02a0365p.06

00-4116Court of Appeals for the Sixth CircuitOct 18, 2002

Full text

7KH +RQRUDEOH 7KRPDV $ :LVHPDQ -U 8QLWHG 6WDWHV 'LVWULFW
-XGJH IRU WKH 0LGGOH 'LVWULFW RI 7HQQHVVHH 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
6$1'5$ 0$;:(// *5,)),1
3HWLWLRQHU$SSHOODQW
Y
6+,5/(< $ 52*(56:DUGHQ
5HVSRQGHQW$SSHOOHH
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW&ROXPEXV
1R²*HRUJH&6PLWK'LVWULFW-XGJH
$UJXHG6HSWHPEHU
'HFLGHGDQG)LOHG2FWREHU
%HIRUH0$57,1&KLHI&LUFXLW-XGJH0225(&LUFXLW
-XGJH:,6(0$1'LVWULFW-XGJH
BBBBBBBBBBBBBBBBB
&2816(/
$5*8('6WHSKHQ3+DUGZLFN38%/,&'()(1'(5¶6
2)),&( 2+,2 38%/,& '()(1'(5 &200,66,21
&ROXPEXV 2KLR IRU $SSHOODQW 7KHOPD 7KRPDV 3ULFH

-- 1 of 8 --

*ULIILQY5RJHUV 1R
2 ) ) ,& ( 2 ) 7 + ( $ 7 7 2 5 1 ( < *( 1 ( 5 $ /
&255(&7,216/,7,*$7,216(&7,21&ROXPEXV2KLR
IRU$SSHOOHH21%5,()6WHSKHQ3+DUGZLFN38%/,&
'()(1'(5¶6 2)),&( 2+,2 38%/,& '()(1'(5
&200,66,21 &ROXPEXV 2KLR IRU $SSHOODQW 7KHOPD
7KRPDV3ULFH2)),&(2)7+($77251(<*(1(5$/
&255(&7,216/,7,*$7,216(&7,21&ROXPEXV2KLR
IRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
.$5(1 1(/621 0225( &LUFXLW -XGJH 3HWLWLRQHU
6DQGUD0D[ZHOO*ULIILQDVWDWHSULVRQHUILOHGDSHWLWLRQIRU
KDEHDV FRUSXV UHOLHI SXUVXDQW WR 86& † RQ
$SULO ZKLFK ZDV WZR GD\V EHIRUH KHU RQH\HDU
SHULRG IRU ILOLQJ IRU VXFK UHOLHI ZDV WR H[SLUH $IWHU WKDW
SHWLWLRQZDVGLVPLVVHGZLWKRXWSUHMXGLFHEHFDXVH*ULIILQKDG
IDLOHGWRH[KDXVWVWDWHUHPHGLHV*ULIILQSHWLWLRQHGIRUVWDWH
FROODWHUDOUHOLHI+HUUHTXHVWIRUVWDWHUHOLHIZDVGLVPLVVHGRQ
6HSWHPEHUDQGRQ2FWREHUVKHRQFHDJDLQ
ILOHGKHUKDEHDVSHWLWLRQLQIHGHUDOFRXUWXQGHUWKHVDPHFDVH
QXPEHUDVKHUSUHYLRXVILOLQJ7KHGLVWULFWFRXUWVWUXFNKHU
2FWREHUSHWLWLRQRQWKHJURXQGVWKDWLWVKRXOGEHJLYHQD
QHZ FDVH QXPEHU DQG DVVLJQHG WR D QHZ MXGJH 2Q
2FWREHULWZDVDVVLJQHGWRDQHZMXGJHZKRGLVPLVVHGLW
DVWLPHEDUUHG%HFDXVHWKHUHLVLQVXIILFLHQWLQIRUPDWLRQLQ
WKHUHFRUGWRGHWHUPLQHZKHWKHU*ULIILQLVHQWLWOHGWRHTXLWDEOH
WROOLQJXQGHU3DOPHUY&DUOWRQ)G WK&LU
ZH9$&$7(DQG5(0$1'IRUIXUWKHUSURFHHGLQJVRQWKDW
LVVXH
,%$&.*5281'
,Q D WULDO MXGJH LQ 2KLR VWDWH FRXUW IRXQG 6DQGUD
0D[ZHOO*ULIILQJXLOW\RIFRPSOLFLW\WRDJJUDYDWHGPXUGHU
ZLWKVSHFLILFDWLRQVFRPSOLFLW\WRXQODZIXOSRVVHVVLRQRID
GDQJHURXVRUGQDQFHFRPSOLFLW\WRJUDQGWKHIWDQGFRPSOLFLW\
WRDJJUDYDWHGUREEHU\ZLWKDILUHDUPVSHFLILFDWLRQ*ULIILQ

