLQWRWKHFRPSXWHU:KHQKH
IHOOEHKLQGFDUVZRXOGEXPSLQWRHDFKRWKHUDVWKH\FDPHRII
RIWKHOLQH:LOOLDPVUHWXUQHGRQVHYHUDORFFDVLRQVWRKHOS
KLP DQG 5HLVHU LQVWUXFWHG 0LNH 5LWWHU ³5LWWHU´ WR DVVLVW
)RUG ZKHQ KH ³JRW LQWR D KROH´ )RUG FODLPV WKDW 5LWWHU
KHOSHGKLPIRUDZKLOHEXWWKHQVWRSSHG
3ODLQWLIIFRQWHQGVWKDW5HLVHUWROG7KLHQWKDWLIWKHYHKLFOHV
NHSWEXPSLQJLQWRHDFKRWKHU)RUGZRXOGEHILUHG7KLHQ
PHWZLWK5HLVHUDQG)RUGDQG3ODLQWLIIUHTXHVWHGDUHGXFWLRQ
LQKLVZRUNORDG)RUGFODLPVWKDW5HLVHUUHIXVHGWKLVUHTXHVW
DQGVWDWHGWKDW:LOOLDPVKDGEHHQDEOHWRSHUIRUPWKHVDPH
DPRXQWRIZRUN3ODLQWLIIWKHQILOHGDJULHYDQFHFODLPLQJWKDW
1R )RUGHWDOY*HQHUDO0RWRUV&RUS
8QGHU .HQWXFN\ ODZ D SODLQWLII DOOHJLQJ LQWHQWLRQDO
LQIOLFWLRQ RI HPRWLRQDO GLVWUHVV PXVW HVWDEOLVK WKDW WKH
ZURQJGRHU¶V FRQGXFW ZDV LQWHQWLRQDO RU UHFNOHVV WKH
FRQGXFW ZDV VR RXWUDJHRXV DQG LQWROHUDEOH DV WR RIIHQG
JHQHUDOO\ DFFHSWHG VWDQGDUGV RI PRUDOLW\ DQG GHFHQF\
WKHUHLVDFDXVDOFRQQHFWLRQEHWZHHQWKHFRQGXFWDQGWKH
HPRWLRQDOGLVWUHVVDQG WKHHPRWLRQDOGLVWUHVVKDVEHHQ
VHYHUH.URJHU&RY:LOOJUXEHU6:G .\
,QWKHPDWWHUVXEMXGLFHWKHGLVWULFWFRXUWZDVFRUUHFW
LQUXOLQJWKDW3ODLQWLIIFRXOGQRWVDWLVI\WKLVWHVW)RUGPD\EH
DEOH WR HVWDEOLVK WKDW *0¶V FRQGXFW ZDV LQWHQWLRQDO RU
UHFNOHVV EXW FDQQRW FODLP FUHGLEO\ WKDW DQ LQFUHDVHG
ZRUNORDG KHLJKWHQHG VFUXWLQ\ DQG FRQVWUXFWLYH GLVFKDUJH
ZDV VR RXWUDJHRXV DQG LQWROHUDEOH DV WR RIIHQG JHQHUDOO\
DFFHSWHGVWDQGDUGVRIPRUDOLW\DQGGHFHQF\)RUGDOVRKDV
QRWGHPRQVWUDWHGWKDWKLVHPRWLRQDOGLVWUHVVKDVEHHQVHYHUH
+HGRHVQRWIRULQVWDQFHFODLPWKDWKHQHHGHGFRXQVHOLQJRU
RWKHUWUHDWPHQWDVDUHVXOWRI'HIHQGDQW¶VDFWLRQV)RUGKDV
RIIHUHGQRHYLGHQFHWRVXSSRUWKLVFRQFOXVRU\DOOHJDWLRQVWKDW
KLVHPRWLRQDOGLVWUHVVKDVEHHQVHYHUH
7KXV WKH &RXUW $)),506 WKH GLVWULFW FRXUW¶V JUDQW RI
VXPPDU\ MXGJPHQW WR 'HIHQGDQW RQ 3ODLQWLII¶V LQWHQWLRQDO
LQIOLFWLRQRIHPRWLRQDOGLVWUHVVFODLP
93/$,17,))¶6/2662)0$5,7$/
&216257,80&/$,0
3ODLQWLII0DU\)RUG*HRUJH)RUG¶VZLIHDVVHUWVDFODLPIRU
ORVV RI PDULWDO FRQVRUWLXP 6KH WHVWLILHG WKDW KHU OLIH ZDV
XSVHWE\WKHVWUHVVWKDWKHUKXVEDQGZDVIRUFHGWRHQGXUHGXH
WR'HIHQGDQW¶VUHWDOLDWLRQ0UV)RUGVWDWHGWKDW³ZKHQKH¶V
VWUHVVHGDQGZKHQKH¶VXSVHW\RXNQRZ,¶P²,¶PXSVHW
WRREHFDXVH,¶PZRUULHGDERXWKLP´'HIHQGDQWDUJXHVWKDW
