03a0069p.06

01-6170Court of Appeals for the Sixth CircuitMar 5, 2003

Full text

7DUHFR3URSHUWLHVY0RUULVV 1R
KLV DWWRUQH\V $FFRUGLQJO\ 7DUHFR 3URSHUWLHV VKDOO KDYH
ILIWHHQGD\VIURPWKHILOLQJRIWKLVRSLQLRQWRVXEPLWSURSHU
GRFXPHQWDWLRQRILWVGDPDJHVDQGFRVWVWRWKHFOHUNRIWKH
FRXUWDQG0RUULVVDQGKLVDWWRUQH\VVKDOOKDYHWHQGD\VDIWHU
7DUHFR 3URSHUWLHV¶ VXEPLVVLRQ WR UHVSRQG WR WKLV
GRFXPHQWDWLRQ6HH:LOWRQ&RUS)GDW *LOPDQ
-FRQFXUULQJ
'0RUULVV¶V0RWLRQWR6WULNH
0RUULVVFRQWHQGVWKDWZHVKRXOGVWULNH7DUHFR3URSHUWLHV¶
PRWLRQ IRU VDQFWLRQV EHFDXVH 7DUHFR 3URSHUWLHV ILOHG D
VHSDUDWH PHPRUDQGXP LQ VXSSRUW RI LWV PRWLRQ LQVWHDG RI
LQFOXGLQJLWVOHJDODUJXPHQWVLQWKHVDPHGRFXPHQWDVWKH
PRWLRQLWVHOISXUVXDQWWR&LU5 D :KLOHLWLVWUXHWKDW
7DUHFR3URSHUWLHVWHFKQLFDOO\YLRODWHGWKLV6L[WK&LUFXLWUXOH
WKHYLRODWLRQZDVKDUPOHVVGLGQRWSUHMXGLFH0RUULVVLQDQ\
ZD\ DQG GLG QRW DIIHFW WKH FRXUW¶V DELOLW\ WR FRQVLGHU WKH
PRWLRQIXOO\8QGHUWKHVHFLUFXPVWDQFHVVWULNLQJWKHPRWLRQ
LVQRWZDUUDQWHG0RUULVV¶VDUJXPHQWIRUVWULNLQJWKHDIILGDYLW
WKDW 7DUHFR 3URSHUWLHV ILOHG LQ VXSSRUW RI LWV PRWLRQ IRU
VDQFWLRQVLVVLPLODUO\ZLWKRXWPHULW
,,,
)RUDOOWKHIRUHJRLQJUHDVRQVZHDIILUPWKHGLVWULFWFRXUW¶V
GHQLDORI0RUULVV¶V5XOHPRWLRQ,QDGGLWLRQZHGHQ\
0RUULVV¶VPRWLRQWRVXSSOHPHQWWKHUHFRUGDQGKLVPRWLRQWR
VWULNH 7DUHFR 3URSHUWLHV¶ PRWLRQ IRU VDQFWLRQV :H JUDQW
7DUHFR3URSHUWLHV¶PRWLRQIRUPRQHWDU\VDQFWLRQVZLWKWKH
DPRXQWRI VDQFWLRQVWREHGHWHUPLQHGHLWKHUE\DJUHHPHQW
EHWZHHQWKHSDUWLHVRULQWKHHYHQWWKHSDUWLHVFDQQRWDJUHH
E\ WKH FRXUW DIWHU FRQVLGHUDWLRQ RI 7DUHFR 3URSHUWLHV¶
GRFXPHQWDWLRQ RI GDPDJHV DQG FRVWV DQG DQ\ UHVSRQVH E\
0RUULVVDQGKLVDWWRUQH\V
7KH +RQRUDEOH 3HWHU & (FRQRPXV 8QLWHG 6WDWHV 'LVWULFW -XGJH IRU
WKH 1RUWKHUQ '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
7$5(&2 3523(57,(6 ,1&
3ODLQWLII$SSHOOHH
Y
67(9( 0255,66
'HIHQGDQW$SSHOODQW
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH0LGGOH'LVWULFWRI7HQQHVVHHDW1DVKYLOOH
