00a0271p.06

99-5486Court of Appeals for the Sixth Circuit16 août 2000

Texte intégral

7KH +RQRUDEOH .DWKOHHQ 0F'RQDOG 2¶0DOOH\ 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
/25, ' $7&+/(<GED5&:
5($/7< &203$1<
3ODLQWLII$SSHOODQW
Y
5. &203$1< 52%(57 5
.5,/,&+DQG'211$ -
.5,/,&+
'HIHQGDQWV$SSHOOHHV
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH0LGGOH'LVWULFWRI7HQQHVVHHDW1DVKYLOOH
1R²$OHWD$7UDXJHU'LVWULFW-XGJH
$UJXHG0DUFK
'HFLGHGDQG)LOHG$XJXVW
%HIRUH6,/(5DQG*,/0$1&LUFXLW-XGJHV
2¶0$//(<'LVWULFW-XGJH

-- 1 of 6 --

$WFKOH\Y5.&RHWDO 1R
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' +DUROG 1DLOO )DOOV -U )$//6 5$06(<
9($&+1DVKYLOOH7HQQHVVHHIRU$SSHOODQW-RKQ6+LFNV
%$.(5 '21(/621 %($50$1 &$/':(//
1DVKYLOOH7HQQHVVHHIRU$SSHOOHHV21%5,()+DUROG
1DLOO )DOOV -U )$//6 5$06(< 9($&+ 1DVKYLOOH
7HQQHVVHH IRU $SSHOODQW -RKQ 6 +LFNV %$.(5
'21(/621 %($50$1 &$/':(// 1DVKYLOOH
7HQQHVVHHIRU$SSHOOHHV
2¶0$//(<'-GHOLYHUHGWKHRSLQLRQRIWKHFRXUWLQ
ZKLFK6,/(5-MRLQHG*,/0$1- S GHOLYHUHGD
VHSDUDWHFRQFXUULQJRSLQLRQ
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
2¶0$//(< 'LVWULFW -XGJH 3ODLQWLIIDSSHOODQW /RUL
$WFKOH\GED5&:5HDOW\&RPSDQ\ ³$WFKOH\´ DSSHDOVD
JUDQWRIVXPPDU\MXGJPHQWLQIDYRURIGHIHQGDQWVDSSHOOHHV
5.&RPSDQ\DQG5REHUWDQG'RQQD.ULOLFK)RUWKHUHDVRQV
VWDWHGEHORZZH$)),50
,
7KHIROORZLQJIDFWVDUHQRWLQGLVSXWH7KLVFDVHFHQWHUV
DURXQG D SLHFH RI SURSHUW\ ORFDWHG LQ 6XPQHU &RXQW\
7HQQHVVHH NQRZQ DV ³)R[ODQG´ ,Q .ULOLFK RZQHG
)R[ODQGDQGHQWHUHGLQWRDQDJUHHPHQWWRWUDQVIHU)R[ODQG
DQG FHUWDLQ RWKHU DVVHWV WR +HDOWK &DUH &RUSRUDWLRQ RI
$PHULFD,QF ³+&&$´ LQH[FKDQJHIRUVRPH+&&$VWRFN
.ULOLFKDQG+&&$DOVRDJUHHGWKDWWKH\ZRXOGQRWUHFRUGWKH
GHHGWUDQVIHUULQJ)R[ODQGIURP.ULOLFKWR+&&$XQWLO+&&$
KDG UHJLVWHUHG WKH VWRFN ZLWK WKH 6HFXULWLHV DQG ([FKDQJH
&RPPLVVLRQ
1R $WFKOH\Y5.&RHWDO
BBBBBBBBBBBBBBBBBBBBBBB
&21&855(1&(
BBBBBBBBBBBBBBBBBBBBBBB
521$/' /(( *,/0$1 &LUFXLW -XGJH FRQFXUULQJ ,
DJUHHZLWKWKHPDMRULW\¶VXOWLPDWHFRQFOXVLRQWKDWWKHGLVWULFW
FRXUWGLGQRWHUULQJUDQWLQJVXPPDU\MXGJPHQWLQIDYRURI
WKH GHIHQGDQWV ,Q P\ YLHZ KRZHYHU WKH GHIHQGDQWV DUH
HQWLWOHGWRMXGJPHQWVROHO\EHFDXVHDVDEO\H[SODLQHGE\WKH
PDMRULW\ WKHUH ZDV QR EUHDFK RI WKH FRQWUDFW XQGHU WKH
SHFXOLDUFLUFXPVWDQFHVRIWKLVFDVH
'HVSLWH P\ YLHZ WKDW WKHUH ZDV QR EUHDFK , DP RI WKH
RSLQLRQWKDWDFRQGLWLRQDOFRQWUDFWLVVWLOOD³ODZIXOFRQWUDFW´
IRU WKH SXUSRVHV RI 7&$ † 7KH FRQWUDFW
EHWZHHQ6WLQVRQDQG+&&$GLGQRWFHDVHWRH[LVWZKHQWKH
FRQGLWLRQZHQWXQVDWLVILHGUDWKHUWKHYDOLGDJUHHPHQWVLPSO\
ZDVQRWFRQVXPPDWHGEHFDXVHRIWKHXQPHWFRQGLWLRQ