0UV)RUGFDQQRWUHFRYHUEHFDXVHVKHKDVVXIIHUHGQRORVVRI
FRQVRUWLXPLQWKLVFDVH
,Q.HQWXFN\ORVVRIFRQVRUWLXPLVJRYHUQHGE\VWDWXWH
$VXVHGLQWKLVVHFWLRQ³FRQVRUWLXP´PHDQVWKHULJKW
WRWKHVHUYLFHVDVVLVWDQFHDLGVRFLHW\FRPSDQLRQVKLS

-- 6 of 10 --

)RUGHWDOY*HQHUDO0RWRUV&RUS 1R
,QWHUHVWLQJO\ 3ODLQWLII FRQWHQGV WKDW %ULFLQR FRPPHQWHG WKDW ³WKH\
WROG PH DERXW \RX´ ² DQ LQGLFDWLRQ WKDW *0 PDQDJHPHQW PD\ KDYH
VXJJHVWHG WKDW )RUG¶V ZRUN DV D SRUWHU EH PDGH PRUH GLIILFXOW WKDQ
QRUPDO
DIWHU5HLVHUUHVXPHGKLVVXSHUYLVLRQRI)RUGLQ'HSDUWPHQW
3UHYLRXVO\)RUGZDVXQGHU%ULFLQR¶VVXSHUYLVLRQDVD
SRUWHU5HLVHUZDVDZDUHWKDW)RUGKDGORQJFRPSODLQHGRI
DUDFLDOO\KRVWLOHZRUNSODFHDQGNQHZWKDW3ODLQWLIIKDGILOHG
DFRPSODLQWZLWKWKH((2&$WULHURIIDFWFRXOGLPSXWHD
UHWDOLDWRU\PRWLYHWR5HLVHULQDVPXFKDVKHVXSHUYLVHG)RUG
DWWKHWLPHRIWKH((2&ILOLQJDQGGLGQRWKLQJWRGHIXVHWKH
UDFLDOWHQVLRQLQ'HSDUWPHQWWKDWOHGWR)RUG¶VVXVSHQVLRQ
2QFHXQGHU5HLVHU¶VVXSHUYLVLRQDJDLQ)RUGFODLPVWKDWKLV
ZRUNORDG LQFUHDVHG WKDW KH ZDV VXEMHFWHG WR KHLJKWHQHG
VFUXWLQ\DQGWKDWKHZDVWKUHDWHQHGZLWKWHUPLQDWLRQLIKLV
VWUXJJOHVDWWKHGULYHRIIFRQWLQXHG6XFKIDFWVDUHHQRXJKWR
VKRZDFDXVDOFRQQHFWLRQIRUSXUSRVHVRIDSULPDIDFLHFDVH
:KHQYLHZHGLQWKHOLJKWPRVWIDYRUDEOHWR3ODLQWLIIWKH
HYLGHQFHDQGUHDVRQDEOHLQIHUHQFHVGUDZQWKHUHIURPVXSSRUW
3ODLQWLII¶V FODLP RI UHWDOLDWLRQ 7KH &RXUW WKHUHIRUH
5(9(56(6 DQG 5(0$1'6 WKH GLVWULFW FRXUW¶V JUDQW RI
VXPPDU\ MXGJPHQW WR 'HIHQGDQW RQ 3ODLQWLII¶V FODLP RI
UHWDOLDWLRQXQGHU7LWOH9,,DQGWKH.HQWXFN\&LYLO5LJKWV$FW
,93/$,17,))¶6,17(17,21$/,1)/,&7,212)
(027,21$/',675(66$1'2875$*(286
&21'8&7&/$,0
3ODLQWLIIDUJXHVWKDWIHGHUDOFDVHODZSHUPLWVDQDFWLRQIRU
LQWHQWLRQDO LQIOLFWLRQ RI HPRWLRQDO GLVWUHVV ZKHQ WKH
XQGHUO\LQJ DOOHJDWLRQV LQYROYH UHWDOLDWRU\ GLVFKDUJH )RUG
DVVHUWVWKDW'HIHQGDQW¶VUHWDOLDWRU\FRQGXFWZDVLQWHQWLRQDO
DQG JDYH ULVH WR RXWUDJHRXV FRQGXFW OLDELOLW\ 'HIHQGDQW
PDLQWDLQV WKDW HYHQ LI LW UHWDOLDWHG DJDLQVW )RUG 3ODLQWLII
FDQQRW DUJXH WKDW VXFK UHWDOLDWLRQ URVH WR WKH OHYHO RI
RXWUDJHRXVFRQGXFW
1R )RUGHWDOY*HQHUDO0RWRUV&RUS
KHQHHGHGHLWKHUPRUHKHOSRUOHVVZRUNLQWKLVSRVLWLRQ)RUG
EHOLHYHGWKDWKHZDVEHLQJVHWXSWRIDLOVRWKDW*0FRXOGILUH
KLPDQGMHRSDUGL]HKLVSHQVLRQ
