02a0380p.06

01-1502Court of Appeals for the Sixth CircuitOct 31, 2002

Full text

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
81,7(' 67$7(6 2) $0(5,&$
3ODLQWLII$SSHOOHH
Y
7200< $17+21< 1(:(//
'HIHQGDQW$SSHOODQW
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW
1R²5REHUW+&OHODQG'LVWULFW-XGJH
$UJXHG$XJXVW
'HFLGHGDQG)LOHG2FWREHU
%HIRUH0225(DQG&2/(&LUFXLW-XGJHV0$5%/(<
'LVWULFW-XGJH
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' 1DQF\ / 0F*XQQ )('(5$/ 38%/,&
'()(1'(56 2)),&( 'HWURLW 0LFKLJDQ IRU $SSHOODQW
'DQLHO / /HPLVFK $66,67$17 81,7(' 67$7(6

-- 1 of 8 --

8QLWHG6WDWHVY1HZHOO 1R
$77251(<'HWURLW0LFKLJDQIRU$SSHOOHH21%5,()
1DQF\/0F*XQQ5LFKDUG-2¶1HLOO)('(5$/38%/,&
'()(1'(56 2)),&( 'HWURLW 0LFKLJDQ IRU $SSHOODQW
'DQLHO / /HPLVFK $66,67$17 81,7(' 67$7(6
$77251(<'HWURLW0LFKLJDQIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
$/*(121 / 0$5%/(< 'LVWULFW -XGJH 'HIHQGDQW
$SSHOODQW7RPP\$QWKRQ\1HZHOO ³1HZHOO´ DSSHDOVWKH
GLVWULFWFRXUW¶VMXGJPHQWRQKLVFRQYLFWLRQIRUWUDQVPLWWLQJ
WKUHDWHQLQJ LQWHUVWDWH FRPPXQLFDWLRQV LQ YLRODWLRQ RI
86&† F 1HZHOODVVLJQVHUURUWRWKHGLVWULFWFRXUW¶V
DSSOLFDWLRQRIDVL[SRLQWHQKDQFHPHQWWRKLVVHQWHQFHEDVHG
RQ WKH GLVWULFW FRXUW¶V ILQGLQJ WKDW 1HZHOO¶V FRQGXFW
HYLGHQFHGDQLQWHQWWRFDUU\RXWWKHWKUHDW WKDW IRUPHGWKH
EDVLVRIKLVFRQYLFWLRQ7KLV&RXUW¶VDSSHOODWHMXULVGLFWLRQLV
SURSHUXQGHU86&†DQG86&†
)RU WKH IROORZLQJ UHDVRQV WKH &RXUW $)),506 WKH
MXGJPHQWRIWKHGLVWULFWFRXUW
,%$&.*5281'
$)DFWXDO%DFNJURXQG
)URP'HFHPEHUWKURXJK$XJXVW1HZHOOKDGDQ
LQWLPDWHUHODWLRQVKLSZLWK&\QWKLD+DPGHQDPDUULHGZRPDQ
ZKRP 1HZHOO PHW RYHU WKH ,QWHUQHW $W WKH WLPH RI WKHLU
LQLWLDO PHHWLQJ 0V +DPGHQ¶V KXVEDQG 5LFKDUG +DPGHQ
ZDV LQFDUFHUDWHG 7KURXJKRXW WKHLU UHODWLRQVKLS 1HZHOO
UHVLGHGLQ8WDKDQG0V+DPGHQUHVLGHGLQ0LFKLJDQ
:KHQ WKH\ ILUVW PHW 1HZHOO DQG 0V +DPGHQ
FRPPXQLFDWHG YLD WKH ,QWHUQHW EXW HYHQWXDOO\ H[FKDQJHG
SKRQH QXPEHUV DQG EHJDQ FRPPXQLFDWLQJ RYHU WKH
WHOHSKRQH ,Q $SULO 0V +DPGHQ IOHZ WR 1HZHOO¶V
KRPH LQ 8WDK DQG VWD\HG IRU DSSUR[LPDWHO\ RQH ZHHN
1R 8QLWHG6WDWHVY1HZHOO
E\ WKH FRXUW WKH HQKDQFHPHQW WR WKH GHIHQGDQW¶V VHQWHQFH ZRXOG KDYH
EHHQ XSKHOG
7KHUHIRUHWKH&RXUWILQGVWKDWWKHWRQHRIWKHWKUHDWVDORQJ
ZLWK 1HZHOO¶V RWKHU RYHUW FRQGXFW VXSSRUWHG D VL[OHYHO
HQKDQFHPHQWRI1HZHOO¶VVHQWHQFHEDVHGRQWKHIDFWWKDWKLV
FRQGXFWHYLGHQFHGDQLQWHQWWRFDUU\RXWWKHWKUHDWV
,9&21&/86,21
%DVHGRQWKHIRUHJRLQJDQDO\VLVWKH&RXUW$)),506WKH
GLVWULFW FRXUW¶V MXGJPHQW DQG VHQWHQFH RQ 'HIHQGDQW
$SSHOODQW¶VFRQYLFWLRQIRUWUDQVPLWWLQJWKUHDWHQLQJLQWHUVWDWH
FRPPXQLFDWLRQVLQYLRODWLRQRI86&† F