1R²$OHWD$7UDXJHU'LVWULFW-XGJH
$UJXHG)HEUXDU\
'HFLGHGDQG)LOHG0DUFK
%HIRUH*,/0$1DQG*,%%216&LUFXLW-XGJHV
(&212086'LVWULFW-XGJH
BBBBBBBBBBBBBBBBB
&2816(/
$5*8('-RKQ3.RQYDOLQND*5$17.219$/,1.$
+$55,621 &KDWWDQRRJD 7HQQHVVHH IRU $SSHOODQW
-HIIUH\ $ODQ *UHHQH 1DVKYLOOH 7HQQHVVHH IRU $SSHOOHH

-- 1 of 4 --

7DUHFR3URSHUWLHVY0RUULVV 1R
21 %5,() -RKQ 3 .RQYDOLQND 6WHSKHQ 5 %HFNKDP
*5$17 .219$/,1.$ +$55,621 &KDWWDQRRJD
7HQQHVVHHIRU$SSHOODQW-HIIUH\$ODQ*UHHQH1DVKYLOOH
7HQQHVVHHIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
-8/,$ 60,7+ *,%%216 &LUFXLW -XGJH 7DUHFR
3URSHUWLHV,QFEURXJKWWKLVFROOHFWLRQDFWLRQDJDLQVW6WHYH
0RUULVVVHHNLQJWRHQIRUFHDMXGJPHQWDJDLQVW0RUULVV
IRU DOPRVW WZR PLOOLRQ GROODUV 7KH MXGJPHQW ZDV
HQWHUHGLQD7H[DVIHGHUDOFRXUW7DUHFR3URSHUWLHVILOHGWKH
SUHVHQW DFWLRQ LQ WKH 0LGGOH 'LVWULFW RI 7HQQHVVHH ZKHUH
0RUULVVUHVLGHV$IWHUDJJUHVVLYHO\GHIHQGLQJWKHDFWLRQIRU
VRPH WLPH 0RUULVV DJUHHG WR WUDQVIHU FHUWDLQ SURSHUW\ WR
7DUHFR3URSHUWLHVLQSDUWLDOVDWLVIDFWLRQRIWKHMXGJPHQWGHEW
7KLVDJUHHPHQWZDVLQFOXGHGLQDQDJUHHGRUGHUHQWHUHGE\
WKHGLVWULFWFRXUWRQ-XO\
$OPRVW RQH \HDU ODWHU RQ -XO\ 0RUULVV ILOHG D
PRWLRQZLWKWKHGLVWULFWFRXUWVHHNLQJUHOLHIIURPWKH-XO\
DJUHHGRUGHURQWKHEDVLVWKDWWKHRUGHUZDVWKHUHVXOW
RI³RYHUVLJKWRURPLVVLRQPLVWDNHLQDGYHUWHQFHRUH[FXVDEOH
QHJOHFW´ 7KH GLVWULFW FRXUW GHQLHG 0RUULVV¶V PRWLRQ DQG
0RUULVVDSSHDOHG)RUWKHUHDVRQVVHWIRUWKEHORZZHDIILUP
WKHGLVWULFWFRXUW¶VGHFLVLRQ
,QDGGLWLRQZHGHQ\0RUULVV¶VPRWLRQWRVXSSOHPHQWWKH
UHFRUG JUDQW 7DUHFR 3URSHUWLHV¶ PRWLRQ IRU VDQFWLRQV DQG
GHQ\0RUULVV¶VPRWLRQWRVWULNH7DUHFR3URSHUWLHV¶PRWLRQIRU
VDQFWLRQV
,
2Q-XQHWKH8QLWHG6WDWHV'LVWULFW&RXUWIRUWKH
6RXWKHUQ'LVWULFWRI7H[DVHQWHUHGDILQDOMXGJPHQWIRUDOPRVW
WZRPLOOLRQGROODUVDJDLQVW0RUULVVDQGRWKHUGHIHQGDQWVLQDQ
DFWLRQEURXJKWE\WKH)HGHUDO'HSRVLW,QVXUDQFH&RUSRUDWLRQ
1R 7DUHFR3URSHUWLHVY0RUULVV