2Q 1RYHPEHU )RUG WRRN VLFN OHDYH EDVHG RQ
LOOQHVVGXHWR³SUHVVXUHIURPPDQDJHPHQW´3ODLQWLIIFODLPV
WKDW³PDQDJHPHQWZRXOGWDNHWXUQV>@VHQGLQJVXSHUYLVRUV
GRZQVWDQGLQJRYHU>KLP@DQGWU\LQJWRVHHLI>KH@ZRXOG
PDNHDPLVWDNHRUVHH>@LIWKHFDUVUDQWRJHWKHURU>LI@WKH\
FRXOGILQGVRPHUHDVRQWRWHUPLQDWH>KLP@´)RUGFRQWHQGV
WKDWWKHVWUHVVRIEHLQJPRQLWRUHGE\PDQDJHPHQWFDXVHGKLJK
EORRGSUHVVXUHDQGQXPEQHVVLQKLVDUP3ODLQWLIIPDLQWDLQV
WKDWKHQHYHUKDGEORRGSUHVVXUHRUUHODWHGSUREOHPVEHIRUH
FRPLQJ XQGHU WKH HQKDQFHG VFUXWLQ\ RI 5HLVHU DQG
PDQDJHPHQW
2Q 'HFHPEHU )RUG UHWXUQHG WR WKH GULYHRII
SRVLWLRQEXWWKHZRUNORDGZDVWKHVDPHLIQRWZRUVH5HLVHU
DVVLJQHG0LNH7DSSHQWRKHOS)RUGZKHQKHKDGWURXEOHEXW
3ODLQWLIIVWLOOIHOOEHKLQGLQKLVDVVLJQPHQW2Q'HFHPEHU
)RUGGHFLGHGWRUHWLUHUDWKHUWKDQULVNWHUPLQDWLRQDQG
FROOHFWIXOOSHQVLRQDQGEHQHILWVEDVHGXSRQKLVPRUHWKDQ
WKLUW\\HDUVRIVHUYLFHWR*0
3ODLQWLII)RUGDQGKLVZLIHILOHGVXLWDJDLQVW'HIHQGDQWRQ
0DUFK7KHLU$PHQGHG&RPSODLQWILOHGRQ$SULO
VRXJKWFRPSHQVDWRU\DQGSXQLWLYHGDPDJHVEDVHGXSRQ
DOOHJDWLRQV RI LQWHQWLRQDO LQIOLFWLRQ RI HPRWLRQDO GLVWUHVV
DQGRU RXWUDJHRXV FRQGXFW ORVV RI FRQVRUWLXP ZURQJIXO
GLVFKDUJHDQGYLRODWLRQVRI7LWOH9,,RIWKH&LYLO5LJKWV$FW
RIDVDPHQGHG86&††HWVHT WKH
.HQWXFN\ &LYLO 5LJKWV $FW .56 † DQG 86&
† 2Q 'HFHPEHU WKH GLVWULFW FRXUW JUDQWHG
'HIHQGDQW¶V PRWLRQ IRU VXPPDU\ MXGJPHQW RQ DOO FRXQWV
3ODLQWLIIVILOHGWKLVWLPHO\DSSHDORQ-DQXDU\ZKLFK
UDLVHVWKHIROORZLQJLVVXHIRURXUFRQVLGHUDWLRQZKHWKHUWKH
GLVWULFWFRXUWHUUHGE\IDLOLQJWRGUDZUHDVRQDEOHLQIHUHQFHVLQ
IDYRURI3ODLQWLIIVDQGJUDQWLQJVXPPDU\MXGJPHQWLQIDYRURI
'HIHQGDQW

-- 7 of 10 --

)RUGHWDOY*HQHUDO0RWRUV&RUS 1R
,,67$1'$5'2)5(9,(:
7KLVFRXUWUHYLHZVGHQRYRD GLVWULFWFRXUW¶VGHFLVLRQWR
JUDQWVXPPDU\MXGJPHQW3HFNY%ULGJHSRUW0DFKV,QF
)G WK&LU 6XPPDU\MXGJPHQWLV
DSSURSULDWH ³>L@I WKH SOHDGLQJV GHSRVLWLRQV DQVZHUV WR
LQWHUURJDWRULHV DQG DGPLVVLRQV RQ ILOH WRJHWKHU ZLWK WKH
DIILGDYLWVLIDQ\VKRZWKHUHLVQRJHQXLQHLVVXHDVWRDQ\
PDWHULDOIDFWDQGWKHPRYLQJSDUW\LVHQWLWOHGWRMXGJPHQWDV
DPDWWHURIODZ´)(' 5 &,9 3 F 7KHPRYDQWKDVWKH
EXUGHQ RI HVWDEOLVKLQJ WKDW WKHUH DUH QR JHQXLQH LVVXHV RI
PDWHULDOIDFWZKLFKPD\EHDFFRPSOLVKHGE\GHPRQVWUDWLQJ
WKDW WKH QRQPRYLQJ SDUW\ ODFNV HYLGHQFH WR VXSSRUW DQ