-- 2 of 6 --

$WFKOH\Y5.&RHWDO 1R
WKHGLVWULFWFRXUWGLGQRWHUUZKHQLWHQWHUHGMXGJPHQWLQIDYRU
RI GHIHQGDQWVDSSHOOHHV DQG WKXV ZH $)),50 WKDW
MXGJPHQW
,7,66225'(5('
1R $WFKOH\Y5.&RHWDO
,Q D UHDO HVWDWH GHYHORSHU QDPHG -LPP\ 6WLQVRQ
DSSURDFKHG.ULOLFKDERXWEX\LQJ)R[ODQG$WILUVW.ULOLFK
WROG6WLQVRQWKDW+&&$RZQHG)R[ODQGHYHQWKRXJKWKHUH
ZDVQRUHFRUGHGGHHGWUDQVIHUULQJWKHSURSHUW\IURP.ULOLFK
WR+&&$$FWLQJXSRQWKLVUHSUHVHQWDWLRQ6WLQVRQHQWHUHG
LQWRQHJRWLDWLRQVZLWK+&&$WREX\)R[ODQG+&&$WKHQ
DSSURDFKHGDSSHOODQW$WFKOH\DUHDOHVWDWHEURNHUZKRGUHZ
XSDFRQWUDFWRIVDOHEHWZHHQ+&&$DVVHOOHUDQG6WLQVRQ
DVEX\HU+&&$DQG6WLQVRQVLJQHG$WFKOH\¶VFRQWUDFWRQ
0D\DJUHHLQJWKDWWKHSXUFKDVHSULFHIRU)R[ODQG
ZRXOGEHPLOOLRQ6WLQVRQZRXOGLPPHGLDWHO\SD\+&&$
LQHDUQHVWPRQH\DQG+&&$ZRXOGSD\$WFKOH\D
FRPPLVVLRQRIRUXSRQFRPSOHWLRQRIWKHVDOH
,Q)HEUXDU\RIKRZHYHUDIHZPRQWKVEHIRUH6WLQVRQ
DQG+&&$VLJQHGWKH)R[ODQGVDOHFRQWUDFW.ULOLFKVLJQHG
DQG UHFRUGHG D GHHG WUDQVIHUULQJ )R[ODQG IURP KLPVHOI WR
GHIHQGDQW5.&RPSDQ\DFRPSDQ\KHFRQWUROOHG+&&$
OHDUQHGRI.ULOLFK¶VDFWLRQLQ$SULORIZKHQLWILQDOO\
UHFRUGHGLWVRZQHDUOLHUVLJQHGGHHGZKLFKKDGWUDQVIHUUHG
)R[ODQGIURP.ULOLFKWR+&&$7KXVZKHQ+&&$HQWHUHG
LQWRWKH0D\FRQWUDFWWRVHOO)R[ODQGWR6WLQVRQ+&&$
DQG $WFKOH\ ERWK NQHZ WKDW WKHUH H[LVWHG D SRWHQWLDO WLWOH
GLVSXWH
$WFKOH\ DGGUHVVHG WKLV SRWHQWLDO WLWOH GLVSXWH LQ WKH
+&&$6WLQVRQFRQWUDFWE\DGGLQJFHUWDLQODQJXDJHXQGHUWKH
KHDGLQJ ³0LVFHOODQHRXV &RQGLWLRQV´ 6SHFLILFDOO\ WKH
FRQWUDFWSURYLGHG
{ >+&&$@KHUHE\GLVFORVHVWKDWDVRIWKHGDWHRIWKH
VLJQLQJRIWKLVFRQWUDFWWKHWLWOHWR>)R[ODQG@LVWKH
VXEMHFWRISHQGLQJQHJRWLDWLRQDQGSRVVLEOHOLWLJDWLRQ
ZLWK >.ULOLFK@ DQG DW WKLV WLPH LV QRW D FOHDU DQG
PDUNHWDEOHWLWOH7KLVFRQWUDFWLVFRQWLQJHQWXSRQ
>+&&$@UHVROYLQJDOOTXHVWLRQVDQGLVVXHVUHJDUGLQJ
WLWOH DQG REWDLQLQJ FOHDU DQG PDUNHWDEOH WLWOH LQ
RUGHUWRWUDQVIHUWR>6WLQVRQ@FOHDUDQGPDUNHWDEOH
WLWOH,IWLWOHLVQRWPDGHFOHDUDQGPDUNHWDEOHWKLV
FRQWUDFWLVQXOODQGYRLGDQG>+&&$@DQG>6WLQVRQ@