-- 2 of 8 --

8QLWHG6WDWHVY1HZHOO 1R
6LJQLILFDQWO\ HYHQ LQ *R\QHV LWVHOI WKH FRXUW QRWHG WKDW WKH
GHIHQGDQW QHLWKHU SXUFKDVHG D ZHDSRQ RU DPPXQLWLRQ QRU WUDYHOHG WR WKH
YLFWLP¶V KRPH RU FLW\ QRU HQJDJHG LQ ³DQ\ RWKHU FOHDUO\ UHFRJQL]DEOH
RYHUW DFW WKDW FRXOG EH FRQVLGHUHG FRQGXFW HYLGHQFLQJ DQ LQWHQW WR FDUU\
RXW KLV WKUHDW´ *R\QHV )G DW 7KH &RXUW LQIHUV WKDW KDG WKHUH
EHHQ HYLGHQFH RI VRPH RYHUW DFW VLPLODU WR WKRVH VSHFLILFDOO\ PHQWLRQHG
QRWUHO\RQWKHWKUHDWVDORQHWRDSSO\D†$ E VL[OHYHO
HQKDQFHPHQW6HH8QLWHG6WDWHVY*R\QHV)G
WK &LU KROGLQJ WKDW ³WKH ZULWLQJ RI PXOWLSOH
WKUHDWHQLQJOHWWHUVDQGWKHQDWXUHRIWKHLUFRQWHQWDORQHDUH
LQVXIILFLHQWWRMXVWLI\´DVL[OHYHOHQKDQFHPHQWSXUVXDQWWR
†$ E %XWVHH8QLWHG6WDWHVY7KRPDV)G
WK&LU ILQGLQJWKDWWKHILYHWKUHDWHQLQJ
OHWWHUVWKDWZHUHVHQWWRWKHYLFWLPE\WKHGHIHQGDQWSURYLGHG
SUREDWLYH HYLGHQFH RI WKH GHIHQGDQW¶V LQWHQW WR KDUP WKH
YLFWLP ,QGHHGLWZRXOGQRWEHSURSHUIRUDGLVWULFWFRXUWWR
UHO\RQWKHQXPEHURIWKUHDWV DORQHDVWKDWIDFWLVDOUHDG\
WDNHQLQWRDFFRXQWE\866*†$ E ZKLFKDOORZV
IRUDWZROHYHOHQKDQFHPHQW³>L@IWKHRIIHQVHLQYROYHGPRUH
WKDQ WZR WKUHDWV´ 86 6(17(1&,1* *8,'(/,1(6
†$ E VHH*R\QHV)GDW UHDVRQLQJWKDW
LIWKH6HQWHQFLQJ&RPPLVVLRQDFFRXQWHGIRUWKHQXPEHURI
FRPPXQLFDWLRQV E\ LPSRVLQJ DQ HQKDQFHPHQW XQGHU
† $ E WKHQ WKH QXPEHU RI WKUHDWHQLQJ
FRPPXQLFDWLRQVFRXOGQRWDOVREHUHOLHGXSRQWRWULJJHUDVL[
OHYHOHQKDQFHPHQWXQGHU†$ E
7KHGLVWULFWFRXUWSURSHUO\DQDO\]HGWKHLVVXHKHUHLQWKDW
WKHFRXUWGLGQRWUHO\RQWKHWKUHDWVDORQHLQFRQFOXGLQJWKDW
WKH HQKDQFHPHQW ZDV SURSHU 7R WKH FRQWUDU\ WKH GLVWULFW
FRXUW FRQVLGHUHG QRW RQO\ WKH QDWXUH DQG QXPEHU RI WKH
WKUHDWV EXW DOVR 1HZHOO¶V RYHUW DFWV RI SXUFKDVLQJ D
FDOLEHU KDQGJXQ DQG VHSDUDWHO\ SXUFKDVLQJ WKH UHTXLVLWH
DPPXQLWLRQ 7KLV DQDO\VLV ZKROO\ FRPSRUWV ZLWK WKH UXOH
HVWDEOLVKHGE\WKHPDMRULW\RIFLUFXLWVWKDWKDYHDGGUHVVHGWKLV
LVVXHDQGDGRSWHGKHUHLQUHTXLULQJWKDWWKHGHIHQGDQWHQJDJH
LQVRPHRYHUWFRQGXFWLQDGGLWLRQWRPDNLQJWKHWKUHDWVEHIRUH
D†$ E HQKDQFHPHQWFDQEHVXVWDLQHG6HH*R\QHV
)GDWQ OLVWLQJFDVHVDGRSWLQJWKLVUXOH
1R 8QLWHG6WDWHVY1HZHOO
7KH IROORZLQJ LV D UHSUHVHQWDWLYH VDPSOLQJ RI WKH HPDLO PHVVDJHV
1HZHOO VHQW 0V +DPGHQ GXULQJ WKLV WLPH SHULRG
6XQGD\ $XJXVW SP
7+( 6,/(17 ,7¶6 7+( )8&.,1* 6,/(1&( 7+$7 )8&.6
0( 83 7+( :2567 $1' <28 '21¶7 (9(1
0(17,21(' ,7 25 $32/2*,=( 25 $1<7+,1* 7+(
6,/(17 75($70(17 <28 $5( *,9,1* :,//
(9(178$//< %( 7+( 21( 7+,1* 7+$7 &28/'
&$86( (9(5<%2'< 3$,1
$XJXVW SP
,) 8 :$17 72 3/$< )8&.,1* *$0(6 7+(1 /(76
3/$< 8 5 127 7+( 21/< 21( :+2 &$1 %( &2/'
+($57(' $1' , *$5$817(( 8 :,// )8&.,1*
/226( (9(1 ,) , ',(
$XJXVW SP
,7 5($//< ,6 $ %$' ,'($ 72 7851 <285 %$&. 21
0( 12: 7+$7 +( ,6 +20( ,7 &$1 '(6752< 86 $//
3/($6( , 1((' <28
6XQGD\ 6HSWHPEHU SP
, :,// 127 %( ',65(63(&7(' /,.( 7+,6 , 75,('
72 '2 7+,6 <285 :$< %87 <285 :$< +8576 722
08&+ , 7$.( $// 7+( 3$,1 :+,/( <28 $1' 5,&+
+$9( )81 :(// 67$57,1* 7202552: 7+( 58/(6
$5( *2,1* 72 &+$1*( %(&$86( , :,// 127 *2
'XULQJWKHFRXUVHRIWKHLUUHODWLRQVKLS1HZHOODOVRYLVLWHG
0V+DPGHQDQXPEHURIWLPHVLQ0LFKLJDQZKHQKHWUDYHOHG
FURVVFRXQWU\IRUKLVMREDVDORQJKDXOWUXFNGULYHU
,Q $XJXVW 0V +DPGHQ DGYLVHG 1HZHOO WKDW VKH
ZDQWHGWRWHUPLQDWHWKHLUUHODWLRQVKLSDVVKHKDGUHFRQFLOHG
ZLWKKHUKXVEDQGXSRQKLVUHOHDVHIURPSULVRQ6RRQDIWHUKH
UHFHLYHG WKLV QHZV 1HZHOO EHJDQ VHQGLQJ KDUDVVLQJ DQG
WKUHDWHQLQJ HPDLO PHVVDJHV WR 0V +DPGHQ %HWZHHQ
$XJXVW DQG 6HSWHPEHU 1HZHOO VHQW
DSSUR[LPDWHO\VHYHQW\HPDLOPHVVDJHVWR0V+DPGHQ+H