HVVHQWLDOHOHPHQWRILWVFDVH&HORWH[&RUSY&DWUHWW
86 %DUQKDUWY3LFNUHO6FKDHIIHU
(EHOLQJ &R )G WK &LU ,Q
UHVSRQVH WKH QRQPRYLQJ SDUW\ PXVW SUHVHQW ³VLJQLILFDQW
SUREDWLYHHYLGHQFH´WRVKRZWKDW³WKHUHLV>PRUHWKDQ@VRPH
PHWDSK\VLFDOGRXEWDVWRWKHPDWHULDOIDFWV´0RRUHY3KLOLS
0RUULV&RV)G WK&LU ³>6@XPPDU\
MXGJPHQWZLOOQRWOLHLIWKHGLVSXWHLVDERXWDPDWHULDOIDFWWKDW
LVμJHQXLQH¶WKDWLVLIWKHHYLGHQFHLVVXFKWKDWDUHDVRQDEOH
MXU\ FRXOG UHWXUQ D YHUGLFW IRU WKH QRQPRYLQJ SDUW\´
$QGHUVRQY/LEHUW\/REE\,QF86
VHHDOVR0DWVXVKLWD(OHF,QGXV&RY=HQLWK5DGLR&RUS
86 FRQFOXGLQJWKDWVXPPDU\MXGJPHQW
LVDSSURSULDWHZKHQWKHHYLGHQFHFRXOGQRWOHDGWKHWULHURI
IDFWWRILQGIRUWKHQRQPRYLQJSDUW\
,QHYDOXDWLQJDPRWLRQIRUVXPPDU\MXGJPHQWWKHHYLGHQFH
PXVWEHYLHZHGLQWKHOLJKWPRVWIDYRUDEOHWRWKHQRQPRYLQJ
SDUW\$GLFNHVY6+.UHVV &R86
,QUHVSRQGLQJWRDPRWLRQIRUVXPPDU\MXGJPHQWKRZHYHU
WKHQRQPRYLQJSDUW\³PD\QRWUHVWXSRQLWVPHUHDOOHJDWLRQV
EXWPXVWVHWIRUWKVSHFLILFIDFWVVKRZLQJWKDWWKHUHLV
DJHQXLQHLVVXHIRUWULDO´)(' 5 &,9 3 H VHH&HORWH[
86DW6HDUF\Y&LW\RI'D\WRQ)G
WK&LU )XUWKHUPRUHWKHH[LVWHQFHRIDPHUHVFLQWLOOD
RIHYLGHQFHLQVXSSRUWRIWKHQRQPRYLQJSDUW\¶VSRVLWLRQZLOO
QRWEHVXIILFLHQWWKHUHPXVWEHHYLGHQFHRQZKLFKWKHMXU\
1R )RUGHWDOY*HQHUDO0RWRUV&RUS
SRVLWLRQ$FFRUGLQJO\LWZDVQRWXQUHDVRQDEOHIRU3ODLQWLII
WRIHDUEHLQJILUHGDQGORVLQJKLVSHQVLRQ:KLOH3ODLQWLIIKDV
QRWRIIHUHGDQ\HYLGHQFHWRSURYHWKDW'HIHQGDQWLQWHQGHGWKH
LPSDFWRILWVFRQGXFWRQ)RUGKHKDVSURGXFHGHYLGHQFHWKDW
*0¶VPDQDJHPHQWPD\KDYHUHWDOLDWHGDJDLQVWKLPDIWHUKLV
((2&FRPSODLQWZDVILOHG:KHQ)RUGZDVEURXJKWEDFNWR
ZRUN RQ 0D\ IROORZLQJ KLV VXVSHQVLRQ KH ZDV
SODFHG DW GLVFLSOLQDU\ OHYHO ILYH MXVW RQH OHYHO VKRUW RI
WHUPLQDWLRQ 7KH XQLGHQWLILHG SHUVRQQHO HPSOR\HH ZLWK
ZKRP KH PHW WKDW GD\ DOOHJHGO\ WROG )RUG WKDW ³LI >KH@
VQHH]HG>KH@ZRXOGEHILUHG´)RUGDOVRFODLPVWKDWKHZDV
WROGWKDWKHZRXOGEHILUHGLIWKHYHKLFOHVNHSWEXPSLQJLQWR
HDFKRWKHUDWWKHGULYHRII'HIHQGDQWWKHUHIRUHVKRXOGKDYH
UHDVRQDEO\IRUHVHHQWKDWLWVFRQGXFWZRXOGOHDG3ODLQWLIIWR
SUHVHUYH KLV SHQVLRQ E\ UHVLJQLQJ UDWKHU WKDQ ULVNLQJ
LPPLQHQWWHUPLQDWLRQ
3ODLQWLII¶V LQFUHDVHG ZRUNORDG KHLJKWHQHG VFUXWLQ\ DQG
FRQVWUXFWLYH GLVFKDUJH ZDV QRW GH PLQLPLV HPSOR\PHQW
DFWLRQ 5DWKHU WDNHQ WRJHWKHU LW FRQVWLWXWHG PDWHULDOO\