-- 3 of 6 --

$WFKOH\Y5.&RHWDO 1R
+HDOWKFDUH &HQWHU RI $PHULFD ,QF Y .ULOLFK FDVH QRV
DQG FRQVROLGDWHG 7KH ODZVXLWV VXUURXQGLQJ WKH WUDQVIHUV RI
)R[ODQG DUH QRW WKH RQO\ IHGHUDO FDVHV LQ ZKLFK .ULOLFK KDV EHHQ D SDUW\
6HH HJ 8QLWHG 6WDWHV Y .ULOLFK )G WK &LU FHUW
GHQLHG 6&W DIILUPLQJ .ULOLFK¶V FRQYLFWLRQV IRU IUDXG DQG
5,&2 YLRODWLRQV SUHGLFDWHG RQ EULEHU\ LQ UHODWLRQ WR D ODQG GHYHORSPHQW
VFKHPH 8QLWHG 6WDWHV Y .ULOLFK )G WK &LU DIWHU
.ULOLFK DOOHJHGO\ ILOOHG LQ ZHWODQGV ZLWKRXW D SHUPLW LQ YLRODWLRQ RI WKH
&OHDQ :DWHU $FW KH HQWHUHG LQWR D FRQVHQW GHFUHH ZLWK WKH (QYLURQPHQWDO
3URWHFWLRQ $JHQF\ EXW WKHQ IDLOHG WR PHHW KLV REOLJDWLRQV 8QLWHG 6WDWHV
Y .ULOLFK )G WK &LU FHUW GHQLHG 86
DIILUPLQJ .ULOLFK¶V FRQYLFWLRQV IRU LQFRPH WD[ HYDVLRQ DQG
ZLOOIXOO\ ILOLQJ D IDOVH LQFRPH WD[ UHWXUQ 6XPPLW 7D[ ([HPSW /3 ,, Y
%HUPDQ :/ 6'1< -XO\ JUDQWLQJ VDQFWLRQV
DJDLQVW .ULOLFK IRU LQWHU DOLD ILOLQJ D IULYRORXV FRXQWHUFODLP .ULOLFK KDV
DOVR OLWLJDWHG LQ VWDWH FRXUWV 6HH HJ <HDUZRRG -RKQVRQ 6WDQWRQ
&UDEWUHH ,QF Y )R[ODQG 'HYHORSPHQW 9HQWXUH 6:G 7HQQ
&W $SS DIILUPLQJ GHIDXOW MXGJPHQW HQWHUHG DJDLQVW .ULOLFK IRU
KDYLQJ IDLOHG WR FRPSO\ ZLWK FRXUW RUGHUV 6WXUD Y .ULOLFK 1(G
,OO &W $SS DIILUPLQJ TXLHW WLWOH DFWLRQ LQ IDYRU RI SODLQWLII
7KH FRQWUDFW GLG QRW VHW RXW D WLPH ZLWKLQ ZKLFK +&&$ KDG WR IXOILOO
WKH ³PLVFHOODQHRXV FRQGLWLRQ´ RI SURYLGLQJ FOHDU DQG PDUNHWDEOH WLWOH EXW
WKH FRQWUDFW GLG SURYLGH WKDW WLPH ZDV ³RI WKH HVVHQFH RI WKLV FRQWUDFW DQG
DOO FRQGLWLRQV WKHUHRI´ 7KH SDUWLHV DW OHDVW FRQFHGH IRU SXUSRVHV RI WKLV
SURFHHGLQJ WKDW D ³UHDVRQDEOH´ WLPH FRPSRQHQW LV LPSOLHG LQ WKH FRQWUDFW
$WFKOH\ GRHV QRW FRQWHQG WKDW 6WLQVRQ ZDV UHTXLUHG WR VWDQG LGOH
LQGHILQLWHO\
VKDOOKROGHDFKRWKHUKDUPOHVVDQGHDUQHVWPRQH\
ZLOOEHUHIXQGHGWR>6WLQVRQ@
$WWKHWLPHWKHFRQWUDFWZDVVLJQHG+&&$DQG$WFKOH\ZHUH
KRSHIXOWKDWWKHWLWOHGLVSXWHZLWK.ULOLFKZRXOGEHTXLFNO\
UHVROYHG
8QIRUWXQDWHO\+&&$¶VKRSHZDVIDOVH+&&$DQG.ULOLFK
DUHFXUUHQWO\OLWLJDWLQJRZQHUVKLSRIWLWOHWR)R[ODQGLQWKH
8QLWHG 6WDWHV 'LVWULFW &RXUW IRU WKH 0LGGOH 'LVWULFW RI
7HQQHVVHH,Q2FWREHURILWEHFDPHFOHDUWR6WLQVRQ