-- 3 of 8 --

8QLWHG6WDWHVY1HZHOO 1R
287 /,.( 7+,6 12 )8&.,1* :$<@@@@@@
0RQGD\ 6HSWHPEHU DP
:+< 6+28/' , &$5( ,) <28 +$7( 0( 25 127
$1<025( ,¶// 67,// %( 75($7(' /,.( 6+,7 %87 ,
$0 *2,1* 72 *,9( <28 $ 5($621 72 +$7( 0(
12: , 75,(' <285 :$< $1' <28 -867 .((3 /<,1*
$1' %8//6+,77,1* $1' +857,1* :(// ,76 7,0(
7+$7 , )8&.,1* ),*+7 ),5( :,7+ ),5(
7KH IROORZLQJ LV D UDQGRP VDPSOLQJ RI WKH WZHQW\VL[ YRLFH PDLO
PHVVDJHV 1HZHOO OHIW IRU 0V +DPGHQ GXULQJ WKLV WLPH SHULRG
$XJXVW SP ³ ,¶P WHOOLQJ \RX ULJKW QRZ
<RX¶UH GRLQJ LW WKH ZURQJ ZD\ ,I \RX¶UH IXFNLQJ VPDUW \RX
EHWWHU VWD\ FORVH WR PH ,I \RX¶UH VPDUW \RX¶OO WDON WR PH <RX¶UH
WDONLQJ WR VRPHRQH QRZ WKDW¶V JRW QRWKLQJ WR ORVH , GRQ¶W JLYH
D IXFN DERXW MDLO RU GHDWK 6R \RX FRXOG EH IXFNLQJ VPDUW´
0RQGD\ DP ³, GRQ¶W NQRZ ZKDW NLQG RI JDPH \RX¶UH
SOD\LQJ , GRQ¶W NQRZ ZK\ \RX KDG WKH SKRQH FXW RII 7KDW ZDV
WKH ZURQJ PRYH (YHU\WKLQJ EORZV XS ULJKW QRZ´
0RQGD\ SP ³ ,I , GRQ¶W KHDU E\ IURP \RX E\
WRPRUURZ ,¶P FDOOLQJ \RXU PRP ,I , GRQ¶W KHDU IURP \RX E\
WRPRUURZ ,¶P FDOOLQJ /LVD $QG LI , GRQ¶W JHW QR UHVXOWV
IURP WKHP ,¶P JHWWLQJ RQ D SODQH DQG FRPLQJ XS WKHUH <RX¶UH
QRW JRLQJ WR IXFNLQJ GR WKLV 1RZ \RX ZDQW WR IXFNLQJ SOD\
URXJK" ,W¶V JRLQJ WR JHW UHDO IXFNLQJ XJO\ 'R \RX ZDQW WR
IXFNLQJ EH VWXSLG" 6R WKH KHOO ZLWK \RX $QG WKH KHOO ZLWK
DOO RI \RX ,W¶V JRLQJ WR JHW UHDO IXFNLQJ QDVW\ QRZ
0RQGD\ SP ³ 6R \RX FDQ GR LW WKH HDV\ ZD\ RU \RX
WKLQN \RX ZDQW WR IXFN ZLWK PH WKHQ ZH ZLOO SOD\ $QG ,¶OO
EHFRPH \RXU ZRUVW IXFNLQJ QLJKWPDUH ,¶P QRW WKUHDWHQLQJ \RX
7KLV LV QRW D WKUHDW ,W¶V D IXFNLQJ SURPLVH´
DOVROHIWWKUHDWHQLQJYRLFHPDLOPHVVDJHVDWKHUKRPHRQKHU
FHOOXODUSKRQHDQGDWWKHKRPHVRIKHUIDPLO\PHPEHUV
2QRUDERXW6HSWHPEHUDGHSXW\IURPWKH0RQURH
&RXQW\6KHULII¶V'HSDUWPHQWLQ0RQURH&RXQW\0LFKLJDQ
ZDUQHG1HZHOOWRVWRSFRQWDFWLQJ0V+DPGHQDQGKHUIDPLO\
PHPEHUV'HVSLWHWKLVZDUQLQJ1HZHOOFRQWLQXHGZLWKKLV
1R 8QLWHG6WDWHVY1HZHOO
:H ORRN WR WKH KROGLQJV RI RXU VLVWHU FLUFXLWV UHJDUGLQJ WKH DELOLW\ RI
WKH VHQWHQFLQJ FRXUW WR UHO\ RQ WKH WKUHDWV WKHPVHOYHV WR FRQFOXGH WKDW WKH