DGYHUVH HPSOR\PHQW DFWLRQ VXIILFLHQW WR VDWLVI\ WKH WKLUG
SURQJRIWKHSULPDIDFLHWHVW
3ODLQWLIIKDVDOVRSURGXFHGHYLGHQFHRIDFDXVDOFRQQHFWLRQ
EHWZHHQKLV((2&FRPSODLQWDQGWKLVDGYHUVHHPSOR\PHQW
DFWLRQ )RUG FODLPV WKDW WKH FDXVDO FRQQHFWLRQ LV VKRZQ
EHFDXVHKLVDGYHUVHWUHDWPHQWEHJDQDOPRVWDVVRRQDVKHZDV
SODFHGXQGHU5HLVHU¶VVXSHUYLVLRQDWWKHGULYHRII'HIHQGDQW
FRQWHQGVWKDWWKHILYHPRQWKVEHWZHHQ)RUG¶V((2&ILOLQJ
DQG KLV UHWXUQ WR 'HSDUWPHQW GLVSURYHV D FDXVDO
FRQQHFWLRQDQGWKHGLVWULFWFRXUWDJUHHG$OWKRXJK³WHPSRUDO
SUR[LPLW\DORQHZLOOQRWVXSSRUWDQLQIHUHQFHLQWKHIDFHRI
FRPSHOOLQJHYLGHQFH´WRWKHFRQWUDU\³WKHSUR[LPLW\LQWLPH
EHWZHHQSURWHFWHGDFWLYLW\DQGDGYHUVHHPSOR\PHQWDFWLRQ
PD\JLYHULVHWRDQLQIHUHQFHRIDFDXVDOFRQQHFWLRQ´0RRQ
Y7UDQVSRUW'ULYHUV,QF)G WK&LU
FLWDWLRQVRPLWWHG
3ODLQWLII¶V PHDVXUH RI WLPH LV PRUH DSSURSULDWH LQ WKLV
VLWXDWLRQ DV WKH DGYHUVH DFWLRQ EHJDQ DOPRVW LPPHGLDWHO\

-- 8 of 10 --

)RUGHWDOY*HQHUDO0RWRUV&RUS 1R
FRPSODLQHGRIKDYLQJWRRPXFKZRUNXQWLODIWHUKHILOHGKLV
((2&FRPSODLQW0RUHRYHUWKHIDFWWKDW7KHOPD:LOOLDPV
ZDVDEOHWRGRWKLVMRELVLPPDWHULDODVVKHZDVD\RXQJHU
HPSOR\HHZKRPD\KDYHOHDUQHGWKHSDUWLFXODUGHPDQGVRI
WKHGULYHRIIPRUHHDVLO\
6HFRQGWKHUHFRUGVXSSRUWV3ODLQWLII¶VFRQWHQWLRQWKDWKH
ZDV VXEMHFW WR D UDFLDOO\ KRVWLOH ZRUNSODFH LQ ZKLFK KLV
DFWLRQVLQWKHGULYHRIIDUHDZHUHVFUXWLQL]HGPRUHFORVHO\
WKDQ WKRVH RI KLV FRZRUNHUV DQG WKDW 'HIHQGDQW¶V
PDQDJHPHQW DWWHPSWHG WR PDNH KLV OLIH DV DQ HPSOR\HH
XQSOHDVDQW:KLOHVRPHOHYHORIVXSHUYLVLRQIRUDVWUXJJOLQJ
HPSOR\HHLVZDUUDQWHG)RUGFODLPVWKDWWKHVFUXWLQ\DIWHUKLV
((2&ILOLQJZDVPRUHLQWHQVHWKDQKLVSULRUSHUFHSWLRQRI
VXSHUYLVLRQ LQ WKDW DUHD 'HIHQGDQW PD\ ZHOO KDYH EHHQ
ZDWFKLQJKLPPRUHFORVHO\WKDQQRUPDOWRILQGDUHDVRQWR
WHUPLQDWHKLPLQUHWDOLDWLRQIRUKLV((2&ILOLQJ
)LQDOO\ WKH UHFRUG FRQWDLQV VRPH HYLGHQFH WR VXSSRUW
3ODLQWLII¶V FODLP WKDW KH ZDV FRQVWUXFWLYHO\ GLVFKDUJHG $
ILQGLQJ RI FRQVWUXFWLYH GLVFKDUJH ³UHTXLUHV DQ LQTXLU\ LQWR
ERWKWKHREMHFWLYHIHHOLQJVRIDQHPSOR\HHDQGWKHLQWHQWRI
WKH HPSOR\HU $ FRQVWUXFWLYH GLVFKDUJH H[LVWV LI ZRUNLQJ
FRQGLWLRQVZRXOGKDYHEHHQVRGLIILFXOWRUXQSOHDVDQWWKDWD
UHDVRQDEOHSHUVRQLQWKHHPSOR\HH¶VVKRHVZRXOGKDYHIHOW
FRPSHOOHGWRUHVLJQ´<DWHVY$YFR&RUS)G