-- 2 of 8 --

*ULIILQY5RJHUV 1R
SHWLWLRQ WKDW YHU\ GD\ 6R WKH YHU\ ODWHVW WKDW WKH SHWLWLRQ
FRXOG EH LQWHUSUHWHG WR KDYH EHHQ UHILOHG LV 2FWREHU
ZKLFKLVVWLOOZLWKLQWKLUW\GD\VRIWKHVWDWHFRXUWGLVPLVVDODV
3DOPHUUHTXLUHV
(YHQ LI WKH 6WDWH ZHUH FRUUHFW WKDW 2FWREHU ZHUH WKH
UHOHYDQW GDWH RI ILOLQJ *ULIILQ¶V SHWLWLRQ ZRXOG KDYH EHHQ
WLPHO\%HFDXVH5XOH % PRWLRQVDUHSDUWRI2KLR¶VGLUHFW
DSSHDO SURFHVV :KLWH Y 6FKRWWHQ )G WK
&LU FHUW GHQLHG 86 DQG EHFDXVH
86& † G SURYLGHV WKDW WKH WLPH IRU VHHNLQJ
GLUHFWUHYLHZLQFOXGHVWKHQLQHW\GD\SHULRGIRUILOLQJLQWKH
8QLWHG 6WDWHV 6XSUHPH &RXUW D SHWLWLRQ IRU D ZULW RI
FHUWLRUDULWRWKH2KLR6XSUHPH&RXUWWKHWKLUW\GD\SHULRGLQ
ZKLFK3DOPHUZRXOGUHTXLUH*ULIILQWRUHWXUQWRIHGHUDOFRXUW
ZRXOGQRWKDYHEHJXQWRUXQXQWLOQLQHW\GD\VDIWHUWKH2KLR
6XSUHPH&RXUWGLVPLVVHGKHU5XOH % DSSHDO$OWKRXJK
ZHKDYHUHMHFWHGWKHSURSRVLWLRQWKDWWROOLQJIRUWKHQLQHW\GD\
SHULRGLVDYDLODEOHXQGHU† G VHH,VKDPY5DQGOH
)G WK &LU VXEVHFWLRQ G ZKLFK
JRYHUQV GLUHFW DSSHDOV H[SOLFLWO\ LQFOXGHV WKH ³WLPH IRU
VHHNLQJ >GLUHFW 6XSUHPH &RXUW@ UHYLHZ´ 86&
† G 6HH DOVR %URQDXJK )G DW Q
PDNLQJ FOHDU WKDW ,VKDP¶V KROGLQJ ZDV OLPLWHG WR
† G $FFRUGLQJO\ WKH 6WDWH¶V FRQWHQWLRQ WKDW
3DOPHU¶V WKLUW\GD\ SHULRG EHJDQ WR UXQ RQ 6HSWHPEHU
LVPLVSODFHG$VORQJDV*ULIILQFDQVKRZWKDWVKHILOHG
KHU $SSOLFDWLRQ WR 5HRSHQ XQGHU 2KLR 5XOH % LQ
FRPSOLDQFHZLWK3DOPHU¶VUHTXLUHPHQWIRUHTXLWDEOHWROOLQJ
DV GLVFXVVHG LQ 3DUW ,,% VXSUD KHU SHWLWLRQ ZDV WLPHO\
ILOHG
,,,&21&/86,21
:H WKHUHIRUH 9$&$7( WKH GLVWULFW FRXUW¶V RUGHU DQG
5(0$1' IRU IXUWKHU SURFHHGLQJV RQ ZKHWKHU *ULIILQ LV
HQWLWOHGWRHTXLWDEOHWROOLQJXQGHU3DOPHU
1R *ULIILQY5RJHUV
WKHQREWDLQHGQHZFRXQVHODQGXQVXFFHVVIXOO\DSSHDOHGKHU
FDVHWRWKH2KLR6XSUHPH&RXUWDUJXLQJWKDWWKHWULDOFRXUW
KDGYLRODWHGKHU)LIWK(LJKWKDQG)RXUWHHQWK$PHQGPHQW
ULJKWVE\QRWIROORZLQJFHUWDLQVWDWHODZVUHJDUGLQJKHUZDLYHU
RI WULDO E\ MXU\ RU E\ WKUHHMXGJH SDQHO DQG UHJDUGLQJ WKH
OHQJWK RI KHU VHQWHQFH 6KH ORVW KHU DSSHDOV DQG KHU
FRQYLFWLRQEHFDPHILQDOLQ
7KH $QWLWHUURULVP DQG (IIHFWLYH 'HDWK 3HQDOW\ $FW
$('3$ EHFDPHHIIHFWLYHRQ$SULODQGSULVRQHUV
ZKRVH VWDWH FRQYLFWLRQV DOUHDG\ KDG EHFRPH ILQDO ZHUH
UHTXLUHGWRILOHDQ\SHWLWLRQVIRUKDEHDVFRUSXVUHOLHIZLWKLQ
RQH\HDURIWKDWGDWH6HH,VKDPY5DQGOH)G
WK &LU FHUW GHQLHG 86
5HSUHVHQWHGE\WKH2KLR3XEOLF'HIHQGHU¶V2IILFH*ULIILQ
ILOHGIRUKDEHDVFRUSXVUHOLHIRQ$SULO7KHSHWLWLRQ
ZDV DVVLJQHG WR -XGJH +ROVFKXK $OWKRXJK LQ KHU LQLWLDO
SHWLWLRQ*ULIILQUDLVHGMXVWRQHJURXQGIRUUHOLHIQDPHO\WKH
WULDO FRXUW¶V IDLOXUH WR IROORZ ³PDQGDWRU\ VWDWXWRU\
UHTXLUHPHQWVRIDSURFHHGLQJ´LQYLRODWLRQRIKHUGXHSURFHVV
DQG HTXDO SURWHFWLRQ ULJKWV -$ DW LQ KHU UHSO\ WR WKH
ZDUGHQ¶V UHWXUQ RI ZULW VKH H[SDQGHG KHU FODLPV *ULIILQ
DUJXHG WKDW KHU ZDLYHU RI WULDO E\ MXU\ RU E\ D WKUHHMXGJH
SDQHODVSURYLGHGXQGHU2KLRODZZDVQHLWKHUNQRZLQJQRU
LQWHOOLJHQW DQG WKDW KHU VHQWHQFH H[FHHGHG WKDW SHUPLWWHG
XQGHU ODZ 7KH GLVWULFW FRXUW GHWHUPLQHG WKDW WKHVH ZHUH
³FOHDUO\GLVWLQFWIURPWKHDUJXPHQWWKDWVKHSUHVHQWHGWRWKH
VWDWHFRXUWV´QRWHGWKDWWKHQHZDUJXPHQWV³DSSHDUWRKDYH
EHHQ SURFHGXUDOO\ GHIDXOWHG´ DQG RIIHUHG *ULIILQ WKH
RSSRUWXQLW\ WR GHPRQVWUDWH FDXVH DQG SUHMXGLFH EHIRUH WKH
FRXUW ZRXOG GLVPLVV WKH FODLPV DV SURFHGXUDOO\ GHIDXOWHG
-$DW 'LVW&W2UGHU *ULIILQDUJXHGWKDW
WKHFDXVHRIKHUIDLOXUHWRSUHVHQWWKHDUJXPHQWVLQVWDWHFRXUW
ZDVKHUFRXQVHO¶VLQHIIHFWLYHDVVLVWDQFH
-XGJH+ROVFKXKUXOHGWKDWDOWKRXJKLQHIIHFWLYHDVVLVWDQFH
RI DSSHOODWH FRXQVHO FDQ FRQVWLWXWH FDXVH IRU SURFHGXUDO
GHIDXOWWKHSHWLWLRQHUPXVWSUHVHQWWKHLQHIIHFWLYHDVVLVWDQFH
FODLPLWVHOIWRWKHVWDWHFRXUWVEHIRUHXVLQJLWWRH[FXVHWKH
GHIDXOW%HFDXVH*ULIILQKDGQRWEURXJKWWKDWFODLPWRWKH