GHIHQGDQW LQWHQGHG WR FDUU\ RXW WKRVH WKUHDWV $OWKRXJK WKLV &RXUW KDV
DGGUHVVHG WKLV SUHFLVH LVVXH VHH 8QLWHG 6WDWHV Y /RZHQVWHLQ )G
WK &LU LW GLG VR EHIRUH † $ ZDV DPHQGHG WR LQFOXGH WKH
FXUUHQW † $ E ZKLFK UHTXLUHV D WZRSRLQW HQKDQFHPHQW LI WKH
RIIHQVH LQYROYHG PRUH WKDQ WZR WKUHDWV $W WKH WLPH WKDW WKLV &RXUW
GHFLGHG /RZHQVWHLQ † $ E UHDG LQ UHOHYDQW SDUW DV IROORZV
,I WKH GHIHQGDQW HQJDJHG LQ DQ\ FRQGXFW HYLGHQFLQJ DQ LQWHQW
WR FDUU\ RXW VXFK WKUHDW LQFUHDVH E\ OHYHOV
,I VSHFLILF RIIHQVH FKDUDFWHULVWLF † $ E GRHV QRW
DSSO\ DQG WKH GHIHQGDQW¶V FRQGXFW LQYROYHG D VLQJOH LQVWDQFH
HYLGHQFLQJ OLWWOH RU QR GHOLEHUDWLRQ GHFUHDVH E\ OHYHOV
6HH /RZHQVWHLQ )G DW ILQGLQJ WKDW † $ DV ZULWWHQ LQ
GLG QRW DGHTXDWHO\ WDNH LQWR DFFRXQW WKH QXPEHU DQG GHOLEHUDWLYH
QDWXUH RI WKH WKUHDWV LQYROYHG VR WKDW D VL[OHYHO HQKDQFHPHQW XQGHU
† $ E ZDV SURSHU ZKHQ WKH GHIHQGDQW PDGH WKLUW\ SKRQH FDOOV WR
WKH YLFWLP RYHU HLJKW PRQWKV DQG FRQWLQXHG KLV EHKDYLRU DIWHU WKH )%,
ZDUQHG KLP WR VWRS %HFDXVH WKH FXUUHQW IRUP RI † $ E GRHV
SURYLGH IRU DQ HQKDQFHPHQW ZKHQ WKH GHIHQGDQW PDNHV PXOWLSOH WKUHDWV
/RZHQVWHLQ LV RI PLQLPDO SUREDWLYH YDOXH
FRQWHQW RI WKH WKUHDWV FDQQRW EH GHHPHG ³FRQGXFW´
LQGHSHQGHQWRIWKHFRPPXQLFDWLRQLWVHOIWRMXVWLI\DVL[OHYHO
HQKDQFHPHQWEHFDXVHWKHIDFWWKDWWKHFRPPXQLFDWLRQVZHUH
DQJU\RUWKUHDWHQLQJLVDFFRXQWHGIRULQWKHFRQYLFWLRQIRUWKH
FKDUJHGRIIHQVH
&RQVLGHUDWLRQ RI WKH WRQH RI WKH WKUHDWV YLHZHG LQ
FRQMXQFWLRQ ZLWK WKH GHIHQGDQW¶V RWKHU RYHUW FRQGXFW LV
SURSHULQGHWHUPLQLQJZKHWKHUWKHGHIHQGDQWLQWHQGHGWRFDUU\
RXWKLVWKUHDWV6HH8QLWHG6WDWHVY&DUWHU)G
WK &LU ³,Q GHFLGLQJ ZKHWKHU WR DSSO\ WKH
HQKDQFHPHQW FRXUWV PD\ HYDOXDWH QRW RQO\ D GHIHQGDQW¶V
RYHUWDFWLYLW\FRQQHFWHGWRWKHWKUHDWEXWDOVRWKHQDWXUHDQG
VHULRXVQHVV RI WKH WKUHDWV WKHPVHOYHV´ 8QLWHG 6WDWHV Y
.LUVK)G G&LU FRQVLGHULQJWKHIDFW
WKDWWKHWKUHDWHQLQJOHWWHUVFRQWDLQHGODQJXDJHVXFKDV³,¶P
JRLQJWREORZ\RXDZD\´DORQJZLWKWKHGHIHQGDQWV¶RYHUWDFW
RI SRVVHVVLQJ ZHDSRQV LQ GHWHUPLQLQJ WKDW WKH VL[SRLQW
HQKDQFHPHQWZDVSURSHU 7KHGLVWULFWFRXUWKRZHYHUPD\