RUGHURQWKHJURXQGWKDWWKH³SULRUMXGJPHQWXSRQZKLFKLWLV
EDVHGKDVEHHQUHYHUVHGRURWKHUZLVHYDFDWHG´WKH7HQQHVVHH
VWDWHFRXUWRUGHUVZRXOGQRWVXSSRUWKLVSRVLWLRQ
&7DUHFR3URSHUWLHV¶0RWLRQIRU6DQFWLRQV
$VVHUWLQJWKDWWKLVDSSHDOLVIULYRORXV7DUHFR3URSHUWLHV
PRYHV IRU VDQFWLRQV DJDLQVW 0RUULVV DQG KLV DWWRUQH\V
SXUVXDQWWR)HGHUDO5XOHRI$SSHOODWH3URFHGXUHDQG
86&††%RWK5XOHDQG†SHUPLWD
FRXUW RI DSSHDOV LQ LWV GLVFUHWLRQ WR DZDUG GDPDJHV DQG
VLQJOHRUGRXEOHFRVWVWRDQDSSHOOHHLIWKHDSSHDOLVIULYRORXV
$Q DSSHDO LV IULYRORXV ZKHQ WKH DSSHOODQW¶V DUJXPHQWV
³HVVHQWLDOO\ KDG QR UHDVRQDEOH H[SHFWDWLRQ RI DOWHULQJ WKH
GLVWULFWFRXUW¶VMXGJPHQWEDVHGRQODZRUIDFW´:LOWRQ&RUS
Y$VKODQG&DVWLQJV&RUS)G WK&LU
6HFWLRQ SHUPLWV D IHGHUDO FRXUW LQ LWV GLVFUHWLRQ WR
DVVHVV GDPDJHV DQG FRVWV GLUHFWO\ DJDLQVW DQ DWWRUQH\ ZKR
³PXOWLSOLHV WKH SURFHHGLQJV LQ DQ\ FDVH XQUHDVRQDEO\ DQG
YH[DWLRXVO\´7KLVVWDQGDUGLVPHW³ZKHQDQDWWRUQH\NQRZV
RUUHDVRQDEO\VKRXOGNQRZWKDWDFODLPSXUVXHGLVIULYRORXV´
-RQHVY&RQWLQHQWDO&RUS)G WK&LU
$QDSSHOOHHGRHVQRWKDYHWRGHPRQVWUDWHWKDWWKH
DSSHOODQWRUKLVDWWRUQH\VDFWHGLQEDGIDLWKWRVXFFHHGRQD
PRWLRQIRUVDQFWLRQV,G:LOWRQ&RUS)GDW
0RUULVVDQGKLVDWWRUQH\VFKRVHWRILOHDSUHPDWXUH5XOH
PRWLRQ LQ WKH GLVWULFW FRXUW EHIRUH WKH\ KDG VXFFHVVIXOO\
FKDOOHQJHG WKH MXGJPHQW LQ WKH DSSURSULDWH FRXUW
%HFDXVHRIWKLVFKRLFH0RUULVDQGKLVDWWRUQH\VFRXOGQRWUHO\
XSRQWKHSRUWLRQRI5XOHGHDOLQJZLWK UHOLHI IURPILQDO
RUGHUVWKDWDUHEDVHGRQSULRUILQDOMXGJPHQWVWKDWKDYHEHHQ
UHYHUVHG RU RWKHUZLVH YDFDWHG ,QVWHDG ZLWKRXW DQ\
OHJLWLPDWHMXVWLILFDWLRQ0RUULVVDQGKLVDWWRUQH\VUHOLHGXSRQ
WKHSRUWLRQRI5XOHGHDOLQJZLWK³PLVWDNHLQDGYHUWHQFH
VXUSULVH RU H[FXVDEOH QHJOHFW´ 7KLV DSSHDO KDG QR
UHDVRQDEOH FKDQFH RI VXFFHVV DQG 0RUULVV¶V DWWRUQH\V
UHDVRQDEO\VKRXOGKDYHNQRZQWKDWWKLVDSSHDOZDVIULYRORXV
%DVHGRQWKHXQLTXHIDFWVRIWKLVFDVHDQGWKHIULYROLW\RI
WKLVDSSHDOZHH[HUFLVHRXUGLVFUHWLRQWRVDQFWLRQ0RUULVVDQG