WKDW+&&$ZDVXQDEOHWRWLPHO\PHHWWKH³PLVFHOODQHRXV
FRQGLWLRQ´ RI ³REWDLQLQJ FOHDU DQG PDUNHWDEOH WLWOH´
$FFRUGLQJO\6WLQVRQVRXJKWDQGREWDLQHGWKHUHWXUQRIKLV
1R $WFKOH\Y5.&RHWDO
$WFKOH\ DOVR FRQWHQGV WKDW WKH GLVWULFW FRXUW HUUHG E\ GUDZLQJ IDFWXDO
LQIHUHQFHV LQ IDYRU RI WKH GHIHQGDQWV 7R WKH H[WHQW WKLV RFFXUUHG ZH ILQG
WKDW WKH LQIHUHQFHV GUDZQ ZHUH QRW PDWHULDO WR WKH GLVWULFW FRXUW¶V
MXGJPHQW DQG DFFRUGLQJO\ ZHUH KDUPOHVV
SURFXUHPHQW RI D EUHDFK RI FRQWUDFW LQ WKH DEVHQFH RI D
VKRZLQJWKDWDEUHDFKRIFRQWUDFWDFWXDOO\RFFXUUHG
(YHQLIZHZHUHWRFRQFOXGHPRUHRYHUWKDW7HQQHVVHHODZ
LVIOH[LEOHHQRXJKWRDOORZDFDXVHRIDFWLRQXQGHU7&$
† IRU JHQHUDO LQWHUIHUHQFH ZLWK FRQGLWLRQDO
FRQWUDFWV ZH ZRXOG QRW ILQG WKDW LW GRHV VR LQ WKH
FLUFXPVWDQFHVSUHVHQWHGKHUH7KLVLVQRWDFDVHZKHUHWZR
SDUWLHVUHDFKHGDQDJUHHPHQWEXWDWKLUGSDUW\WKHQSUHYHQWHG
WKHDJUHHPHQWIURPFRQVXPPDWLQJUDWKHULWLVDFDVHZKHUH
WZR SDUWLHV UHFRJQL]HG WKDW QR DJUHHPHQW EHWZHHQ WKHP
ZRXOGH[LVWXQOHVVDFWLRQVWDNHQE\DWKLUGSDUW\DERXWZKLFK
WKH\ DOUHDG\ NQHZ FRXOG EH XQGRQH 6WLQVRQ DQG +&&$
NQHZ WKDW .ULOLFK¶V DFWLRQV PLJKW SUHFOXGH DQ\ DJUHHPHQW
EHWZHHQWKHPVRWKH\H[SOLFLWO\VWDWHGWKDWWKH\ KHOGHDFK
RWKHUKDUPOHVVDQG KDGQRPXWXDOFRQWUDFWXQOHVVWKHWLWOH
GLVSXWH FRXOG EH ILUVW LURQHG RXW ,W PD\ EH WUXH WKDW WKH
DFWLRQVRIGHIHQGDQWVDSSHOOHHVSUR[LPDWHO\FDXVHG$WFKOH\
WRORVHKHUFRPPLVVLRQ%XWWKHFRPPLVVLRQLWVHOIGHSHQGHG
RQDFRQWUDFWWKDWZDVQHLWKHUFRQVXPPDWHGQRUEUHDFKHG
$WFKOH\DOVRDUJXHVWKDWHYHQLI7HQQHVVHHODZGRHVQRW
DOORZDSODLQWLIIWRUHFRYHUIRUSURFXUHPHQWRIDEUHDFKRID
FRQGLWLRQDOFRQWUDFWVKHVKRXOGEHDOORZHGWRUHFRYHUXQGHU
DWKHRU\RIWRUWLRXVLQWHUIHUHQFHZLWKDEXVLQHVVUHODWLRQVKLS
RUH[SHFWDQF\7KLVDUJXPHQWIDLOVIRUWZRUHDVRQV)LUVW
$WFKOH\GLGQRWVWDWHDQ\VXFKFODLPLQKHUFRPSODLQWVKH
FOHDUO\ VWDWHV FODLPV RQO\ IRU SURFXUHPHQW RI EUHDFK RI
FRQWUDFW6HFRQG7HQQHVVHHGRHVQRWUHFRJQL]HWKHWRUWRI
LQWHUIHUHQFH ZLWK D EXVLQHVV UHODWLRQVKLS LQ DQ\ HYHQW
1HOVRQY0DUWLQ6:G 7HQQ
$OWKRXJK ZH V\PSDWKL]H ZLWK $WFKOH\¶V SRVLWLRQ LW LV
LPSRUWDQWWRQRWHVKHNQHZDOORIWKHFULWLFDOFLUFXPVWDQFHV
EHIRUHVKHGUDIWHGWKH6WLQVRQ+&&$FRQWUDFW:HILQGWKDW