-- 4 of 8 --

8QLWHG6WDWHVY1HZHOO 1R
8QLWHG 6WDWHV Y *UHHQ )G G &LU
XSKROGLQJWKHVL[OHYHOHQKDQFHPHQWEDVHGRQWKHIDFWWKDW
WKHGHIHQGDQWDVNHGDIULHQGZKRZDVDSROLFHRIILFHUWRUXQ
DFKHFNRQWKHYLFWLP¶VOLFHQVHSODWHVRWKDWKHFRXOGOHDUQWKH
YLFWLP¶VDGGUHVV
6LJQLILFDQWO\ WKLV FDVH LV GLVWLQJXLVKDEOH IURP 8QLWHG
6WDWHVY3KLOLEHUW)G WK&LU RYHUUXOHG
RQRWKHUJURXQGV8QLWHG6WDWHVY'DLOH\)G
WK&LU RQZKLFKWKH'HIHQGDQWUHOLHV,Q3KLOLEHUW
WKHGLVWULFWFRXUWHQKDQFHGWKHGHIHQGDQW¶VVHQWHQFHSXUVXDQW
WR†$ E EDVHGRQWKHGHIHQGDQW¶VSXUFKDVHRIDFDFKH
RIZHDSRQVDQGDPPXQLWLRQILIW\WKUHHGD\VEHIRUHKHPDGH
WKHWKUHDWHQLQJWHOHSKRQHFDOOIRUZKLFKKHZDVFRQYLFWHG,G
DW7KHFLUFXLWFRXUWUHYHUVHGILQGLQJWKDWQRHYLGHQFH
GHPRQVWUDWHG D FRQQHFWLRQ EHWZHHQ WKH SXUFKDVH RI WKH
ILUHDUPVDQGDQLQWHQWWRFDUU\RXWWKHWKUHDWPDGHDOPRVWWZR
PRQWKVODWHU,G1HZHOOXQOLNHWKHGHIHQGDQWLQWKDWFDVH
SXUFKDVHGWKHZHDSRQRQWKHYHU\GD\KHPDGHWKHWKUHDWVDW
LVVXH7KHWHPSRUDOSUR[LPLW\RIWKHSXUFKDVHRIWKHZHDSRQ
WRWKHPDNLQJRIWKHWKUHDWVHVWDEOLVKHVDQH[XVEHWZHHQWKH
WZRDFWVDQGGLVWLQJXLVKHVWKLVFDVHIURP3KLOLEHUW
$FFRUGLQJO\WKH&RXUWFRQFOXGHVWKDW1HZHOO¶VSXUFKDVHRI
DFDOLEHUVHPLDXWRPDWLFILUHDUPDQGDPPXQLWLRQRQWKH
VDPHGD\WKDWKHPDGHWKHWKUHDWWKDWIRUPHGWKHEDVLVRIWKH
LQGLFWPHQWGHPRQVWUDWHVWKDWKLVWKUHDWVDUH³PRUHWKDQPHUH
SXIIHU\´ DQG HYLGHQFHV DQ LQWHQW WR FDUU\ RXW WKH WKUHDWV
WKHUHE\PDNLQJDSSURSULDWHDVL[OHYHOVHQWHQFHHQKDQFHPHQW
XQGHU866*†$ E
%7RQHRIWKH7KUHDWV
7KHHPDLODQGYRLFHPDLOPHVVDJHVOHIWE\1HZHOOIRU0V
+DPGHQ GXULQJ $XJXVW DQG 6HSWHPEHU FRQWDLQHG
H[FHHGLQJO\ YXOJDU DQJU\ DQG WKUHDWHQLQJ ODQJXDJH
0RUHRYHUKLVWKUHDWWKDWIRUPHGWKHEDVLVRIWKHLQGLFWPHQW
FRQWDLQHG H[SOLFLW ODQJXDJH LQGLFDWLQJ DQ LQWHQW WR NLOO
5LFKDUG+DPGHQ$VWKHGLVWULFWFRXUWIRXQGWKHPHVVDJHV
FRQYH\HGDWRQHRI³DPDQRQDPLVVLRQ´GHWHUPLQHGWRFDUU\
RXWKLVWKUHDWV1HZHOOKRZHYHUDUJXHVWKDWWKHWRQHDQG
1R 8QLWHG6WDWHVY1HZHOO
FRPPXQLFDWLRQV ,Q SDUWLFXODU RQ 6HSWHPEHU
1HZHOOFRQWDFWHGDVHFUHWDU\DWWKHHOHPHQWDU\VFKRROZKHUH
0V+DPGHQZDVHPSOR\HGDVDEXVGULYHU+HWROGKHUWKDW
³IRUWKHVDIHW\RIWKHNLGVWKH\QHHGWRJHW&LQG\RUWKHNLGV
RII WKH EXV´ +H DOVR OHIW WKH IROORZLQJ PHVVDJH RQ WKH
WHOHSKRQHDQVZHULQJPDFKLQHRI3DW0LOOHU0V+DPGHQ¶V
PRWKHU
3OHDVHWHOO&LQG\,GRQ¶WNQRZZKHQVKH¶VJRLQJWRJHWLW
WKURXJKKHUIXFNLQJKHDG7KHUH¶VQRWDIXFNLQJFRSRQ
WKHSODQHWWKDWFDQVWRSPH6KHFDQFDOODOOWKHFRSVVKH
ZDQWV,¶PJRLQJWR0LVVLVVLSSLWRVD\JRRGE\HWRP\
PRP ,¶P FRPLQJ WKHUH ,¶P JRLQJ WR IXFNLQJ NLOO
5LFKDUG7KHRQO\WKLQJWKDW¶VJRLQJWRVWRSPHLVKHU
6KHLVWKHRQO\RQHWKDWFDQVWRSPHE\FDOOLQJRUOHDYLQJ
D QXPEHU ZKHUH , FDQ FDOO KHU 6KH FDQ EULQJ DOO WKH
IXFNLQJFRSVVKHZDQWVDQG,ZLOOSURYHWRHYHU\ERG\
WKH\ZLOOJHWPHEXW,ZRQ¶WEHIXFNLQJDOLYHDQGWKHUH
ZRXOGEHERGLHVZLWKPH7KDQN\RX
2QWKHVDPHGD\WKDWKHPDGHWKHIRUHJRLQJWHOHSKRQHFDOOV
1HZHOOSXUFKDVHGDFDOLEHUVHPLDXWRPDWLFKDQGJXQIURP
DSDZQVKRSLQ5R\8WDK%HFDXVHWKHSDZQVKRSGLGQRW
FDUU\ WKH SURSHU DPPXQLWLRQ 1HZHOO PDGH D VHSDUDWH
SXUFKDVHRIDPPXQLWLRQDWDQRWKHUORFDWLRQ
)ROORZLQJKLVSXUFKDVHRIWKHKDQGJXQ1HZHOOWUDYHOHGWR
:\RPLQJIRUZRUN2Q6HSWHPEHUKHZDVDJDLQ
FRQWDFWHG E\ DQ RIILFHU RI WKH 0RQURH &RXQW\ 6KHULII¶V
'HSDUWPHQWDQGZDVWROGWRVWRSFDOOLQJ0V+DPGHQ$IWHU
UHFHLYLQJWKDWLQVWUXFWLRQIURPWKHSROLFH1HZHOOPDGHQR
IXUWKHUFRQWDFWZLWK0V+DPGHQRUKHUUHODWLYHV1HZHOO
VXEVHTXHQWO\ WUDYHOHG WR 0LFKLJDQ IRU ZRUN EXW GLG QRW
FRQWDFW0V+DPGHQZKLOHKHZDVWKHUH
2Q6HSWHPEHU)%,DJHQWVDUUHVWHG1HZHOODWKLV
KRPH LQ 2JGHQ 8WDK $W WKH WLPH WKDW KH ZDV DUUHVWHG
1HZHOOZDVFDUU\LQJDER[FRQWDLQLQJWKHFDOLEHUKDQGJXQ
WKDWKHKDGSXUFKDVHGRQ6HSWHPEHUDORQJZLWKD
FDOLEHU PDJD]LQH WKDW FRQWDLQHG HLJKW OLYH URXQGV RI
DPPXQLWLRQ