-- 2 of 4 --

7DUHFR3URSHUWLHVY0RUULVV 1R
0RUULVV UHTXHVWHG WKDW WKLV FRXUW VWD\ WKLV DSSHDO SHQGLQJ WKH )LIWK
&LUFXLW¶V GHFLVLRQ RQ ZKHWKHU WR YDFDWH WKH MXGJPHQW ,Q D SULRU
RUGHU ZH GHQLHG 0RUULVV¶V PRWLRQ WR VWD\ EHFDXVH D UXOLQJ IURP WKH )LIWK
&LUFXLW YDFDWLQJ WKH MXGJPHQW ZRXOG QRW DIIHFW WKH TXHVWLRQ RI
ZKHWKHU WKH -XO\ DJUHHG RUGHU ZDV HQWHUHG GXH WR ³PLVWDNH
LQDGYHUWHQFH VXUSULVH RU H[FXVDEOH QHJOHFW´ )HG 5 &LY 3 (YHQ
LI D UHYHUVDO IURP WKH )LIWK &LUFXLW ZHUH WR FUHDWH D JURXQG XSRQ ZKLFK
0RUULVV FRXOG PRYH IRU 5XOH UHOLHI IURP WKH -XQH DJUHHG
RUGHU WKLV QHZ PRWLRQ RQ D QHZ JURXQG ZRXOG KDYH WR EH FRQVLGHUHG
LQLWLDOO\ E\ WKH GLVWULFW FRXUW
0RUULVV¶V 5XOH PRWLRQ LQ WKH GLVWULFW FRXUW EHORZ ZDV
SUHPDWXUH5XOHGRHVQRWDOORZDSDUW\WRREWDLQUHOLHI
IURPDILQDORUGHURQWKHEDVLVWKDWWKHSDUW\LVFKDOOHQJLQJWKH
SULRUMXGJPHQWXSRQZKLFKLWLVEDVHG5XOHUHTXLUHVWKDW
WKHSULRUMXGJPHQWEH³UHYHUVHGRURWKHUZLVHYDFDWHG´
%0RUULVV¶V0RWLRQWR6XSSOHPHQWWKH5HFRUG
0RUULVVKDVPRYHGWKLVFRXUWWRVXSSOHPHQWWKHUHFRUGZLWK
FRSLHVRIWZRRUGHUVHQWHUHGE\D7HQQHVVHHVWDWHWULDOFRXUW
LQ D FDVH LQYROYLQJ WKH VDPH SDUWLHV 7DUHFR 3URSHUWLHV
EURXJKWWKHVWDWHFRXUWDFWLRQDJDLQVW0RUULVVWRHQIRUFHWKH
MXGJPHQW ,Q ERWK RUGHUV ZKLFK ZHUH HQWHUHG
UHVSHFWLYHO\RQ-XO\DQG1RYHPEHUWKH
7HQQHVVHHVWDWHFRXUWGHQLHGIXOOIDLWKDQGFUHGLWWRWKH
MXGJPHQWIURPWKH7H[DVIHGHUDOFRXUWEHFDXVHWKH7HQQHVVHH
FRXUWIRXQGWKDWWKH)',&KDGQRWSURSHUO\VHUYHG0RUULVV
ZLWK WKH QRWLFH RI UHPRYDO RU WKH PRWLRQ IRU VXPPDU\
MXGJPHQWLQWKH7H[DVDFWLRQ
:H GHQ\ 0RUULVV¶V PRWLRQ WR VXSSOHPHQW WKH UHFRUG
EHFDXVHWKHVHWZRRUGHUVKDYHQRLPSDFWRQWKLVDSSHDO7KH
VROHLVVXHRQWKLVDSSHDOLVZKHWKHUWKH-XO\DJUHHG
RUGHUZDVHQWHUHGGXHWR³PLVWDNHLQDGYHUWHQFHVXUSULVHRU
H[FXVDEOHQHJOHFW´7KHUHVROXWLRQRIWKLVLVVXHGRHVQRWWXUQ
RQZKHWKHU7HQQHVVHHVWDWHFRXUWVJUDQWIXOOIDLWKDQGFUHGLW
WRWKHMXGJPHQW)XUWKHUPRUHWKH7HQQHVVHHVWDWHFRXUW