-- 4 of 6 --

$WFKOH\Y5.&RHWDO 1R
$WFKOH\ DGYDQFHV KHUH )LUVW WKH WUHDWLVHV XSRQ ZKLFK
$WFKOH\UHOLHVPHUHO\VWDWHWKDWDFRQGLWLRQDOFRQWUDFWHYHQLI
YRLGDEOHE\WKHSDUWLHVE\YLUWXHRIWKHIDLOXUHRIDFRQGLWLRQ
LVVWLOODOHJDO FRQWUDFWYLVDYLVWKLUGSDUWLHV7KXVZKHQ
QHLWKHU SDUW\ GHPDQGV WKH VDWLVIDFWLRQ RI D FRQGLWLRQ
SUHFHGHQW WR D FRQWUDFW WKLUG SDUWLHV FDQ EH OLDEOH IRU
LQWHUIHUHQFHZLWKXQUHODWHGWHUPVRIWKDWFRQWUDFW(YHQLIZH
FRQFHGHWKHUHIRUHWKDWWKHVHWUHDWLVHVGHILQH7HQQHVVHHODZ
± ZKLFK ZH GR QRW ± WKH\ GR QRW DLG $WFKOH\ LQ WKH
FLUFXPVWDQFHVSUHVHQWHGKHUHZKHUHLWLVSUHFLVHO\EHFDXVHRI
WKHIDLOXUHRIDFRQGLWLRQSUHFHGHQWWKDWWKHSDUWLHVFKRVHQRW
WR JR IRUZDUG ZLWK WKHLU DJUHHPHQW DQG ZKHUH WKH SDUWLHV
XQGHUVWRRGDWWKHWLPHWKHFRQWUDFWZDVH[HFXWHGWKDWWKHUH
ZDV D YHU\ UHDO SRVVLELOLW\ WKH FRQGLWLRQ PLJKW QRW EH
VDWLVILHG
7KH7HQQHVVHHFDVHVXSRQZKLFK$WFKOH\UHOLHVDUHDOVR
XQKHOSIXO WR KHU FDXVH ,Q 1HZ /LIH &RUS RI $PHULFD Y
7KRPDV 1HOVRQ ,QF 6:G 7HQQ &W
$SS IRU H[DPSOH WKH FRXUW FRQFOXGHG RQO\ WKDW D
SODLQWLIIFRXOGSUHYDLORQDFODLPRISURFXUHPHQWRIDEUHDFK
RI D FRQWUDFW WKDW ZDV RWKHUZLVH WHUPLQDEOH DW ZLOO QRW D
FRQWUDFWWKHYHU\H[LVWHQFHRIZKLFKDELQLWLRGHSHQGHGRQ
DFRQWLQJHQF\,QGHHGLQOLVWLQJWKHHOHPHQWVQHFHVVDU\WRWKH
SODLQWLII¶VFDXVHRIDFWLRQWKH1HZ/LIHFRXUWSRLQWHGRXWWKDW
WKHDFWLRQGHSHQGHGXSRQWKHH[LVWHQFHRIDFRQWUDFWEUHDFK
(GZDUGVDQG/RYH $PRV&RDO&RY8QLWHG0LQH:RUNHUV
RI$PHULFD6:G 7HQQ&W$SS DUH
ERWKVLPLODUO\GLVWLQJXLVKDEOH,Q(GZDUGVWKH&RXUWIRXQG
WKDWDFDXVHRIDFWLRQFDQEHVWDWHGXQGHU7HQQHVVHHODZIRU
DFOLHQW¶VFRQWLQJHQWIHHFRQWUDFWZLWKKLVDWWRUQH\WKHFRXUW
FRQFOXGHGWKDWLWZDVWKHIHHZKLFKZDVFRQWLQJHQWQRWWKH
XQGHUO\LQJDJUHHPHQWWRSURYLGHVHUYLFHV$QGLQ/RYH
$PRVWKHFRXUWIRXQGWKDWDOWKRXJKWKHSDUWLHV¶RUDOFRQWUDFW
ZRXOGEHXQHQIRUFHDEOHE\HLWKHURIWKHPXQGHUWKHVWDWXWHRI
IUDXGV QHLWKHU SDUW\ KDG LQYRNHG WKDW GHIHQVH WR YRLG WKH
FRQWUDFWPDNLQJDFWLRQDEOHDWKLUGSDUW\¶VLQWHUIHUHQFHZLWK