-- 3 of 8 --

*ULIILQY5RJHUV 1R
VWDWHFRXUWVVKHFRXOGQRW\HWSUHVHQWLWWRWKHIHGHUDOFRXUWLQ
DKDEHDVSHWLWLRQ-XGJH+ROVFKXKFRQFOXGHG³,IVKHZLVKHV
DW VRPH SRLQW WR PDNH VXFK DQ >LQHIIHFWLYH DVVLVWDQFH@
DUJXPHQW KHUH SHWLWLRQHU PXVW SUHVHQW KHU FODLP RI
LQHIIHFWLYHDVVLVWDQFHRIFRXQVHOWRWKHVWDWHFRXUWV´-$DW
'LVW&W2UGHU 2Q6HSWHPEHUWKH
FRXUW GHQLHG KHU SHWLWLRQ DQG GLVPLVVHG WKH FDVH ZLWKRXW
SUHMXGLFHIRUKHUIDLOXUH³WRHVWDEOLVKFDXVHIRUKHUSURFHGXUDO
GHIDXOW´-$DW
$IWHUWKLVGLVPLVVDO*ULIILQILOHGDQ$SSOLFDWLRQWR5HRSHQ
LQVWDWHFRXUWSXUVXDQWWR2KLR5XOHRI$SSHOODWH3URFHGXUH
% VRWKDWVKHFRXOGSUHVVWKHLQHIIHFWLYHDVVLVWDQFHFODLP
7KHGDWHRQZKLFKVKHILOHGIRUWKLVSRVWFRQYLFWLRQUHOLHILV
QRW LQ WKH UHFRUG 7KH 6XSUHPH &RXUW RI 2KLR XOWLPDWHO\
GLVPLVVHGKHUFDVHZLWKRXWRSLQLRQRQ6HSWHPEHU
*ULIILQ WKHQ UHWXUQHG WR -XGJH +ROVFKXK ILOLQJ RQ
2FWREHUDKDEHDVSHWLWLRQXQGHUKHUSUHYLRXVFDVH
QXPEHU,QKHUUHILOLQJVKHDOHUWHGWKHFRXUWWRWKHIDFWWKDW
VKHZDVILOLQJLW³XQGHUWKHRULJLQDOFDVHQXPEHU´EHFDXVHLW
PHUHO\FRQWLQXHGKHUSUHYLRXVDWWDFN6KHDOVRQRWHGWKDW
EHFDXVH KHU SUHYLRXV ILOLQJ KDG EHHQ GLVPLVVHG ZLWKRXW
SUHMXGLFHWRSHUPLWH[KDXVWLRQWKLVVXEVHTXHQWILOLQJZDVQRW
D³VHFRQGRUVXFFHVVLYH´SHWLWLRQSURKLELWHGXQGHU86&
† E -$ DW ,Q WKLV SHWLWLRQ *ULIILQ DOVR
LQFOXGHGQRWLFHRIWKHFODLPVWKDWVKHKDGEURXJKWLQKHUVWDWH
$SSOLFDWLRQ WR 5HRSHQ +RZHYHU RQ )ULGD\ 2FWREHU
-XGJH +ROVFKXK RUGHUHG WKH FOHUN WR VWULNH *ULIILQ¶V QHZ
ILOLQJXQGHUWKHSUHYLRXVFDVHQXPEHUDQGGLUHFWHGWKHFOHUN
WRILOHLWZLWKDQHZFDVHQXPEHUDQGDVVLJQLWWRDMXGJHXVLQJ
WKH³RUGLQDU\VHOHFWLRQSURFHVV´-$DW 'LVW&W2UGHU
-XGJH+ROVFKXKQRWHGWKDWEHFDXVHWKHSUHYLRXV
FDVHKDGFORVHGDQGWKHSHWLWLRQHUKDGRIIHUHGQRJURXQGVWR
UHRSHQWKHSUHYLRXVFDVHWKHSHWLWLRQVKRXOGEHILOHGXQGHUD
GLIIHUHQWFDVHQXPEHUDQGWKHGLVWULFWMXGJHWRZKLFKLWZRXOG
WKHQEHDVVLJQHGVKRXOGFRQVLGHULQGHSHQGHQWO\ZKHWKHUWR
HQWHUWDLQWKHSHWLWLRQRUUHMHFWLWDVD VHFRQGRUVXFFHVVLYH
SHWLWLRQ -XGJH +ROVFKXK VWDWHG WKDW ³>W@KH DVVLJQPHQW RU
QRQDVVLJQPHQWRIDQHZFLYLOQXPEHUWRDFDVHLVREYLRXVO\
1R *ULIILQY5RJHUV
GLVPLVVHG KHU DSSHDO 7KH SHULRG GXULQJ ZKLFK KHU VWDWH
DSSOLFDWLRQZDVSHQGLQJZRXOGQRWFRXQWDJDLQVWDQ\VWDWXWH
RIOLPLWDWLRQVEHFDXVH5XOH % DSSOLFDWLRQVDUHSDUWRIWKH
GLUHFWUHYLHZSURFHVVGXULQJZKLFKWKHVWDWXWHRIOLPLWDWLRQV
GRHVQRWUXQ6HH%URQDXJKY2KLR)G WK
&LU DSSO\LQJ86&† G $ WRWROOWKH
UXQQLQJ RI WKH VWDWXWH RI OLPLWDWLRQV ZKLOH D 5XOH %
DSSOLFDWLRQLVSHQGLQJ
6HSWHPEHU ² 2FWREHU RU
2FWREHU
7KHIRXUWKUHOHYDQWSHULRGLVWKHSHULRGIURP6HSWHPEHU
ZKHQ WKH 2KLR 6XSUHPH &RXUW GLVPLVVHG KHU
5XOH % DSSHDOWRWKHGDWHRQZKLFK*ULIILQUHILOHGKHU
SHWLWLRQ7KLVUHILOLQJRFFXUUHGHLWKHURQ2FWREHUZKHQ
VKH ILUVW VXEPLWWHG WKH KDEHDV SHWLWLRQ DQG QRWLFH RI
H[KDXVWLRQRIVWDWHUHPHGLHVXQGHUWKHROGFDVHQXPEHUWR
-XGJH+ROVFKXKRU2FWREHUZKHQDIWHU-XGJH+ROVFKXK
VWUXFN LW WKH SHWLWLRQ ZDV UHVXEPLWWHG JLYHQ D QHZ FDVH
QXPEHUDQGDVVLJQHGWR-XGJH6PLWK7KHSDUWLHVGLVDJUHH
RYHU ZKLFK LV WKH UHOHYDQW GDWH WKH GHWHUPLQDWLRQ LV
VLJQLILFDQW EHFDXVH 2FWREHU ZRXOG EH ZLWKLQ 3DOPHU¶V
WKLUW\GD\VDIWHUVWDWHFRXUWGLVPLVVDOEXW2FWREHUZRXOG
EHRXWVLGH3DOPHU¶VWKLUW\GD\V
:H FRQFOXGH WKDW *ULIILQ UHWXUQHG WR IHGHUDO FRXUW LQ D
WLPHO\PDQQHU)LUVWZHQRWHWKDW*ULIILQDFWXDOO\UHWXUQHGWR
IHGHUDO FRXUW RQ 2FWREHU $OWKRXJK VKH UHILOHG KHU
SHWLWLRQ DQG LWV QRWLFH RI H[KDXVWLRQ RQ 2FWREHU RQH
EXVLQHVVGD\DIWHU-XGJH+ROVFKXKVWUXFNWKHSHWLWLRQDVILOHG
XQGHUWKHZURQJFDVHQXPEHUQRWKLQJLQ-XGJH+ROVFKXK¶V
2FWREHURUGHUGLVPLVVLQJWKHSHWLWLRQDVILOHGXQGHUWKH
ZURQJFDVHQXPEHULQGLFDWHVWKDWVKHZDVUHTXLUHGWRUHILOH
KHUSHWLWLRQ+LVRUGHUGLUHFWVVSHFLILFDOO\WKH&OHUNQRWWKH
SHWLWLRQHUWRUHILOHWKHSHWLWLRQXQGHUDQHZFDVHQXPEHU
-XGJH +ROVFKXK¶V RUGHU RI 2FWREHU WUHDWV WKH RUGHU WR
VWULNH DV DQ DGPLQLVWUDWLYH DGMXVWPHQW ZLWK QR VXEVWDQWLYH
FRQVHTXHQFHV:KHQ-XGJH+ROVFKXKH[SOLFLWO\GLUHFWHGWKH
&OHUNWRUHILOHWKHSHWLWLRQWKH&OHUNVKRXOGKDYHUHILOHGWKH