WK&LU FLWDWLRQVRPLWWHG $SODLQWLIIPXVW
VKRZWKDWWKHHPSOR\HULQWHQGHGDQGFRXOGUHDVRQDEO\KDYH
IRUHVHHQWKHLPSDFWRILWVFRQGXFWRQWKHHPSOR\HH,G
'HIHQGDQWFODLPVWKDW)RUG¶VGLIILFXOW\LQWKHGULYHRIIDUHD
ZDVVLPSO\3ODLQWLII¶VPLVIRUWXQH%XWDV3ODLQWLIISHUIRUPHG
VXFFHVVIXOO\LQDYDULHW\RIMREVDW*0IRUPRUHWKDQWKLUW\
\HDUV WKH HYLGHQFH UDLVHV DW OHDVW WKH SRVVLELOLW\ WKDW )RUG
ZDV LQGHHG VHW XS WR IDLO LQ WKH GULYHRII DUHD 3ODLQWLII
FRQWHQGV WKDW 5HLVHU WROG 7KLHQ WKDW LI )RUG¶V WURXEOH
SHUVLVWHGDQGWKHYHKLFOHVNHSWEXPSLQJLQWRHDFKRWKHUDWWKH
GULYHRII)RUGZRXOGEHILUHG)RUG¶VUHTXHVWIRUDUHGXFWLRQ
LQKLVZRUNORDGZDVUHMHFWHGIRUFLQJKLPWRILOHDJULHYDQFH
FODLPLQJWKDWKHQHHGHGHLWKHUPRUHKHOSRUOHVVZRUNLQWKLV
1R )RUGHWDOY*HQHUDO0RWRUV&RUS
FRXOGUHDVRQDEO\ILQGIRUWKHQRQPRYLQJSDUW\$QGHUVRQ
86DWVHH&RSHODQGY0DFKXOLV)G
WK&LU
,,,3/$,17,))¶65(7$/,$7,21&/$,0
3ODLQWLIIDUJXHVWKDWWKHGLVWULFWFRXUWHUUHGLQLWVWUHDWPHQW
RIKLVUHWDOLDWLRQFODLPIRUWZRUHDVRQV)LUVWKHFRQWHQGV
WKDWWKHFRXUWIDLOHGWRGUDZUHDVRQDEOHLQIHUHQFHVLQKLVIDYRU
E\ FRQFOXGLQJ WKDW )RUG VXIIHUHG QR DGYHUVH HPSOR\PHQW
DFWLRQ)RUGDUJXHVWKDWKHZDVJLYHQDGGLWLRQDOZRUNDQG
ZDVVXEMHFWWRLQFUHDVHGPDQDJHULDOVFUXWLQ\DIWHUKHILOHGKLV
((2& FRPSODLQW DQG UHWXUQHG WR ZRUN RQ 0D\
ZKLFK LV WDQWDPRXQW WR DQ DGYHUVH HPSOR\PHQW DFWLRQ
$OWKRXJK)RUGWHVWLILHGWKDWKHKDGPRUHWKDQKLVVKDUHRI
ZRUNEHIRUHILOLQJWKHFRPSODLQWKHDOVRLQGLFDWHGWKDWKHZDV
JLYHQ WRR PXFK ZRUN DIWHU UHVXPLQJ KLV MRE 7KXV KH
PDLQWDLQVWKDWWKHOHYHORIZRUNZDVQRWWKHVDPHEHIRUHDQG
DIWHUKLVFRPSODLQWZDV ILOHGEXWWKDWLWLQFUHDVHGDIWHUKH
DOOHJHGUDFLDOGLVFULPLQDWLRQ+HFODLPVWKDWKLVUHWLUHPHQW
ZDVLQIDFWDFRQVWUXFWLYHGLVFKDUJHDQGKHQFHDQDGYHUVH
HPSOR\PHQWDFWLRQ6HFRQG3ODLQWLIIDVVHUWVWKDWWKHFRXUW
IDLOHG WR GUDZ UHDVRQDEOH LQIHUHQFHV LQ KLV IDYRU E\
FRQFOXGLQJ WKDW WKHUH ZDV QR FDXVDO FRQQHFWLRQ EHWZHHQ
)RUG¶V((2&ILOLQJDQGKLVDGYHUVHWUHDWPHQWE\'HIHQGDQW
)RUGFODLPVWKDWWKHHYLGHQFHVXSSRUWVDFDXVDOFRQQHFWLRQ
EHWZHHQ KLV FRPSODLQW DQG WKH LQFUHDVHG ZRUNORDG DQG
VXSHUYLVLRQWKDWKHH[SHULHQFHGZKLOHZRUNLQJIRU5HLVHU
'HIHQGDQW DUJXHV WKDW )RUG GLG QRW VXIIHU DQ DGYHUVH
HPSOR\PHQW DFWLRQ RQFH KH UHVXPHG HPSOR\PHQW LQ
'HSDUWPHQW)LUVW'HIHQGDQWPDLQWDLQVWKDWWKHHYLGHQFH