WKHSDUWLHV¶RQJRLQJSHUIRUPDQFHRIWKDWFRQWUDFW6LPSO\
QRQH RI WKH FDVHV XSRQ ZKLFK $WFKOH\ UHOLHV VWDQG IRU WKH
SURSRVLWLRQ WKDW D SODLQWLII PD\ PDNH RXW D FODLP IRU
1R $WFKOH\Y5.&RHWDO
HDUQHVW PRQH\ 6WLQVRQ DQG +&&$ QHYHU
FRQVXPPDWHG WKHLU GHDO VR $WFKOH\ QHYHU UHFHLYHG KHU
H[SHFWHG LQ FRPPLVVLRQ 6WLQVRQ KDV VLQFH
FRQWUDFWHGZLWK5.&RPSDQ\WRSXUFKDVH)R[ODQG
,,
$IWHULWEHFDPHFOHDUWR$WFKOH\WKDW.ULOLFK¶VDFWLRQVKDG
ZRUNHG WR GHSULYH KHU RI QHDUO\ RQH PLOOLRQ GROODUV LQ
FRPPLVVLRQ$WFKOH\VXHGWKHGHIHQGDQWVIRUSURFXUHPHQWRI
EUHDFKRIFRQWUDFWLQYLRODWLRQRI7HQQHVVHHODZ7KHGLVWULFW
FRXUWKDGGLYHUVLW\MXULVGLFWLRQRYHUWKLVFDVHSXUVXDQWWR
86&†DQGZHKDYHMXULVGLFWLRQRYHU$WFKOH\¶VWLPHO\
DSSHDOSXUVXDQWWR86&†
:HUHYLHZDGLVWULFWFRXUW¶VJUDQWRIVXPPDU\MXGJPHQWGH
QRYR -DFNVRQ Y /HLJKWRQ )G WK &LU
6XPPDU\ MXGJPHQW LV DSSURSULDWH ZKHQ ³WKH
SOHDGLQJV GHSRVLWLRQV DQVZHUV WR LQWHUURJDWRULHV DQG
DGPLVVLRQVRQILOHWRJHWKHUZLWKWKHDIILGDYLWVLIDQ\VKRZ
WKDWWKHUHLVQRJHQXLQHLVVXHDVWRDQ\PDWHULDOIDFWDQGWKDW
WKHPRYLQJSDUW\LVHQWLWOHGWRDMXGJPHQWDVDPDWWHURIODZ´
)HG 5 &LY 3 F 7KH IDFWV DQG LQIHUHQFHV GUDZQ
WKHUHIURPDUHWREHYLHZHGLQWKHOLJKWPRVWIDYRUDEOHWRWKH
QRQPRYLQJSDUW\-DFNVRQ)GDW8OWLPDWHO\WKLV
&RXUWPXVWGHFLGH³ZKHWKHUWKHHYLGHQFHSUHVHQWVVXIILFLHQW
GLVDJUHHPHQWWRUHTXLUHVXEPLVVLRQWRDMXU\RUZKHWKHULWLV
VRRQHVLGHGWKDWRQHSDUW\PXVWSUHYDLODVDPDWWHURIODZ´
7HUU\%DUU6DOHV$JHQF\,QFY$OO/RFN&R,QF)G
WK&LU TXRWLQJ$QGHUVRQY/LEHUW\/REE\
,QF86
,QKHUFRPSODLQW$WFKOH\FODLPVWKHGHIHQGDQWV³LQGXFHG
WKHEUHDFKRIWKH>+&&$6WLQVRQ@&RQWUDFW´LQYLRODWLRQRI
³7HQQHVVHHFRPPRQODZDQGDOVR>7HQQ&RGH$QQ@†
´&RPSODLQWDWˆ7HQQHVVHHFRXUWVDFNQRZOHGJHWKDW
7&$†PHUHO\FRGLILHV7HQQHVVHHFRPPRQODZ
UHJDUGLQJSURFXUHPHQWRIDEUHDFKRIFRQWUDFWH[FHSWWRWKH
H[WHQWWKDWWKHVWDWXWHDOORZVIRUWUHEOHGDPDJHV0\HUVY
3LFNHULQJ)LUP,QF6:G 7HQQ&W$SS
VHH(GZDUGVY7UDYHOHUV,QVRI+DUWIRUG&RQQ