-- 5 of 8 --

8QLWHG6WDWHVY1HZHOO 1R
%3URFHGXUDO+LVWRU\
2Q2FWREHUDRQHFRXQW,QGLFWPHQWZDVILOHGLQ
WKH (DVWHUQ 'LVWULFW RI 0LFKLJDQ FKDUJLQJ 1HZHOO ZLWK
WUDQVPLWWLQJ WKUHDWHQLQJ LQWHUVWDWH FRPPXQLFDWLRQV LQ
YLRODWLRQRI86&† F 7KHFKDUJHZDVEDVHGRQ
1HZHOO¶V6HSWHPEHUWHOHSKRQHFDOOWRWKHKRPHRI
0UV0LOOHUGXULQJZKLFK1HZHOOWKUHDWHQHGWRNLOO5LFKDUG
+DPGHQ 2Q 2FWREHU WKH GLVWULFW FRXUW KHOG D
GHWHQWLRQKHDULQJDQGRUGHUHG1HZHOOGHWDLQHGSHQGLQJWULDO
2Q'HFHPEHU1HZHOOHQWHUHGDSOHDRIJXLOW\WR
RQH FRXQW RI WUDQVPLWWLQJ WKUHDWHQLQJ LQWHUVWDWH
FRPPXQLFDWLRQVLQYLRODWLRQRI86&† F ,QWKH
SOHD DJUHHPHQW ERWK WKH *RYHUQPHQW DQG WKH 'HIHQGDQW
LQGLFDWHGWKDWWKH\DQWLFLSDWHGWKDWWKHVHQWHQFLQJUDQJHZRXOG
EHWZHOYHWRHLJKWHHQPRQWKVEDVHGXSRQDQRIIHQVHOHYHORI
DQG D FULPLQDO KLVWRU\ FDWHJRU\ RI ,, XQGHU WKH 8QLWHG
6WDWHV 6HQWHQFLQJ *XLGHOLQHV ³866*´ 7KH\
DFNQRZOHGJHGKRZHYHUWKDWWKHUDQJHZDVQRWELQGLQJXSRQ
WKHVHQWHQFLQJFRXUW
7KH3UREDWLRQ'HSDUWPHQWLVVXHGD3UHVHQWHQFH5HSRUWRQ
-DQXDU\ ,Q WKH UHSRUW WKH 3UREDWLRQ 2IILFHU
FDOFXODWHGDVHQWHQFLQJUDQJHRIWZHQW\VHYHQWRWKLUW\WKUHH
PRQWKV7KHRIILFHUDUULYHGDWWKDWUDQJHE\IDFWRULQJLQDVL[
SRLQW HQKDQFHPHQW WR 1HZHOO¶V RIIHQVH OHYHO SXUVXDQW WR
866*†$ E EDVHGRQWKHFRQFOXVLRQWKDW1HZHOO
HQJDJHGLQFRQGXFWWKDWGHPRQVWUDWHGDQLQWHQWWRFDUU\RXW
WKHWKUHDWWRNLOO5LFKDUG+DPGHQ7KHVSHFLILFFRQGXFWFLWHG
E\WKH3UREDWLRQ2IILFHUZDV1HZHOO¶VSXUFKDVLQJRIDJXQRQ
WKHVDPHGD\WKDWKHPDGHWKHWKUHDW7KHRIIHQVHOHYHODOVR
UHIOHFWHG D WZRSRLQW HQKDQFHPHQW PDGH SXUVXDQW WR
866* † $ E EDVHG RQ WKH IDFW WKDW WKH RIIHQVH
LQYROYHGPRUHWKDQWZRWKUHDWV
7KH GLVWULFW FRXUW FRQGXFWHG D VHQWHQFLQJ KHDULQJ RQ
0DUFK$WWKHKHDULQJWKH'HIHQGDQWREMHFWHGWR
WKHVL[SRLQWLQFUHDVHUHFRPPHQGHGE\WKH3UREDWLRQ2IILFHU
SXUVXDQWWR866*†$ E 7KH'HIHQGDQWDUJXHG
LQWHUDOLDWKDWWKHKDQGJXQWKDWKHSXUFKDVHGRQ6HSWHPEHU
1R 8QLWHG6WDWHVY1HZHOO
,W LV ZRUWK QRWLQJ WKDW 1HZHOO DFWXDOO\ WRRN D VWHS EH\RQG WKRVH
WDNHQ E\ WKH GHIHQGDQWV LQ .LUVK +H GLG QRW VLPSO\ DVN WKH VXSSOLHU RI
WKH JXQ LI KH FRXOG DOVR VXSSO\ DPPXQLWLRQ EXW DOVR WRRN WKH QH[W VWHS RI
VHSDUDWHO\ SXUFKDVLQJ WKH DPPXQLWLRQ ZKHQ WKH JXQ VHOOHU FRXOG QRW
VXSSO\ LW
,Q .LUVK WKH GHIHQGDQWV KXVEDQG DQG ZLIH ZKR VHQW
WKUHDWHQLQJOHWWHUVWRQXPHURXVSHRSOHWKURXJKRXWWKH8QLWHG
6WDWHV EHWZHHQ 1RYHPEHU DQG )HEUXDU\ ZHUH
FRQYLFWHGRIVHQGLQJWKUHDWHQLQJFRPPXQLFDWLRQVWKURXJKWKH
PDLO .LUVK )G DW 2Q DSSHDO WKH 6HFRQG
&LUFXLWXSKHOGWKHGLVWULFWFRXUW¶VVL[OHYHOHQKDQFHPHQWRI
WKHLUVHQWHQFHEDVHGRQWKHIDFWWKDWWZRULIOHVZHUHLQWKHLU
DSDUWPHQW DW WKH WLPH WKH WKUHDWHQLQJ OHWWHUV ZHUH EHLQJ
SUHSDUHGDQGVHQWRXWDQGDWWKHWLPHRIWKHLUDUUHVW,GDW
7KHFRXUWSRLQWHGRXWWKDWRQHRIWKHULIOHVKDGEHHQ
SXUFKDVHGLQWKHIDOORIDQGWKDWWKHKXVEDQGKDGDVNHG
ZKHWKHUWKHVHOOHUFRXOGVXSSO\KLPZLWKDPPXQLWLRQWKHUHE\
HYLGHQFLQJDQLQWHQWWRFDUU\RXWWKHWKUHDWV,G
:HDJUHHZLWKWKHDQDO\VLVVHWIRUWKLQ&DUWHUDQG.LUVK
DQG KROG WKDW 1HZHOO¶V SXUFKDVH DQG SRVVHVVLRQ RI D
FDOLEHUKDQGJXQLQFORVHWHPSRUDOSUR[LPLW\WRWKHPDNLQJRI
WKHWKUHDWVFRQVWLWXWHVFRQGXFWWKDWVXIILFLHQWO\VXSSRUWVDVL[
OHYHO HQKDQFHPHQW XQGHU † $ E 6LPLODU WR WKH
GHIHQGDQWVLQERWK&DUWHUDQG.LUVK1HZHOOSXUFKDVHGDQG
SRVVHVVHGDFDOLEHUVHPLDXWRPDWLFSLVWRODQGDPDWFKLQJ
PDJD]LQHFRQWDLQLQJHLJKWOLYHURXQGVRIDPPXQLWLRQRQWKH
VDPH GD\ WKDW KH PDGH WKH WKUHDWV 7KH SXUFKDVH RI WKH
ZHDSRQDQGDPPXQLWLRQRQWKHYHU\GD\KHPDGHWKHWKUHDWV
SURYLGHV D FOHDU LQGLFDWLRQ WKDW KH LQWHQGHG WR DFW RQ KLV
WKUHDWHQLQJZRUGVDQGKDGWKHPHDQVWRGRVR,QDGGLWLRQ
OLNHWKHGHIHQGDQWLQ&DUWHUHYHQWKRXJK1HZHOOOLYHGLQD
GLIIHUHQWFLW\WKDQWKHYLFWLPVKHNQHZZKHUHWKH\OLYHGLQ
0LFKLJDQ7KHIDFWWKDWKHNQHZZKHUHWKH\OLYHGLQGLFDWHV
WKDWRQFHKHSXUFKDVHGWKHZHDSRQKHKDGWKHDELOLW\WRFDUU\
RXWKLVWKUHDW6HH8QLWHG6WDWHVY6RYLH)G
G &LU DFNQRZOHGJLQJ WKDW WKH GHIHQGDQW¶V
SRVVHVVLRQ RI WKH YLFWLP¶V DGGUHVV DQG SKRQH QXPEHU ZDV
UHOHYDQW WR WKH GHIHQGDQW¶V LQWHQW WR FDUU\ RXW KLV WKUHDWV