GRHV QRW VXSSRUW )RUG¶V FRQWHQWLRQ WKDW KH ZDV JLYHQ DQ
LQFUHDVHGZRUNORDGXQGHU5HLVHU¶VVXSHUYLVLRQ5DWKHU*0
DVVHUWVWKDW)RUGVLPSO\ODQGHGWKURXJKQRUPDOFRQWUDFWXDO
SURFHVVHV LQ D MRE WKDW KH FRXOG QRW KDQGOH 6HFRQG
'HIHQGDQWFODLPVWKDWWKHUHZDVQRWKLQJXQXVXDODERXWWKH
OHYHORIPDQDJHULDOVFUXWLQ\WKDW)RUGUHFHLYHGZKLOHZRUNLQJ
LQWKHGULYHRIIDUHD*0SRLQWVRXWWKDW)RUGDGPLWWHGWKDW
KH KDG SUREOHPV LQ WKH SRVLWLRQ IURP WKH EHJLQQLQJ DQG

-- 9 of 10 --

)RUGHWDOY*HQHUDO0RWRUV&RUS 1R
3ODLQWLII¶V UHWDOLDWLRQ FODLP XQGHU WKH .HQWXFN\ &LYLO 5LJKWV $FW
³.&5$´ LV VXEMHFW WR WKH VDPH DQDO\VLV ³7KH ODQJXDJH RI WKH .&5$
JHQHUDOO\ WUDFNV WKH ODQJXDJH RI 7LWOH 9,, DQG WKXV μVKRXOG EH LQWHUSUHWHG
FRQVRQDQW ZLWK IHGHUDO LQWHUSUHWDWLRQ¶´ 0RUULV )G DW TXRWLQJ
0H\HUV Y &KDSPDQ 3ULQWLQJ &R ,QF 6:G .\
DVVHUWV WKDW WKHUH LV QRWKLQJ DGYHUVH DERXW VXSHUYLVRUV
ZDWFKLQJDQHPSOR\HHZKRKDVWURXEOHSHUIRUPLQJKLVMRE
'HIHQGDQW DOVR GHQLHV WKDW )RUG ZDV FRQVWUXFWLYHO\
GLVFKDUJHGDVKLVZRUNLQJFRQGLWLRQVZHUHQRWLQWROHUDEOH
DQG5HLVHUDWWHPSWHGWRKHOSKLPGRWKHMREDQGSUHYHQWKLP
IURP IDLOLQJ )LQDOO\ 'HIHQGDQW DUJXHV WKDW WKHUH ZDV QR
FDXVDO OLQN EHWZHHQ DQ\ DGYHUVH HPSOR\PHQW DFWLRQ DQG
)RUG¶V((2&FRPSODLQW*0FODLPVWKDWWKHPRUHWKDQILYH
PRQWKV EHWZHHQ WKH ((2& ILOLQJ DQG )RUG¶V UHWXUQ WR
'HSDUWPHQW LV LQVXIILFLHQW WR GHPRQVWUDWH D FDXVDO
FRQQHFWLRQ
7R PDNH D SULPD IDFLH FDVH RI 7LWOH 9,, UHWDOLDWLRQ D
SODLQWLIIPXVWSURYH KHHQJDJHGLQDFWLYLW\SURWHFWHGE\
7LWOH9,, WKLVH[HUFLVHRISURWHFWHGULJKWVZDVNQRZQWR
GHIHQGDQW GHIHQGDQWWKHUHDIWHUWRRNDGYHUVHHPSOR\PHQW
DFWLRQ DJDLQVW WKH SODLQWLII DQG WKHUH ZDV D FDXVDO
FRQQHFWLRQ EHWZHHQ WKH SURWHFWHG DFWLYLW\ DQG WKH DGYHUVH
HPSOR\PHQWDFWLRQ0RUULVY2OGKDP&RXQW\)LVFDO&RXUW
)G WK&LU FLWLQJ&DQLWLDY<HOORZ
)UHLJKW 6\V ,QF )G WK &LU FHUW
GHQLHG 86 2QFH WKH SODLQWLII KDV
HVWDEOLVKHGDSULPDIDFLHFDVHWKHEXUGHQRISURGXFWLRQRI
HYLGHQFHVKLIWVWRWKHHPSOR\HUWRDUWLFXODWHVRPHOHJLWLPDWH
QRQGLVFULPLQDWRU\ UHDVRQ IRU LWV DFWLRQV ,G DW 7KH
SODLQWLIIZKREHDUVWKHEXUGHQRISHUVXDVLRQWKURXJKRXWWKH
HQWLUH SURFHVV PXVW WKHQ GHPRQVWUDWH WKDW WKH GHIHQGDQW¶V
SURIIHUHGUHDVRQZDVIDOVH,G
,QWKHPDWWHUVXEMXGLFHWKHSDUWLHVDJUHHWKDW)RUGHQJDJHG