-- 4 of 8 --

*ULIILQY5RJHUV 1R
FRXUW ZLWKLQ WKLUW\ GD\V RI GLVPLVVDO IURP VWDWH FRXUW
$FFRUGLQJO\*ULIILQRXJKWQRWEHSHQDOL]HGIRUWKHIDFWWKDW
QHLWKHU VKH QRU WKH GLVWULFW FRXUW PRYHG IRU WKH 6WDWH WR
SURYLGHWKHVWDWHFRXUWPDWHULDOUHOHYDQWWRKHUEXUGHQ$QG
DOWKRXJK WKH 6WDWH KHUH IDLOHG WR FRPSO\ ZLWK 5XOH ¶V
UHTXLUHPHQWWKDWLWVXEPLW³DFRS\RIWKHSHWLWLRQHU¶VEULHIRQ
DSSHDO>RIDQ\VWDWHFRQYLFWLRQRUSRVWFRQYLFWLRQMXGJPHQW@
DQGRIWKHRSLQLRQRIWKHDSSHOODWHFRXUW´ZHFDQQRWSUHVXPH
WKDWWKRVHPDWHULDOVZRXOGGHPRQVWUDWHZKHQ*ULIILQILOHGKHU
SHWLWLRQ
)DFHG ZLWK WKLV VLWXDWLRQ LQ ZKLFK QR SDUW\ FRXOG KDYH
DQWLFLSDWHGWKHLPSRUWDQFHRIWKLVHYLGHQFHZHDUHKHVLWDQWWR
VD\WKDWHLWKHUSDUW\IDLOHGWRPHHWLWVEXUGHQ,WLVIRUWKLV
UHDVRQWKDWZHXOWLPDWHO\UHPDQGIRUUHVROXWLRQRIWKLVLVVXH
UDWKHUWKDQVLPSO\DIILUPDVWKH6WDWHXUJHVRUUHYHUVHDQG
UHPDQGIRUSURFHHGLQJVRQWKHSHWLWLRQ¶VPHULWVDV*ULIILQ
XUJHV,WLVZRUWKQRWLQJWKHXQLTXHQDWXUHRIWKHEXUGHQRI
HTXLWDEOHWROOLQJLQWKHKDEHDVFRQWH[W8QOLNHRWKHUDUHDVRI
ODZ LQ ZKLFK WKH SDUW\ FODLPLQJ WKH EHQHILWV RI HTXLWDEOH
WROOLQJ PXVW SURYLGH DOO RI WKH HYLGHQFH UHOHYDQW WR WKDW
VKRZLQJKDEHDVLVJRYHUQHGE\UXOHVWKDWH[SOLFLWO\UHFRJQL]H
WKH6WDWH¶VVXSHULRUDFFHVVWRWKHUHFRUGDQGH[SOLFLWO\UHTXLUH
WKDWWKH6WDWHSURYLGHFHUWDLQHOHPHQWVRIWKHHYLGHQFHWKDWDUH
UHOHYDQW WR DQ HTXLWDEOH WROOLQJ LQTXLU\ :H UHPDQG KHUH
EHFDXVH*ULIILQ¶VIDLOXUHWRPHHWKHUEXUGHQZLWKUHJDUGWR
HTXLWDEOH WROOLQJ PD\ EH D GLUHFW FRQVHTXHQFH RI WKH
UHWURDFWLYHDSSOLFDWLRQRI3DOPHUDQGWKH6WDWH¶VIDLOXUHWR
SURYLGHPDWHULDOVUHTXLUHGXQGHUWKH5XOHV*RYHUQLQJ†
FDVHV
)LUVWKRZHYHUZHFRQWLQXHWKURXJKWKHUHPDLQLQJUHOHYDQW
SHULRGV
)LOLQJ RI 6WDWH $SSOLFDWLRQ WR 5HRSHQ ²
6HSWHPEHU
7KH WKLUG UHOHYDQW SHULRG LV WKH SHULRG IURP WKH GDWH RQ
ZKLFK *ULIILQ ILOHG LQ WKH 2KLR &RXUW RI $SSHDOV KHU
$SSOLFDWLRQ WR 5HRSHQ SXUVXDQW WR 5XOH % WR
6HSWHPEHUZKHQWKH2KLR6XSUHPH&RXUWILQDOO\
1R *ULIILQY5RJHUV
QRW FRQFOXVLYH RQ WKH LVVXH RI ZKHWKHU WKH SHWLWLRQHU LV
HQWLWOHG WR ILOH D VHFRQG KDEHDV FRUSXV SHWLWLRQ´ DQG
³>Q@RWKLQJLQWKLVRUGHULVLQWHQGHGWRFRQYH\DQ\RSLQLRQDV
WRZKHWKHUWKHQHZSHWLWLRQLVRULVQRWDVXFFHVVLYHSHWLWLRQ
RUKDVRWKHUZLVHEHHQSURSHUO\ILOHG´-$DW
*ULIILQUHILOHGKHUVHFRQGSHWLWLRQRQ0RQGD\2FWREHU
DQGLWZDVJLYHQDQHZFDVHQXPEHUDQGDVVLJQHGWR-XGJH
6PLWK$IWHUEULHILQJ-XGJH6PLWKGLVPLVVHGWKHDFWLRQIRU
IDLOXUHWRILOHZLWKLQWKHRQH\HDUOLPLWDWLRQSHULRGIRU†
DFWLRQV7KHGLVWULFWFRXUWQRWHGWKDWZKHQ*ULIILQILOHGKHU
ILUVWKDEHDVSHWLWLRQRQ$SULOWZRGD\VEHIRUHWKH
RQH\HDUGHDGOLQHZDVWRKDYHUXQGD\VRIKHUVWDWXWHRI
OLPLWDWLRQVKDGODSVHG7KDWSHWLWLRQKDGEHHQGLVPLVVHGRQ
6HSWHPEHU:LWKRXWNQRZLQJWKHDFWXDOGDWHRIKHU
VWDWH FRXUW ILOLQJ WKH GLVWULFW FRXUW DVVXPHG WKDW *ULIILQ
LPPHGLDWHO\ ILOHG KHU VWDWH FRXUW DSSOLFDWLRQ DQG WKDW WKLV
ILOLQJWROOHGWKHUXQQLQJRIKHUIHGHUDOVWDWXWHRIOLPLWDWLRQV
7KHGLVWULFWFRXUWUXOHGWKDWZKHQWKHVWDWHFRXUWDSSOLFDWLRQ
ZDVUHVROYHGRQ6HSWHPEHU*ULIILQKDGWZRGD\VLQ
ZKLFK WR UHWXUQ WR IHGHUDO FRXUW 6KH GLG QRW VXEPLW KHU
VHFRQGSHWLWLRQXQWLO2FWREHUDIWHUWKHVWDWXWHRI
OLPLWDWLRQVKDGUXQ7KHUHIRUHWKHGLVWULFWFRXUWGLVPLVVHG
*ULIILQ¶VSHWLWLRQ
*ULIILQWLPHO\DSSHDOHGDQGZHKDYHMXULVGLFWLRQXQGHU
86&†
,,$1$/<6,6
:HUHYLHZDGLVWULFWFRXUW¶VGLVSRVLWLRQRIDKDEHDVFRUSXV
SHWLWLRQGHQRYR6HH+DUULVY6WRYDOO)G
WK&LU FHUWGHQLHG86
$$('3$
%HFDXVH*ULIILQ¶VKDEHDVSHWLWLRQZDVILOHGDIWHU$('3$
EHFDPHHIIHFWLYHRQ$SULOWKHSURYLVLRQVRIWKDWDFW
DSSO\WRWKLVFDVH$('3$VWDWHVWKDW³>D@\HDUSHULRGRI
OLPLWDWLRQVKDOODSSO\WRDQDSSOLFDWLRQIRUDZULWRIKDEHDV
FRUSXVE\DSHUVRQLQFXVWRG\SXUVXDQWWRWKHMXGJPHQWRID