RUGHUV GR QRW ³UHYHUVH RU RWKHUZLVH YDFDWH´ WKH
MXGJPHQWIURPWKH7H[DVIHGHUDOFRXUWWKXVHYHQLI0RUULVV
KDGUHTXHVWHG5XOHUHOLHIIURPWKH-XO\DJUHHG
1R 7DUHFR3URSHUWLHVY0RUULVV
)',& 7DUHFR 3URSHUWLHV VXEVHTXHQWO\ SXUFKDVHG WKH
MXGJPHQWDJDLQVW0RUULVVIURPWKH)',&2Q'HFHPEHU
7DUHFR3URSHUWLHVILOHGWKLVDFWLRQDJDLQVW0RUULVVLQ
WKH 8QLWHG 6WDWHV 'LVWULFW &RXUW IRU WKH 0LGGOH 'LVWULFW RI
7HQQHVVHH VHHNLQJ WR HQIRUFH WKH MXGJPHQW DJDLQVW
0RUULVVZKROLYHVLQWKDWGLVWULFW,QUHVSRQVH0RUULVVILOHG
D PRWLRQ VHHNLQJ WR SUHYHQW HQIRUFHPHQW RI WKH
MXGJPHQW RQ WKH EDVLV RI DQ DOOHJHG FRQVSLUDF\ EHWZHHQ
7DUHFR3URSHUWLHVDQG0RUULVV¶VIRUPHUDWWRUQH\V
%HIRUH 0RUULVV¶V PRWLRQ ZDV UHVROYHG KRZHYHU KLV
DWWRUQH\ ZLWKGUHZ WKH PRWLRQ DQG PRYHG WR ZLWKGUDZ DV
FRXQVHOIRU0RUULVV%HIRUHZLWKGUDZLQJ0RUULVV¶VDWWRUQH\
ILOHG D GRFXPHQW ZLWK WKH FRXUW FRUUHFWLQJ LQDFFXUDWH
WHVWLPRQ\JLYHQE\KLVFOLHQW%DVHGRQWKLVGRFXPHQWWKH
GLVWULFW FRXUW UHIHUUHG 0RUULVV WR WKH 86 $WWRUQH\ IRU
SRVVLEOHSURVHFXWLRQIRUSHUMXU\
0RUULVV REWDLQHG QHZ FRXQVHO DQG FRQWLQXHG WR SXUVXH
GLVFRYHU\ UHODWLQJ WR KLV FRQVSLUDF\ WKHRU\ 0HDQZKLOH
7DUHFR3URSHUWLHVPRYHGWRVHOOFHUWDLQRI0RUULVV¶VSURSHUW\
DQG WR KROG 0RUULVV LQ FLYLO DQG FULPLQDO FRQWHPSW RQ WKH
EDVLVRIDPRQJRWKHUWKLQJVSHUMXU\DQGIDLOXUHWRFRRSHUDWH
ZLWK GLVFRYHU\ ,QVWHDG RI UHVSRQGLQJ WR WKHVH PRWLRQV
0RUULVV HOHFWHG WR HQWHU LQWR DQ DJUHHPHQW ZLWK 7DUHFR
3URSHUWLHV ZKLFK ZDV HQFRPSDVVHG LQ DQ DJUHHG RUGHU
HQWHUHG E\ WKH FRXUW RQ -XO\ 7KH DJUHHG RUGHU
UHTXLUHG 0RUULVV WR WUDQVIHU FHUWDLQ SURSHUW\ WR 7DUHFR
3URSHUWLHVLQSDUWLDOVDWLVIDFWLRQRIWKHMXGJPHQW
$ERXW RQH \HDU ODWHU RQ -XO\ 0RUULVV ILOHG D
PRWLRQVHHNLQJUHOLHIIURPWKH-XO\DJUHHGRUGHURQ
WKHJURXQGVRI³RYHUVLJKWRURPLVVLRQPLVWDNHLQDGYHUWHQFH
RUH[FXVDEOHQHJOHFW´)RUWKHILUVWWLPH0RUULVVFODLPHGWKDW
WKHMXGJPHQWZDVYRLGEHFDXVHWKH)',&KDGIDLOHGWR
VHUYH KLP ZLWK WKH QRWLFH RI UHPRYDO RU WKH VXPPDU\