-- 6 of 8 --

8QLWHG6WDWHVY1HZHOO 1R
,Q KHU OHWWHU WR WKH FRXUW 0V $YHULOO LQGLFDWHG WKDW KHU IDPLO\
W\SLFDOO\ XVHG EE JXQV SHOOHW JXQV VKRWJXQV DQG FDOLEHU KDQGJXQV
IRU WDUJHW SUDFWLFH
6HH8QLWHG6WDWHVY.LUVK)G G&LU
XSKROGLQJ WKH GLVWULFW FRXUW¶V UHMHFWLRQ RI WKH GHIHQGDQWV¶
FODLPWKDWWKH\KDGSXUFKDVHGJXQVIRUWKHOHJLWLPDWHDFWLYLW\
RI KXQWLQJ DV QRW FUHGLEOH 7KH FRXUW DFNQRZOHGJHG WKDW
VRPHRIWKHHYLGHQFHLQGHHGVXSSRUWHG1HZHOO¶VDUJXPHQW
EXWLWZHQWRQWRZHLJKWKDWHYLGHQFHDJDLQVWWKHIDFWWKDWWKH
JXQ ZDV SXUFKDVHG RQ WKH VDPH GD\ WKDW WKH WKUHDWV ZHUH
PDGH 7KH GLVWULFW FRXUW DOVR ZHLJKHG 1HZHOO¶V HYLGHQFH
DJDLQVW WKH FRQVLGHUDEOH LPSUREDELOLW\ WKDW DQ\RQH ZLWK
VKRRWLQJ H[SHULHQFH ZRXOG SXUFKDVH D FDOLEHU VHPL
DXWRPDWLFKDQGJXQVLPSO\IRUXVHDWWDUJHWSUDFWLFH$VWKH
GLVWULFWFRXUWDSWO\VWDWHGVXFKZHDSRQVDUHW\SLFDOO\XVHGIRU
³FRQFHDOPHQW´DQG³SHUVRQDOSURWHFWLRQ´SXUSRVHVQRWIRU
WDUJHWSUDFWLFH7KHUHIRUHWKHGLVWULFWFRXUWGLGQRWFOHDUO\HUU
LQGHWHUPLQLQJWKDW1HZHOOGLGQRWSXUFKDVHWKHILUHDUPVROHO\
IRUXVHDWWDUJHWSUDFWLFH
+DYLQJ IRXQG WKDW WKH KDQGJXQ ZDV PRVW OLNHO\ QRW
SXUFKDVHGIRUXVHDWWDUJHWSUDFWLFHWKH&RXUWPXVWFRQVLGHU
ZKHWKHU DV D PDWWHU RI ODZ WKH SXUFKDVH RI WKH KDQGJXQ
FRQVWLWXWHVFRQGXFWWKDWHYLGHQFHVDQLQWHQWWRFDUU\RXWWKH
WKUHDWVXIILFLHQWWRVXVWDLQDVL[OHYHOVHQWHQFHHQKDQFHPHQW
,Q8QLWHG6WDWHVY&DUWHU)G WK&LU WKH
6HYHQWK &LUFXLW KHOG WKDW WKH GHIHQGDQW¶V VHQWHQFH ZDV
SURSHUO\ HQKDQFHG EDVHG XSRQ KLV LQWHQW WR FDUU\ RXW KLV
WKUHDWVZKHUHWKHGHIHQGDQWKDGLQKLVSRVVHVVLRQD&ROW
VHPLDXWRPDWLFSLVWRODQGWKUHHORDGHGPDWFKLQJPDJD]LQHV
DWWKHWLPHRIKLVDUUHVW,GDW7KHFRXUWFRQFOXGHGWKDW
WKH ³IDFW WKDW >WKH GHIHQGDQW@ DFWXDOO\ RZQHG DQG FDUULHG
ILUHDUPV VKRZV DQ HDV\ DELOLW\ WR FDUU\ RXW KLV WKUHDWHQHG
YLROHQFHPDNLQJKLVWKUHDWVPRUHWKDQPHUHSXIIHU\´,GDW
FLWDWLRQV RPLWWHG ,Q DGGLWLRQ WKH FRXUW IRXQG WKH
HQKDQFHPHQWWREHVXSSRUWHGE\WKHIDFWWKDWHYHQWKRXJKWKH
GHIHQGDQWOLYHGLQDGLIIHUHQWFLW\KHNQHZZKHUHWKHYLFWLP
OLYHGDQGKRZWRILQGKHU,G
1R 8QLWHG6WDWHVY1HZHOO
ZDVSXUFKDVHGIRUXVHLQWDUJHWSUDFWLFHQRWWRFDUU\
RXWKLVWKUHDWV7RVXSSRUWWKLVDUJXPHQW1HZHOOWHVWLILHG
WKDWKHKDGJRQHWRWKHVWRUHWRSXUFKDVHDFDOLEHUSLVWRO
IRUXVHDWWDUJHWSUDFWLFHEXWWKDWWKHVWRUHGLGQRWKDYHDQ\
VXFK ILUHDUPV VR KH SXUFKDVHG WKH FDOLEHU KDQGJXQ
LQVWHDG1HZHOODOVRSUHVHQWHGDOHWWHUZULWWHQE\DIULHQG
7HUU\$YHULOOLQZKLFK0V$YHULOOH[SODLQHGWKDW1HZHOOKDG
GLVFXVVHGZLWKKHUKLVLQWHQWWRSXUFKDVHDSLVWROWRXVHIRU
WDUJHWSUDFWLFHDWWKHVKRRWLQJUDQJHDWKHUKRPH,QDGGLWLRQ
1HZHOOSUHVHQWHGHYLGHQFHWKDWKHUHWXUQHGWRWKHSDZQVKRS
ZKHUH KH KDG SXUFKDVHG WKH JXQ WR FRUUHFW DQ HUURU LQ WKH
SDSHUZRUNWKDWDFFRPSDQLHGWKHILUHDUP+HFODLPHGWKDW
WKLV DFWLRQ ZDV QRW WKH DFW RI DQ LQGLYLGXDO DWWHPSWLQJ WR
SURFXUHDILUHDUPWRFDUU\RXWDWKUHDW)XUWKHUPRUHKHQRWHG
WKDW DIWHU UHFHLYLQJ WKH SKRQH FDOO IURP WKH SROLFH RQ
6HSWHPEHU KH FHDVHG PDNLQJ FRQWDFW ZLWK 0V
+DPGHQHYHQZKHQKHWUDYHOHGWR0LFKLJDQIRUZRUN+H
VWDWHGWKDWWKLVFHVVDWLRQRIFRPPXQLFDWLRQGHPRQVWUDWHGWKDW
WKHSXUFKDVHRIWKHZHDSRQZDVQRWFRQQHFWHGWRWKHWKUHDWV
WKDWKHKDGPDGH
7KHFRXUWUHMHFWHG1HZHOO¶VDUJXPHQWVDQGIRXQGWKDWWKH
VL[OHYHOHQKDQFHPHQWDSSOLHGWRKLVVHQWHQFH,QUHDFKLQJLWV
FRQFOXVLRQWKHGLVWULFWFRXUWFRQVLGHUHGWKHIROORZLQJIDFWRUV
WKHH[WUDRUGLQDU\SHUVLVWHQFHRIWKH'HIHQGDQWLQVHQGLQJ
HPDLODQGYRLFHPDLOPHVVDJHV WKHFRQWLQXLQJXQGHUWRQH
RI WKUHDWHQLQJ DQG H[WUDRUGLQDULO\ DQJU\ ODQJXDJH LQ WKH
PHVVDJHV WKHWHPSRUDOSUR[LPLW\RIWKHSXUFKDVHRIWKH
ILUHDUPWRWKHPDNLQJRIWKHWKUHDWV WKHVHSDUDWHSXUFKDVH
RIWKHDPPXQLWLRQDQG WKHIDFWWKDWWKHILUHDUPFRXOGEH
ORDGHGZLWKLQDPDWWHURIVHFRQGV7KHFRXUWDOVRUHFRJQL]HG
WKDW D FDOLEHU SLVWRO LV XVXDOO\ SXUFKDVHG IRU
³FRQFHDOPHQW´DQG³SHUVRQDOSURWHFWLRQ´QRWWDUJHWSUDFWLFH
$FFRUGLQJO\ WKH FRXUW VHQWHQFHG 1HZHOO WR WZHQW\VHYHQ
PRQWKVFRQILQHPHQWIROORZHGE\WKUHH\HDUVRIVXSHUYLVHG
UHOHDVH
7KHGLVWULFWFRXUWHQWHUHGMXGJPHQWRQ0DUFK2Q
WKDWVDPHGD\1HZHOOILOHGDWLPHO\QRWLFHRIDSSHDO