-- 5 of 8 --

*ULIILQY5RJHUV 1R
6WDWH FRXUW´ 86& † G 7KH VWDWXWH RI
OLPLWDWLRQVEHJLQVWRUXQIURPWKHODWHVWRIIRXUFLUFXPVWDQFHV
ZKLFK LQ WKLV FDVH LV $SULO WKH GDWH RQ ZKLFK
$('3$EHFDPHHIIHFWLYH$OWKRXJK*ULIILQILOHGKHULQLWLDO
SHWLWLRQRQ$SULOZLWKWZRGD\VUHPDLQLQJLQKHU
RQH\HDUVWDWXWHRIOLPLWDWLRQVKHUVXEVHTXHQWILOLQJVZHUH
ZHOO DIWHU WKH VWDWXWRU\ GHDGOLQH 7KH TXHVWLRQ LV GXULQJ
ZKLFK RI WKRVH VXEVHTXHQW ILOLQJV LI DQ\ WKH VWDWXWH RI
OLPLWDWLRQVZDVWROOHGDQGZKHWKHUKHUILQDOILOLQJLQ2FWREHU
RIZDVXQWLPHO\:HWDNHHDFKUHOHYDQWSHULRGLQWXUQ
%5HOHYDQW3HULRGV
$SULO²6HSWHPEHU
7KHILUVWUHOHYDQWSHULRGLVWKHSHULRGIURP$SULO
ZKHQ*ULIILQILOHGKHULQLWLDOSHWLWLRQZLWK-XGJH+ROVFKXKWR
6HSWHPEHU ZKHQ -XGJH +ROVFKXK GLVPLVVHG WKH
SHWLWLRQZLWKRXWSUHMXGLFH7KH6XSUHPH&RXUW¶VGHFLVLRQLQ
'XQFDQY:DONHU86 PDNHVFOHDUWKDWWKH
IHGHUDOKDEHDVVWDWXWHVGRQRWWROOWKHVWDWXWHRIOLPLWDWLRQV
ZKLOH WKH IHGHUDO KDEHDV SHWLWLRQ LV SHQGLQJ 6HFWLRQ
G SURYLGHVIRUWKHVWDWXWHRIOLPLWDWLRQVWREHWROOHG
IRU³>W@KHWLPHGXULQJZKLFKDSURSHUO\ILOHGDSSOLFDWLRQIRU
6WDWHSRVWFRQYLFWLRQRURWKHUFROODWHUDOUHYLHZ´LVSHQGLQJ
86&† G ,Q'XQFDQWKH6XSUHPH&RXUWKHOG
WKDWWKLVSURYLGHVIRUWROOLQJRQO\GXULQJWKHSHQGHQF\RIVWDWH
SURFHHGLQJVQRWIHGHUDOSURFHHGLQJV'XQFDQ86DW
$FFRUGLQJO\ VWDWXWRU\ WROOLQJ IRU *ULIILQ¶V SHWLWLRQ
H[SLUHG RQ $SULO ZKLOH KHU KDEHDV SHWLWLRQ ZDV
SHQGLQJ
'XQFDQ GRHV QRW IRUHFORVH WKH SRVVLELOLW\ RI HTXLWDEOH
WROOLQJ &RQFXUULQJ LQ 'XQFDQ -XVWLFH 6WHYHQV VXJJHVWHG
WKDWDOWKRXJKVWDWXWRU\WROOLQJLVQRWDYDLODEOHGXULQJIHGHUDO
SURFHHGLQJVWKHUHDUHWZRRWKHUZD\VLQZKLFKDSHWLWLRQHU
ZKRVHVWDWXWHRIOLPLWDWLRQVKDVUXQGXULQJWKHSHQGHQF\RI
WKHSHWLWLRQHU¶VIHGHUDOSHWLWLRQPLJKWREWDLQUHOLHI6HHLGDW
6WHYHQV-FRQFXUULQJ )LUVW-XVWLFH6WHYHQVZURWH
WKDWGLVWULFWFRXUWVFRXOGVLPSO\KROGSURFHHGLQJVLQDEH\DQFH
ZKLOHWKHSHWLWLRQHUUHWXUQHGWRVWDWHFRXUW:KHQDSHWLWLRQ
1R *ULIILQY5RJHUV
QDUUDWLYH VXPPDU\ RI WKH HYLGHQFH PD\ EH VXEPLWWHG ,I WKH
SHWLWLRQHU DSSHDOHG IURP WKH MXGJPHQW RI FRQYLFWLRQ RU IURP DQ
DGYHUVH MXGJPHQW RU RUGHU LQ D SRVWFRQYLFWLRQ SURFHHGLQJ D
FRS\ RI WKH SHWLWLRQHU¶V EULHI RQ DSSHDO DQG RI WKH RSLQLRQ RI WKH
DSSHOODWH FRXUW LI DQ\ VKDOO DOVR EH ILOHG E\ WKH UHVSRQGHQW ZLWK
WKH DQVZHU
5XOH RI WKH 5XOHV *RYHUQLQJ † &DVHV
6HH5XOHRIWKH5XOHV*RYHUQLQJ†&DVHV5XOH
SURYLGHV WKDW WKH FRXUW PD\ RUGHU WKH 6WDWH WR SURYLGH
DGGLWLRQDO WUDQVFULSWV IURP WKH VWDWH FRXUW UHFRUG XSRQ WKH
FRXUW¶VRZQPRWLRQRUXSRQWKHPRWLRQRIWKHSHWLWLRQHU6HH
LG :KHQ WKLV LQIRUPDWLRQ LV UHTXLUHG LW LV WKH 6WDWH¶V
UHVSRQVLELOLW\WRSURYLGHLW6HHHJ%XQG\Y:DLQZULJKW
)GQ WK&LU FKDVWLVLQJ
6WDWHIRUQRWVXSSO\LQJWKRVHDVSHFWVRIWKHUHFRUGRQZKLFK
LW UHOLHG LQ LWV GHIHQVH WR WKH ZULW DQG VWDWLQJ WKDW ³>W@KH
REOLJDWLRQ WR FRPH IRUZDUG ZLWK WKH VWDWH FRXUW UHFRUG LV
VTXDUHO\XSRQWKHUHVSRQGHQWQRWXSRQWKHSHWLWLRQHU´ 7KXV
LQRUGLQDU\FLUFXPVWDQFHVWKHLQIRUPDWLRQQHFHVVDU\WRVDWLVI\
*ULIILQ¶V EXUGHQ RI GHPRQVWUDWLQJ WKDW VKH LV HQWLWOHG WR
HTXLWDEOH WROOLQJ WKDW LV WKH GDWH RQ ZKLFK VKH ILOHG KHU
5XOH % $SSOLFDWLRQWR5HRSHQLQVWDWHFRXUWPLJKWYHU\
ZHOOKDYHEHHQVXSSOLHGHLWKHULQWKHGRFXPHQWVSHUWDLQLQJWR
KHUDSSHDOLQWKH5XOH % SURFHHGLQJVZKLFKWKH6WDWHZDV
UHTXLUHG WR DWWDFK WR LWV DQVZHU RU LQ GRFXPHQWV IURP WKH
UHFRUGWKDWWKHFRXUWRQLWVRZQPRWLRQRURQWKHSHWLWLRQHU¶V
PRWLRQPLJKWKDYHRUGHUHGWKH6WDWHWRSURYLGH
/LNH PDQ\ FDVHV WKDW ZHUH GHFLGHG LQ WKH GLVWULFW FRXUWV
SULRU WR RXU GHFLVLRQ LQ 3DOPHU EXW DUH EHLQJ GHFLGHG RQ
DSSHDOIROORZLQJRXUGHFLVLRQLQ3DOPHUWKLVFDVHGRHVQRW
SUHVHQWRUGLQDU\FLUFXPVWDQFHV%HFDXVH3DOPHULQWURGXFHV
DQHZSHULRGRIPDQGDWRU\HTXLWDEOHWROOLQJIRUSHWLWLRQHUV
ZKRILOHGWKHLUIHGHUDOKDEHDVSHWLWLRQVZLWKLQWKHVWDWXWHRI
OLPLWDWLRQVEXWZHUHIRUFHGWRUHWXUQWRVWDWHFRXUWWRH[KDXVW
FHUWDLQ FODLPV 3DOPHU UHTXLUHV D SURFHGXUH WKDW ZLOO QRW
DOZD\VEHHDV\WRLPSRVHSRVWKRF1HLWKHUWKHGLVWULFWFRXUW
*ULIILQQRUWKH6WDWHFRXOGKDYHIRUHVHHQWKDW3DOPHUZRXOG
UDLVH WKH TXHVWLRQ RI ZKHWKHU D SHWLWLRQHU UHWXUQHG WR VWDWH