MXGJPHQWPRWLRQLQWKH)',&DFWLRQ0RUULVVGLGQRWDUJXH
KRZHYHUWKDWWKH-XO\DJUHHGRUGHUZDVYRLGRUWKDW
KH GLG QRW YROXQWDULO\ DJUHH WR WKH -XO\ RUGHU
0RUULVV VLPSO\ DVVHUWHG ZLWKRXW DQ\ VSHFLILFLW\ WKDW WKH

-- 3 of 4 --

7DUHFR3URSHUWLHVY0RUULVV 1R
-XO\RUGHUZDVEDVHGRQ³RYHUVLJKWRURPLVVLRQ
PLVWDNH LQDGYHUWHQFH RU H[FXVDEOH QHJOHFW´ 7KH GLVWULFW
FRXUWGHQLHGWKLVPRWLRQRQ-XO\ILQGLQJDPRQJ
RWKHUWKLQJVWKDWWKHDJUHHGRUGHUZDVQRWHQWHUHGDVDUHVXOW
RI DQ\ RYHUVLJKW RU RPLVVLRQ PLVWDNH LQDGYHUWHQFH RU
H[FXVDEOHQHJOHFWDQGWKDW0RUULVVKDGEHHQUHSUHVHQWHGE\
³H[WUHPHO\FRPSHWHQWFRXQVHO´ZKHQKHDJUHHGWRWKHHQWU\
RIWKH-XO\RUGHU0RUULVVDSSHDOVIURPWKHGHQLDO
RIKLVPRWLRQ
,,
$7KH'LVWULFW&RXUW¶V'HQLDORI0RUULVV¶V5XOH
0RWLRQ
5XOHRIWKH)HGHUDO5XOHVRI&LYLO3URFHGXUHSURYLGHVLQ
UHOHYDQWSDUWWKDW³WKHFRXUWPD\UHOLHYHDSDUW\RUDSDUW\¶V
OHJDO UHSUHVHQWDWLYH IURP D ILQDO MXGJPHQW RUGHU RU
SURFHHGLQJ IRU PLVWDNH LQDGYHUWHQFH VXUSULVH RU
H[FXVDEOHQHJOHFW´&RQVLVWHQWZLWKWKHSHUPLVVLYH³PD\´LQ
5XOHWKLVFRXUWUHYLHZVDGLVWULFWFRXUW¶VGHQLDORI5XOH
UHOLHIIRUDEXVHRIGLVFUHWLRQ)+&(TXLWLHV//&Y0%/
/LIH$VVXU&RUS)G WK&LU
0RUULVVFODLPVWKDWWKH)',&QHYHUVHUYHGKLPZLWKWKH
QRWLFHRIUHPRYDORUWKHPRWLRQIRUVXPPDU\MXGJPHQWWKDW
UHVXOWHG LQ WKH HQWU\ RI MXGJPHQW DJDLQVW KLP LQ WKH
8QLWHG 6WDWHV 'LVWULFW &RXUW IRU WKH 6RXWKHUQ 'LVWULFW RI
7H[DV7KHUHIRUH0RUULVVFODLPVWKDWWKHMXGJPHQWLV
YRLG %HFDXVH WKH MXGJPHQW LV YRLG DFFRUGLQJ WR
0RUULVVWKH-XO\DJUHHGRUGHUZKLFKLVEDVHGRQ
WKHMXGJPHQWZDVWKHUHVXOWRI³RYHUVLJKWRURPLVVLRQ
PLVWDNHLQDGYHUWHQFHRUH[FXVDEOHQHJOHFW´$FFRUGLQJO\
0RUULVVDUJXHVWKDWKHLVHQWLWOHGWRUHOLHIIURPWKH-XO\
DJUHHGRUGHUSXUVXDQWWR5XOH
%HFDXVHQHLWKHU³RYHUVLJKW´QRU³RPLVVLRQ´LVDJURXQGIRU
UHOLHIXQGHU5XOHZHFRQVLGHUZKHWKHUWKH-XO\
RUGHUZDVHQWHUHGEHFDXVHRI³PLVWDNHLQDGYHUWHQFHVXUSULVH
RU H[FXVDEOH QHJOHFW´ 0RUULVV KDV QRW LGHQWLILHG DQ\
LQDGYHUWHQFHVXUSULVHRUH[FXVDEOHQHJOHFWXSRQZKLFKKH
1R 7DUHFR3URSHUWLHVY0RUULVV