LQSURWHFWHGDFWLYLW\E\ILOLQJKLV((2&FRPSODLQWDQGWKDW
*0 WKURXJK WKH 0D\ OHWWHU ZDV DZDUH RI WKH
SURWHFWHGDFWLYLW\7KHSULQFLSDOGLVSXWHVDUHZKHWKHU)RUG
VXIIHUHGDQDGYHUVHHPSOR\PHQWDFWLRQDQGZKHWKHUWKHUHZDV
1R )RUGHWDOY*HQHUDO0RWRUV&RUS
DFDXVDOFRQQHFWLRQEHWZHHQWKHSURWHFWHGDFWLYLW\DQGWKH
DGYHUVHHPSOR\PHQWDFWLRQ
:LWKUHVSHFWWRWKHWKLUGHOHPHQWRIWKHSULPDIDFLHFDVH
WKHDGYHUVHHPSOR\PHQWDFWLRQPXVWEH³PDWHULDOO\DGYHUVH´
IRUWKHSODLQWLIIWRVXFFHHGRQD7LWOH9,,FODLP6HH+ROOLQV
Y$WODQWLF&R)G WK&LU .RFVLVY
0XOWL&DUH 0DQDJHPHQW ,QF )G WK &LU
7KH 6L[WK &LUFXLW KDV QRWHG WKH UHTXLUHPHQWV IRU
HVWDEOLVKLQJDPDWHULDOO\DGYHUVHHPSOR\PHQWDFWLRQ
>$@ PDWHULDOO\ DGYHUVH FKDQJH LQ WKH WHUPV DQG
FRQGLWLRQVRIHPSOR\PHQWPXVWEHPRUHGLVUXSWLYHWKDQ
D PHUH LQFRQYHQLHQFH RU DQ DOWHUDWLRQ RI MRE
UHVSRQVLELOLWLHV$PDWHULDOO\DGYHUVHFKDQJHPLJKWEH
LQGLFDWHGE\DWHUPLQDWLRQRIHPSOR\PHQWDGHPRWLRQ
HYLGHQFHG E\ D GHFUHDVH LQ ZDJH RU VDODU\ D OHVV
GLVWLQJXLVKHG WLWOH D PDWHULDO ORVV RI EHQHILWV
VLJQLILFDQWO\ GLPLQLVKHG PDWHULDO UHVSRQVLELOLWLHV RU
RWKHU LQGLFHV WKDW PLJKW EH XQLTXH WR D SDUWLFXODU
VLWXDWLRQ
+ROOLQV)GDW7KLV&RXUWKDVFRQVLVWHQWO\KHOG
WKDW GH PLQLPLV HPSOR\PHQW DFWLRQV DUH QRW PDWHULDOO\
DGYHUVH DQG WKXV QRW DFWLRQDEOH 6HH HJ %RZPDQ Y
6KDZQHH6WDWH8QLYHUVLW\)G WK&LU
,QWKLVFDVHWKHHYLGHQFHDYDLODEOHLQGLFDWHVWKDW'HIHQGDQW
PD\ZHOOKDYHWDNHQPDWHULDOO\DGYHUVHHPSOR\PHQWDFWLRQV
DJDLQVW 3ODLQWLII )LUVW WKH UHFRUG VXJJHVWV WKDW )RUG ZDV
IRUFHG WR ZRUN KDUGHU LQ 'HSDUWPHQW DIWHU KH ILOHG KLV
((2& FRPSODLQW WKDQ KH ZDV EHIRUH KH HQJDJHG LQ WKDW
SURWHFWHGDFWLYLW\7KHIDFWWKDW3ODLQWLIIFODLPHGWKDW.LQJ
DQG0LOOLRQIRUFHGKLPWRGRPRUHWKDQKLVVKDUHRIZRUN
EHIRUH KH FRPSODLQHG RI UDFLDO GLVFULPLQDWLRQ GRHV QRW
SUHFOXGH WKH SRVVLELOLW\ WKDW *0 UHWDOLDWHG DJDLQVW KLP E\
LQFUHDVLQJ KLV DOUHDG\ KHDY\ ZRUNORDG DIWHU KH ILOHG KLV
FRPSODLQW ,W LV WHOOLQJ WKDW E\ DOO DFFRXQWV 3ODLQWLII
SHUIRUPHGZHOOLQDYDULHW\RIFDSDFLWLHVDW*0IRUQHDUO\
WKLUW\\HDUVEXWRQO\IDLOHGLQWKHRQHMREWKDWKHZDVDVVLJQHG
DIWHU FRPSODLQLQJ RI UDFH GLVFULPLQDWLRQ )RUG QHYHU

-- 10 of 10 --

Continue your research in ChatGPT or Claude

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