-- 6 of 8 --

*ULIILQY5RJHUV 1R
5XOH RI WKH 5XOHV *RYHUQLQJ † FDVHV UHDGV LQ LWV HQWLUHW\ DV
IROORZV
7KH DQVZHU VKDOO UHVSRQG WR WKH DOOHJDWLRQV RI WKH SHWLWLRQ ,Q
DGGLWLRQ LW VKDOO VWDWH ZKHWKHU WKH SHWLWLRQHU KDV H[KDXVWHG KLV
VWDWH UHPHGLHV LQFOXGLQJ DQ\ SRVWFRQYLFWLRQ UHPHGLHV DYDLODEOH
WR KLP XQGHU WKH VWDWXWHV RU SURFHGXUDO UXOHV RI WKH VWDWH DQG
LQFOXGLQJ DOVR KLV ULJKW RI DSSHDO ERWK IURP WKH MXGJPHQW RI
FRQYLFWLRQ DQG IURP DQ\ DGYHUVH MXGJPHQW RU RUGHU LQ WKH SRVW
FRQYLFWLRQ SURFHHGLQJ 7KH DQVZHU VKDOO LQGLFDWH ZKDW
WUDQVFULSWV RI SUHWULDO WULDO VHQWHQFLQJ DQG SRVWFRQYLFWLRQ
SURFHHGLQJV DUH DYDLODEOH ZKHQ WKH\ FDQ EH IXUQLVKHG DQG DOVR
ZKDW SURFHHGLQJV KDYH EHHQ UHFRUGHG DQG QRW WUDQVFULEHG 7KHUH
VKDOO EH DWWDFKHG WR WKH DQVZHU VXFK SRUWLRQV RI WKH WUDQVFULSWV
DV WKH DQVZHULQJ SDUW\ GHHPV UHOHYDQW 7KH FRXUW RQ LWV RZQ
PRWLRQ RU XSRQ UHTXHVW RI WKH SHWLWLRQHU PD\ RUGHU WKDW IXUWKHU
SRUWLRQV RI WKH H[LVWLQJ WUDQVFULSWV EH IXUQLVKHG RU WKDW FHUWDLQ
SRUWLRQV RI WKH QRQWUDQVFULEHG SURFHHGLQJV EH WUDQVFULEHG DQG
IXUQLVKHG ,I D WUDQVFULSW LV QHLWKHU DYDLODEOH QRU SURFXUDEOH D
GHPRQVWUDWHGWKDWVWDWXWHKDVUXQ -RKQVRQ%URZQY:D\QH
6WDWH8QLY1R:/DW WK&LU
0DU XQSXEOLVKHG SODFLQJLQ7LWOH9,,FRQWH[W
WKH EXUGHQ RQ WKH SODLQWLII WR VKRZ WKDW VKH LV HQWLWOHG WR
HTXLWDEOH WROOLQJ $V 3DOPHU PDNHV FOHDU D SHWLWLRQHU LQ
*ULIILQ¶VVLWXDWLRQLVHQWLWOHGWRHTXLWDEOHWROOLQJSURYLGHGWKDW
WKH SHWLWLRQHU ILOHG LQ VWDWH FRXUW ZLWKLQ WKLUW\ GD\V RI WKH
IHGHUDOFRXUWGLVPLVVDODQGUHWXUQHGWRIHGHUDOFRXUWQRODWHU
WKDQWKLUW\GD\VIROORZLQJVWDWHFRXUWH[KDXVWLRQ6HH3DOPHU
)G
+RZHYHUWKH5XOHV*RYHUQLQJ†&DVHVUHFRJQL]HWKDW
WKHVWDWHLVPXFKEHWWHUDEOHWRDFFHVVWKHVWDWHFRXUWUHFRUG
6HH5XOHRIWKH5XOHV*RYHUQLQJ†&DVHV$GYLVRU\
&RPPLWWHH1RWHV ³7KHDWWRUQH\JHQHUDOKDVERWKWKH
OHJDOH[SHUWLVHDQGDFFHVVWRWKHUHFRUGDQGWKXVLVLQDPXFK
EHWWHUSRVLWLRQWRLQIRUPWKHFRXUWRQWKHPDWWHURIH[KDXVWLRQ
RI VWDWH UHPHGLHV´ 5XOH LQGLFDWHV WKDW WKH VWDWH PXVW
DWWDFKWRLWVDQVZHUFRSLHVRIWKHSHWLWLRQHU¶VDSSHOODWHEULHIV
DQGWKHDSSHOODWHGHFLVLRQVIURPWKHVWDWHFRXUWSURFHHGLQJV
PXVWDWWDFKSRUWLRQVRIVWDWHFRXUWWUDQVFULSWVWKDWLWGHHPV