EDVHVKLVFODLPIRU5XOHUHOLHI0RUULVV¶VVROHDUJXPHQWLV
HVVHQWLDOO\WKDWWKH-XO\DJUHHGRUGHUZDVDPLVWDNH
EHFDXVHLWZDVEDVHGRQWKHMXGJPHQWZKLFK0RUULVV
DUJXHVLVYRLG
0RUULVV KRZHYHU SUHVHQWV QR HYLGHQFH WKDW KH ZDV
XQDZDUHRIDQ\IDFWUHJDUGLQJWKHMXGJPHQWZKHQKH
DJUHHGWRWKH-XO\DJUHHGRUGHU7RWKHFRQWUDU\WKH
UHFRUGGHPRQVWUDWHVWKDW0RUULVVZLWKWKHDLGRIFRPSHWHQW
FRXQVHO DQG ZLWK IXOO NQRZOHGJH RI DOO WKH UHOHYDQW IDFWV
DJUHHG WR WKH HQWU\ RI WKH -XO\ RUGHU WR UHVROYH
SHQGLQJGLVSXWHVLQFOXGLQJDPRWLRQDJDLQVWKLPIRUFLYLODQG
FULPLQDOFRQWHPSW0RUULVVZRXOGKDYHNQRZQWKDWWKH)',&
GLGQRWVHUYHKLPZLWKWKHQRWLFHRIUHPRYDODQGWKHPRWLRQ
IRUVXPPDU\MXGJPHQWZKHQKHDJUHHGWRWKH-XO\
RUGHULIKLVSUHVHQWFODLPLVWUXH
,I 0RUULVV EHOLHYHG WKDW KLV ODFN RI VHUYLFH FODLP ZDV
YLDEOHKHFRXOGKDYHOLWLJDWHGWKHLVVXHEHIRUHDJUHHLQJWRWKH
-XO\RUGHU,QVWHDGKRZHYHUKHQHYHUUDLVHGWKH
LVVXHXQWLOKLV-XO\5XOHPRWLRQ0RUULVV¶VFODLP
LQWKLVDSSHDODPRXQWVWRQRWKLQJPRUHWKDQDQDVVHUWLRQWKDW
KHPDGHDVWUDWHJLFHUURUE\DJUHHLQJWRWKH-XO\
RUGHUEHIRUHOLWLJDWLQJWKHODFNRIVHUYLFHLVVXH5XOHGRHV
QRWUHOLHYHSDUWLHVIURPVWUDWHJLFPLVWDNHV)HGHUDO V,QFY
(GPRQWRQ ,QY &R )G WK &LU
KROGLQJWKDW5XOHGRHVQRWUHOLHYHDSDUW\IURPPLVWDNHV
LQOLWLJDWLRQVWUDWHJ\
6LJQLILFDQWO\5XOHSURYLGHVWKDWDFRXUWPD\UHOLHYHD
SDUW\IURPDILQDORUGHURQWKHJURXQGWKDW³DSULRUMXGJPHQW
XSRQ ZKLFK LW LV EDVHG KDV EHHQ UHYHUVHG RU RWKHUZLVH
YDFDWHG´0RUULVVGRHVQRWUHO\XSRQWKLVSRUWLRQRI5XOH
EHFDXVH WKH MXGJPHQW KDV QRW EHHQ UHYHUVHG RU
RWKHUZLVH YDFDWHG GHVSLWH 0RUULVV¶V HIIRUWV ,Q DQ RUGHU
GDWHG0DUFKWKH8QLWHG6WDWHV'LVWULFW&RXUWIRUWKH
6RXWKHUQ'LVWULFWRI7H[DVUHMHFWHG0RUULVV¶VODFNRIVHUYLFH
FKDOOHQJH WR WKH MXGJPHQW 0RUULVV¶V DSSHDO RI WKDW
GHFLVLRQLVSHQGLQJLQWKH8QLWHG6WDWHV&RXUWRI$SSHDOVIRU
WKH)LIWK&LUFXLW7KHODQJXDJHRI5XOHGHPRQVWUDWHVWKDW

-- 4 of 4 --

Continue your research in ChatGPT or Claude

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