-- 7 of 8 --

8QLWHG6WDWHVY1HZHOO 1R
,,67$1'$5'2)5(9,(:
,QUHYLHZLQJFKDOOHQJHVWRVHQWHQFHVWKLV&RXUWUHYLHZVWKH
GLVWULFWFRXUW¶VOHJDOFRQFOXVLRQVUHJDUGLQJWKHDSSOLFDWLRQRI
WKH6HQWHQFLQJ*XLGHOLQHVGHQRYRDQGUHYLHZVWKHGLVWULFW
FRXUW¶V IDFWXDO ILQGLQJV IRU FOHDU HUURU 8QLWHG 6WDWHV Y
7D\ORU )G WK &LU $ ILQGLQJ LV
FOHDUO\HUURQHRXVZKHQWKHGHFLVLRQ³VWULNH>V@XVDVZURQJ
ZLWKWKHIRUFHRIDILYHZHHNROGXQUHIULJHUDWHGGHDGILVK´
,G TXRWLQJ 8QLWHG 6WDWHV Y 3HUU\ )G WK
&LU
,,,',6&866,21
866*†$ E SURYLGHV³,IWKHRIIHQVH>RIPDNLQJ
WKUHDWHQLQJ FRPPXQLFDWLRQV@ LQYROYHG DQ\ FRQGXFW
HYLGHQFLQJDQLQWHQWWRFDUU\RXWVXFKWKUHDWLQFUHDVH>WKH
RIIHQVHOHYHO@E\OHYHOV´86 6(17(1&,1* *8,'(/,1(6
† $ E ,Q WKH &RPPHQWDU\ DFFRPSDQ\LQJ WKH
†$$SSOLFDWLRQ1RWHVWDWHV
,QGHWHUPLQLQJZKHWKHUVXEVHFWLRQ>@ E >DSSOLHV@
WKHFRXUWVKDOOFRQVLGHUERWKFRQGXFWWKDWRFFXUUHGSULRU
WR WKH RIIHQVH DQG FRQGXFW WKDW RFFXUUHG GXULQJ WKH
RIIHQVH KRZHYHU FRQGXFW WKDW RFFXUUHG SULRU WR WKH
RIIHQVHPXVWEHVXEVWDQWLDOO\DQGGLUHFWO\FRQQHFWHGWR
WKHRIIHQVHXQGHUWKHIDFWVRIWKHFDVHWDNHQDVDZKROH
)RUH[DPSOHLIWKHGHIHQGDQWHQJDJHGLQVHYHUDODFWVRI
PDLOLQJ WKUHDWHQLQJ OHWWHUV WR WKH VDPH YLFWLP RYHU D
SHULRGRI\HDUV LQFOXGLQJDFWVWKDWRFFXUUHGSULRUWRWKH
RIIHQVH WKHQ IRU SXUSRVHV RI GHWHUPLQLQJ ZKHWKHU
VXEVHFWLRQ>@ E >DSSOLHV@WKHFRXUWVKDOOFRQVLGHU
RQO\WKRVHSULRUDFWVRIWKUHDWHQLQJWKHYLFWLPWKDWKDYH
DVXEVWDQWLDODQGGLUHFWFRQQHFWLRQWRWKHRIIHQVH
86 6(17(1&,1* *8,'(/,1(6 0$18$/†$ E FPW
Q
7KHSLYRWDOLQTXLU\ZKHQGHWHUPLQLQJWKHDSSURSULDWHQHVV
RI D † $ E HQKDQFHPHQW LV ZKHWKHU WKH GHIHQGDQW
LQWHQGHGWR FDUU\ RXWWKHWKUHDWDQGWKHOLNHOLKRRGWKDWKH
1R 8QLWHG6WDWHVY1HZHOO
$OWKRXJK WKH GLVWULFW FRXUW GLG QRW H[SOLFLWO\ UHMHFW 1HZHOO¶V
HYLGHQFH SUHVHQWHG LQ VXSSRUW RI KLV FRQWHQWLRQ WKDW KH SXUFKDVHG WKH
KDQGJXQ VROHO\ IRU XVH DW WDUJHW SUDFWLFH LW GLG VR DW OHDVW LPSOLFLWO\ ZKHQ
LW UHOLHG RQ WKH SXUFKDVH RI WKH KDQGJXQ LQ VXSSRUW RI WKH VL[OHYHO
HQKDQFHPHQW
ZRXOGDFWXDOO\GRVR8QLWHG6WDWHVY*DU\)G
WK&LU KROGLQJWKDWDQ\DFWVWKDWHYLGHQFH
DQ LQWHQW WR FDUU\ RXW WKH WKUHDWV PD\ IRUP WKH EDVLV IRU D
†$ E HQKDQFHPHQW $FFRUGLQJO\HVVHQWLDOWRWKH
GHWHUPLQDWLRQRIZKHWKHUWRDSSO\WKHVL[SRLQWHQKDQFHPHQW
LV D ILQGLQJ WKDW D QH[XV H[LVWV EHWZHHQ WKH GHIHQGDQW¶V
FRQGXFWDQGWKHWKUHDWVWKDWIRUPWKHEDVLVRIWKHLQGLFWPHQW
6HH8QLWHG6WDWHVY7D\ORU)G WK&LU
FRQFOXGLQJWKDWWKHHVVHQWLDOLQTXLU\XQGHU†$ E LV
³ZKHWKHUWKHIDFWVRIWKHFDVHWDNHQDVDZKROHHVWDEOLVKD
VXIILFLHQWO\ GLUHFW FRQQHFWLRQ EHWZHHQ WKH GHIHQGDQW¶V
FRQGXFWDQGKLVWKUHDW´
1HZHOO DUJXHV WKDW QRQH RI WKH IDFWRUV UHOLHG RQ E\ WKH
GLVWULFWFRXUWWRDSSO\DVL[SRLQWHQKDQFHPHQWYLHZHGHLWKHU
DORQHRUFROOHFWLYHO\GHPRQVWUDWHVDVXEVWDQWLDODQGGLUHFW
FRQQHFWLRQWRKLVRIIHQVH7KLV&RXUWKRZHYHUILQGVWKDW
ERWKWKHSXUFKDVHRIWKHKDQGJXQLQFORVHWHPSRUDOSUR[LPLW\
WRWKHPDNLQJRIWKHWKUHDWVDQGWKHWRQHFRPPXQLFDWHGE\
WKH WKUHDWV WKHPVHOYHV FRQVWLWXWH FRQGXFW HYLGHQFLQJ DQ
LQWHQWWRFDUU\RXWWKHWKUHDWV
$3XUFKDVHRIWKH+DQGJXQ
)LUVW WKH &RXUW ILQGV WKDW WKH GLVWULFW FRXUW SURSHUO\
FRQFOXGHG DV D PDWWHU RI IDFW WKDW WKH FDOLEHU VHPL
DXWRPDWLFKDQGJXQSXUFKDVHGE\1HZHOOZDVSUREDEO\QRW
SXUFKDVHGIRUXVHLQWDUJHWSUDFWLFHEXWLQVWHDGZDVSXUFKDVHG
LQFRQQHFWLRQZLWKWKHWKUHDWVPDGHDJDLQVWWKH+DPGHQV,Q
SHUIRUPLQJLWVUROHDVWKHIDFWILQGHUDWVHQWHQFLQJWKHGLVWULFW
FRXUW FDUHIXOO\ ZHLJKHG HDFK RI WKH SLHFHV RI HYLGHQFH
SUHVHQWHGE\1HZHOOLQVXSSRUWRIKLVFODLPWKDWKHSXUFKDVHG
WKHFDOLEHUKDQGJXQRQO\IRUXVHDWWDUJHWSUDFWLFHDQG
SURSHUO\H[HUFLVHGLWVGLVFUHWLRQLQUHMHFWLQJWKDWHYLGHQFH

-- 8 of 8 --

Continue your research in ChatGPT or Claude

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