UHOHYDQWDQGPXVWSURYLGHDGGLWLRQDOWUDQVFULSWVRUQDUUDWLYH
VXPPDULHVRIVWDWHFRXUWSURFHHGLQJVXSRQWKHFRXUW¶VRUGHU
1R *ULIILQY5RJHUV
FRQWDLQVDQXQH[KDXVWHGFODLP-XVWLFH6WHYHQVZURWH³WKHUH
LVQRUHDVRQZK\DGLVWULFWFRXUWVKRXOGQRWUHWDLQMXULVGLFWLRQ
RYHUDPHULWRULRXVFODLPDQGVWD\IXUWKHUSURFHHGLQJVSHQGLQJ
WKH FRPSOHWH H[KDXVWLRQ RI VWDWH UHPHGLHV´ ,G 6HFRQG
-XVWLFH6WHYHQVLQGLFDWHGWKDWDOWKRXJKVWDWXWRU\WROOLQJZDV
QRW DYDLODEOH HTXLWDEOH WROOLQJ UHPDLQHG DQ RSWLRQ ³>$@
IHGHUDO FRXUW PLJKW YHU\ ZHOO FRQFOXGH WKDW WROOLQJ LV
DSSURSULDWH EDVHG RQ WKH UHDVRQDEOH EHOLHI WKDW &RQJUHVV
FRXOG QRW KDYH LQWHQGHG WR EDU IHGHUDO KDEHDV UHYLHZ IRU
SHWLWLRQHUVZKRLQYRNHWKHFRXUW¶VMXULVGLFWLRQZLWKLQWKH
\HDULQWHUYDOSUHVFULEHGE\$('3$´,GDW
7KLVFRXUWKDVHQGRUVHG-XVWLFH6WHYHQV¶VFRQFXUUHQFH,Q
3DOPHUY&DUOWRQ)G WK&LU ZHUXOHG
WKDWDSHWLWLRQHUZKRVHRULJLQDOSHWLWLRQZDVILOHGZLWKLQWKH
RQH\HDUVWDWXWHRIOLPLWDWLRQVEXWZKRVHSHWLWLRQDIWHUWKH
VWDWXWHRIOLPLWDWLRQVKDGH[SLUHGZDVYROXQWDULO\GLVPLVVHG
ZLWKRXWSUHMXGLFHWRDOORZH[KDXVWLRQRIVWDWHUHPHGLHVFRXOG
UHWXUQWRIHGHUDOFRXUWIROORZLQJH[KDXVWLRQSURYLGHGWKDWWKH
SHWLWLRQHUILOHGIRUVWDWHFRXUWUHOLHIDQGUHWXUQHGWRIHGHUDO
FRXUWZLWKLQ³DEULHIUHDVRQDEOHWLPHOLPLW´6HHLGDW
:H VXJJHVWHG WKDW WKH SHWLWLRQHU VKRXOG ILOH LQ VWDWH FRXUW
ZLWKLQDWLPHSHULRGRI³μQRUPDOO\GD\V¶´DIWHUWKHIHGHUDO
GLVPLVVDO DQG VKRXOG UHWXUQ WR IHGHUDO FRXUW ZLWKLQ ³μ
GD\V¶´RIH[KDXVWLRQ6HHLGDW TXRWLQJDQGUHO\LQJRQ
=DUYHODY$UWX])G G&LU FHUWGHQLHGBB
86BB6&W VHHDOVR*LEVRQY.OLQJHU
)G WK&LU VXJJHVWLQJWKDWHTXLWDEOH
WROOLQJVKRXOGEHDYDLODEOH³ZKHQDSULVRQHUDFWLYHO\SXUVXHV
MXGLFLDO UHPHGLHV EXW ILOHV D GHIHFWLYH SOHDGLQJ GXULQJ WKH
VWDWXWRU\ SHULRG´ 7KH SHWLWLRQHU LQ 3DOPHU KDG QHLWKHU
FRQIRUPHGWRWKH³QRUPDO´WKLUW\GD\SHULRGIRUUHWXUQLQJWR
IHGHUDOFRXUWQRUH[SODLQHGKLVGHOD\VRWKLVFRXUWDIILUPHG
WKHGLVWULFWFRXUW¶VGLVPLVVDO6HH3DOPHU)GDW
8QGHU WKLV DQDO\VLV ILUVW DGRSWHG LQ 3DOPHU DQG
VXEVHTXHQWO\DSSOLHGLQ+DUJURYHY%ULJDQRBB)GBB1R
:/ WK &LU $XJ ZH
PXVWGHWHUPLQHZKHWKHUWKHSHWLWLRQHULVHQWLWOHGWRHTXLWDEOH
WROOLQJ RI WKH VWDWXWH RI OLPLWDWLRQV IROORZLQJ GLVPLVVDO WR