-- 5 of 6 --

$WFKOH\Y5.&RHWDO 1R
7KH VWDWXWH VWDWHV
,W LV XQODZIXO IRU DQ\ SHUVRQ E\ LQGXFHPHQW SHUVXDVLRQ
PLVUHSUHVHQWDWLRQ RU RWKHU PHDQV WR LQGXFH RU SURFXUH WKH
EUHDFK RU YLRODWLRQ UHIXVDO RU IDLOXUH WR SHUIRUP DQ\ ODZIXO
FRQWUDFW E\ DQ\ SDUW\ WKHUHWR DQG LQ HYHU\ FDVH ZKHUH D EUHDFK
RU YLRODWLRQ RI VXFK FRQWUDFW LV VR SURFXUHG WKH SHUVRQ VR
SURFXULQJ RU LQGXFLQJ WKH VDPH VKDOO EH OLDEOH LQ WUHEOH WKH
DPRXQW RI GDPDJHV UHVXOWLQJ IURP RU LQFLGHQW WR WKH EUHDFK RI
WKH FRQWUDFW 7KH SDUW\ LQMXUHG E\ VXFK EUHDFK PD\ EULQJ VXLW IRU
WKH EUHDFK DQG IRU VXFK GDPDJHV
7HQQ &RGH $QQ †
)G WK&LU FRPSDULQJDQGFRQWUDVWLQJ
WKHVWDWXWRU\DQGFRPPRQODZDFWLRQV 7KH0\HUVFRXUW
VHWVRXWWKHHOHPHQWVRIDFDXVHRIDFWLRQIRUSURFXUHPHQWRI
WKHEUHDFKRIDFRQWUDFWLQYLRODWLRQRIERWKWKHVWDWXWHDQG
7HQQHVVHHFRPPRQODZ
WKHUHPXVWEHDOHJDOFRQWUDFW WKHZURQJGRHUPXVW
KDYHNQRZOHGJHRIWKHH[LVWHQFHRIWKHFRQWUDFW WKHUH
PXVW EH DQ LQWHQWLRQ WR LQGXFH LWV EUHDFK WKH
ZURQJGRHUPXVWKDYHDFWHGPDOLFLRXVO\ WKHUHPXVWEH
DEUHDFKRIWKHFRQWUDFW WKHDFWFRPSODLQHGRIPXVWEH
WKHSUR[LPDWHFDXVHRIWKHEUHDFKRIWKHFRQWUDFWDQG
WKHUHPXVWKDYHEHHQGDPDJHVUHVXOWLQJIURPWKHEUHDFK
RIWKHFRQWUDFW
0\HUV 6:G DW &DUUXWKHUV 5HDG\0L[ ,QF Y
&HPHQW0DVRQV/RFDO8QLRQ1R)G WK
&LU
7KHGLVWULFWFRXUWFRQFOXGHGWKDW$WFKOH\FRXOGQRWSUHYDLO
RQKHUFODLPIRUSURFXUHPHQWRIEUHDFKRIFRQWUDFWEHFDXVH
VKHFRXOGQRWVKRZWKHILIWKHOHPHQW±EUHDFKRIDFRQWUDFW
7KH GLVWULFW FRXUW SUHPLVHG WKLV FRQFOXVLRQ RQ WKH
+&&$6WLQVRQ DJUHHPHQW EHLQJ D ³FRQGLWLRQDO FRQWUDFW´
ZLWKFRQGLWLRQVSUHFHGHQWWKDWZHUHQHYHUVDWLVILHG8QGHU
7HQQHVVHH ODZ D FRQGLWLRQDO FRQWUDFW LV RQH ³ZKRVH YHU\
H[LVWHQFHDQGSHUIRUPDQFHGHSHQGVXSRQWKHKDSSHQLQJRI
VRPH FRQWLQJHQF\ RU FRQGLWLRQ H[SUHVVO\ VWDWHG WKHUHLQ´
6WRYDOOY'DWWHO6:G 7HQQ&W$SS
1R $WFKOH\Y5.&RHWDO
$WFKOH\ FLWHV 5HVWDWHPHQW 6HFRQG RI 7RUWV † FPW I DQG
: 3DJH .HHWRQ HW DO 3URVVHU .HHWRQ RQ WKH /DZ RI 7RUWV † DW
WK HG
,Q WKLV FDVH 6WLQVRQ DQG +&&$ H[SOLFLWO\ DJUHHG WKDW WKH
H[LVWHQFHDQGSHUIRUPDQFHRIWKHLUFRQWUDFWZDV³FRQWLQJHQW
XSRQ>+&&$@UHVROYLQJDOOTXHVWLRQVDQGLVVXHVUHJDUGLQJ
WLWOH DQG REWDLQLQJ FOHDU DQG PDUNHWDEOH WLWOH LQ RUGHU WR
WUDQVIHUWR>6WLQVRQ@FOHDUDQGPDUNHWDEOHWLWOH´7KHSDUWLHV
DJUHHG WKDW LI +&&$ IDLOHG WR PHHW WKLV FRQWLQJHQF\ WKH
FRQWUDFWZDV³QXOODQGYRLG´,WLVXQGLVSXWHGWKDW+&&$
QHYHU PHW WKH FRQWLQJHQF\ ,Q WKHVH FLUFXPVWDQFHV WKH
GLVWULFW FRXUW FRQFOXGHG WKDW WKH FRQWUDFW WKDW FRXOG KDYH
QHWWHG $WFKOH\ D FRPPLVVLRQ QHYHU ULSHQHG LQWR H[LVWHQFH
DQGKHQFHFRXOGQRWKDYHEHHQEUHDFKHG
$WFKOH\ GRHV QRW FRQWHQG WKH GLVWULFW FRXUW HUUHG LQ
FRQFOXGLQJ WKDW WKH +&&$6WLQVRQ DJUHHPHQW ZDV D
FRQGLWLRQDOFRQWUDFWRUWKDW+&&$GLGQRWWLPHO\PHHWWKH
FRQWLQJHQF\ 5DWKHU $WFKOH\ DUJXHV WKDW 7HQQHVVHH ODZ
DOORZVDSODLQWLIIWRUHFRYHUIRUSURFXUHPHQWRIDEUHDFKRID
FRQGLWLRQDOFRQWUDFW$WFKOH\FRQWHQGVWKDWZKLOHLWLVWUXH
WKDW 7HQQHVVHH FRXUWV KDYH FRQVLVWHQWO\ GHVFULEHG ³WKH
H[LVWHQFHRIDOHJDOFRQWUDFW´DQG³EUHDFKRIWKHFRQWUDFW´WR
EHHOHPHQWVRIWKHWRUWFRGLILHGDW†WKHVHFRXUWV
KDYH DOVR LQWHUSUHWHG ³EUHDFK´ LQ WKLV FRQWH[W EURDGO\ WR
LQFOXGHWKHIDLOXUHRIDFRQGLWLRQSUHFHGHQWWRDFRQGLWLRQDO
FRQWUDFW 7KXV $WFKOH\ FRQWHQGV ZKHQ RQH XQGHUWDNHV
DFWLYLW\ DLPHG DW SUHYHQWLQJ D FRQGLWLRQ SUHFHGHQW WR D
FRQWUDFWIURPRFFXUULQJRQHHIIHFWLYHO\³SURFXUHVDEUHDFK´
RIWKDWFRQGLWLRQDOFRQWUDFWDQGLVOLDEOHXQGHU7HQQHVVHHODZ
IRUKDYLQJGRQHVR
$WFKOH\ VXSSRUWV KHU UHDGLQJ RI 7HQQHVVHH ODZ ZLWK
FLWDWLRQVWR JHQHUDOWRUWWUHDWLVHVZKLFKVKHFODLPVVHW
IRUWK WKH ³JHQHUDO UXOH´ WKDW LQWHUIHUHQFH ZLWK FRQGLWLRQV
SUHFHGHQWWRWKHH[LVWHQFHRIDQREOLJDWLRQDUHDFWLRQDEOH
DQG WKUHHFDVHVLQZKLFKVKHDVVHUWV7HQQHVVHHFRXUWV
DOORZHGVXFKFODLPV$VWKHGLVWULFWFRXUWQRWHGKRZHYHU
WKHVH DXWKRULWLHV GR QRW VWDQG IRU WKH SUHFLVH SURSRVLWLRQ

-- 6 of 6 --

Poursuivez vos recherches dans ChatGPT ou Claude

Connectez Omnilex pour rechercher dans le corpus juridique depuis votre assistant IA.