-- 7 of 8 --

*ULIILQY5RJHUV 1R
2I WKH WZR RSWLRQV WKDW -XVWLFH 6WHYHQV VXJJHVWHG LQ KLV 'XQFDQ
FRQFXUUHQFH LW LV SUHIHUDEOH IRU GLVWULFW FRXUWV WR VWD\ SURFHHGLQJV SHQGLQJ
H[KDXVWLRQ 6HH +DUJURYH :/ DW :H DOVR QRWH WKDW
GLVWULFW FRXUWV WKDW GLVPLVV FODLPV SHQGLQJ H[KDXVWLRQ VKRXOG GLVPLVV RQO\
WKH XQH[KDXVWHG FODLPV DQG VKRXOG UHWDLQ MXULVGLFWLRQ RYHU DQ\ H[KDXVWHG
FODLPV 6HH +LOO Y $QGHUVRQ )G WK &LU
SHUPLWH[KDXVWLRQE\H[DPLQLQJWKHSHWLWLRQHU¶VVXEVHTXHQW
GLOLJHQFHLQH[KDXVWLQJVWDWHUHPHGLHVDQGUHWXUQLQJWRIHGHUDO
FRXUW$VLQ3DOPHU)GDWDQG+DUJURYH
:/ DW ZH DUH IDFHG ZLWK D SHWLWLRQHU ZKRVH
SHWLWLRQZDVGLVPLVVHGZLWKRXWSUHMXGLFHIRUIDLOXUHWRH[KDXVW
VWDWHUHPHGLHV$VLQ3DOPHUDQG+DUJURYHZHDUHUHYLHZLQJ
D GLVWULFW FRXUW¶V GLVSRVLWLRQ RI VXFK D FDVH SULRU WR RXU
FODULILFDWLRQWKDWRUGLQDULO\DGLVWULFWFRXUWVKRXOGVWD\VXFK
XQH[KDXVWHGFODLPVSHQGLQJH[KDXVWLRQUDWKHUWKDQGLVPLVV
WKHPZLWKRXWSUHMXGLFHIRUWKDWVDPHSXUSRVH:KHWKHUWKH
GLVWULFW FRXUW GLVPLVVHG WKH SHWLWLRQ IRU IDLOXUH WR H[KDXVW
ZLWK DQ H[SOLFLW DV LQ WKLV FDVH DQG +DUJURYH :/
DW RULPSOLFLW DVLQ3DOPHU)GDW
LQVWUXFWLRQ WR H[KDXVW WKH FODLPV LQ VWDWH FRXUW EHIRUH
UHWXUQLQJRUVWD\HGWKHSURFHHGLQJVSHQGLQJH[KDXVWLRQWKH
FRQVHTXHQFHVIRU*ULIILQVKRXOGEHWKHVDPH$FFRUGLQJO\
ZHWXUQWR*ULIILQ¶VWLPHOLQHVVLQUHWXUQLQJWRVWDWHFRXUWDQG
WKHQEDFNWRIHGHUDOFRXUWWRGHWHUPLQHZKHWKHUVKHPHWWKH
UHTXLUHPHQWVRI3DOPHU
6HSWHPEHU²)LOLQJRI6WDWH$SSOLFDWLRQ
WR5HRSHQ
7KH VHFRQG UHOHYDQW SHULRG LV WKH SHULRG IURP
6HSWHPEHUZKHQ-XGJH+ROVFKXKGLVPLVVHGWKHILUVW
SHWLWLRQWRWKHGDWHRQZKLFK*ULIILQILOHGLQWKH2KLR&RXUW
RI$SSHDOVKHU$SSOLFDWLRQWR5HRSHQSXUVXDQWWR2KLR5XOH
RI$SSHOODWH3URFHGXUH % 7KHUHFRUGEHIRUHXVGRHVQRW
LQGLFDWHZKHQ*ULIILQILOHGKHU$SSOLFDWLRQWR5HRSHQVRWKH
TXHVWLRQ RI ZKLFK SDUW\ EHDUV WKH UHOHYDQW EXUGHQ LV
LPSRUWDQW,IWKHEXUGHQOLHVRQ*ULIILQLQWKHDEVHQFHRIDQ\
HYLGHQFH ZH PXVW SUHVXPH WKDW VKH GLG QRW ILOH KHU
DSSOLFDWLRQZLWKLQWKHWKLUW\GD\VUHTXLUHGXQGHU3DOPHU,I
1R *ULIILQY5RJHUV
WKHEXUGHQOLHVRQWKH6WDWHZHPXVWSUHVXPHWKDWVKHILOHG
KHUVWDWHDSSOLFDWLRQLPPHGLDWHO\XSRQWKHGLVPLVVDORIKHU
IHGHUDOFODLP
0RUHWKDQRQHEXUGHQLVUHOHYDQWLQGHWHUPLQLQJZKHWKHU
WKHSHWLWLRQHUKDVFRPSOLHGZLWKWKHVWDWXWHRIOLPLWDWLRQV$V
LQ RWKHU FRQWH[WV LQYROYLQJ HTXLWDEOH WROOLQJ WKH SDUW\
DVVHUWLQJVWDWXWHRIOLPLWDWLRQVDVDQDIILUPDWLYHGHIHQVHKDV
WKH EXUGHQ RI GHPRQVWUDWLQJ WKDW WKH VWDWXWH KDV UXQ &I
&DPSEHOOY*UDQG7UXQN:55&R)G
WK&LU QRWLQJWKDWLQWKH)(/$FRQWH[WWKHEXUGHQ
LV ILUVW ³RQ WKH GHIHQGDQW WR VKRZ WKDW WKH VWDWXWH RI
OLPLWDWLRQVKDVUXQ´ ,QPDQ\DUHDVRIODZWKLVZLOOUHTXLUH
WKH SDUW\ DVVHUWLQJ WKH GHIHQVH WR LQWURGXFH VXEVWDQWLDO
HYLGHQFHWRGHPRQVWUDWH IRUH[DPSOHWKDWDVRIDFHUWDLQ
GDWHWKHSODLQWLIINQHZRUVKRXOGKDYHNQRZQWKDWWKHFDXVH
RIDFWLRQKDGDFFUXHG6HHHJ)',&Y$OH[DQGHU)G
WK&LU DSSO\LQJ2KLRODZDQGORRNLQJWR
ZKHWKHU HYLGHQFH VKRZHG WKDW SODLQWLII KDG FRQVWUXFWLYH
NQRZOHGJH RI DFFUXDO ,Q WKH KDEHDV FRQWH[W WKH SDUW\
DVVHUWLQJWKDWWKHVWDWXWHKDVUXQZLOOXVXDOO\EHDEOHWRPHHW
WKLVEXUGHQE\SRLQWLQJWRPDWHULDOVDOUHDG\EHIRUHWKHGLVWULFW
FRXUWQDPHO\E\SRLQWLQJRXWWKDWWKHSHWLWLRQLWVHOIZDVILOHG
DIWHUWKHVWDWXWHKDGUXQ7KH6WDWHLQWKLVFDVHKDVPHWWKLV
EXUGHQ
7KHQH[WUHOHYDQWEXUGHQLVWKHEXUGHQRIGHPRQVWUDWLQJDQ
HQWLWOHPHQWWRHTXLWDEOHWROOLQJ$VZHKDYHVXJJHVWHGEXW
KDYHQRWXQWLOQRZPDGHH[SOLFLWLQWKHKDEHDVFRQWH[WWKH
SHWLWLRQHUEHDUVWKHXOWLPDWHEXUGHQRISHUVXDGLQJWKHFRXUW
WKDWKHRUVKHLVHQWLWOHGWRHTXLWDEOHWROOLQJ6HH'XQODSY
8QLWHG6WDWHV)G WK&LU VHHDOVR
HJ 6PLWK Y 'XQFDQ )G WK &LU
³2QFH6PLWKZDVQRWLILHGWKDWKLVSHWLWLRQZDVVXEMHFWWR
GLVPLVVDOEDVHGRQ$('3$¶VVWDWXWHRIOLPLWDWLRQVDQGWKH
UHFRUGLQGLFDWHGWKDW6PLWK¶VSHWLWLRQIHOORXWVLGHWKHRQH\HDU
WLPHSHULRG6PLWKKDGWKHEXUGHQRIGHPRQVWUDWLQJWKDWWKH
OLPLWDWLRQSHULRGZDVVXIILFLHQWO\WROOHG´ &I&DPSEHOO
)GDW UHTXLULQJLQ)(/$FRQWH[WWKDWSODLQWLIIVKRZ
HQWLWOHPHQW WR HTXLWDEOH WROOLQJ RQFH GHIHQGDQW KDV

-- 8 of 8 --

Continue your research in ChatGPT or Claude

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