03a0034p.06

01-5761Court of Appeals for the Sixth Circuit30 janv. 2003

Texte intégral

7KH +RQRUDEOH 'DYLG : 0F.HDJXH 8QLWHG 6WDWHV 'LVWULFW -XGJH
IRU WKH :HVWHUQ 'LVWULFW RI 0LFKLJDQ 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
.(17 $ 6200(5DQG
$1'5($ 6200(5
3ODLQWLIIV$SSHOODQWV
Y
* :,//,$0 '$9,6DQG
&+$5/(6 * 125721
'HIHQGDQWV$SSHOOHHV
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH0LGGOH'LVWULFWRI7HQQHVVHHDW1DVKYLOOH
1R²:LOOLDP-+D\QHV-U'LVWULFW-XGJH
$UJXHG'HFHPEHU
'HFLGHGDQG)LOHG-DQXDU\
%HIRUH1255,6DQG*,/0$1&LUFXLW-XGJHV
0F.($*8('LVWULFW-XGJH

-- 1 of 8 --

6RPPHUHWDOY'DYLVHWDO 1R
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' :DOWHU & *UDFH :20,&. /$: ),50
0DULRQ ,OOLQRLV IRU $SSHOODQWV :LOOLDP 6 :DOWRQ
0,//(5 0$57,1 1DVKYLOOH 7HQQHVVHH & %HQQHWW
+DUULVRQ -U &251(/,86 &2//,16 1DVKYLOOH
7HQQHVVHHIRU$SSHOOHHV21%5,()-RKQ3DXO:RPLFN
:20,&./$:),50&DUERQGDOH,OOLQRLVIRU$SSHOODQWV
:LOOLDP 6 :DOWRQ 5REHUW / 7UHQWKDP 0,//(5
0$57,1 1DVKYLOOH 7HQQHVVHH & %HQQHWW +DUULVRQ -U
%U\DQ.:LOOLDPV&251(/,86 &2//,161DVKYLOOH
7HQQHVVHH 'DUUHOO * 7RZQVHQG +2:(// ),6+(5
1DVKYLOOH7HQQHVVHHIRU$SSHOOHHV
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
521$/'/((*,/0$1&LUFXLW-XGJH.HQW$6RPPHU
DQG KLV ZLIH $QGUHD 6RPPHU EURXJKW VXLW DJDLQVW WZR
GRFWRUV*:LOOLDP'DYLVDQG&KDUOHV*1RUWRQDOOHJLQJ
WKDWWKH\KDGQHJOLJHQWO\SHUIRUPHGVXUJHU\RQ0U6RPPHU
%HFDXVHWKHGLVWULFWFRXUWFRQFOXGHGWKDWWKH6RPPHUVKDG
IDLOHG WR LQWURGXFH DQ\ FRPSHWHQW HYLGHQFH WKDW HLWKHU
GHIHQGDQW KDG EUHDFKHG WKH UHTXLVLWH VWDQGDUG RI FDUH LW
JUDQWHGVXPPDU\MXGJPHQWLQIDYRURIWKHGHIHQGDQWV7KH
6RPPHUV DSSHDO DUJXLQJ WKDW WKH GLVWULFW FRXUW HUUHG LQ
GHWHUPLQLQJWKDWWKHLUH[SHUWZLWQHVVHVZHUHQRWFRPSHWHQWWR
WHVWLI\XQGHU7HQQHVVHHODZ)RUWKHUHDVRQVVHWIRUWKEHORZ
ZH$)),50WKHMXGJPHQWRIWKHGLVWULFWFRXUW
,%$&.*5281'
$ )DFWXDOEDFNJURXQG
,Q-XO\RI.HQW6RPPHUWUDYHOHGIURPKLVKRPHLQ
&DUERQGDOH ,OOLQRLV WR 1DVKYLOOH 7HQQHVVHH WR VHH *
:LOOLDP'DYLV0'DQRUWKRSHGLFVXUJHRQ6RPPHUZDV
1R 6RPPHUHWDOY'DYLVHWDO
JUDQWHG DJDLQVW WKHP DQG ZKHWKHU WKH\ KDG D IDFLDOO\
PHULWRULRXVGHIHQVHWRWKHMXGJPHQW,GDW
$WWKH0D\SUHWULDOFRQIHUHQFH²WZRZHHNVEHIRUH
WKH5XOHKHDULQJ²WKHGLVWULFWFRXUWDVNHGFRXQVHOIRUWKH
6RPPHUV ³:HOORND\,WVHHPVWRPHWKDWLI'U*RUQHW
FDQ¶WH[SUHVVDQRSLQLRQDVDQH[SHUWZLWQHVVKRZDUH\RX
JRLQJ WR SUHYDLO LQ WKLV FDVH"´ &RXQVHO IRU WKH 6RPPHUV
UHSOLHG³,FDQ¶WSRVVLEO\SUHYDLO<RXU+RQRU´/DWHUGXULQJ
WKHVDPHFRQIHUHQFHWKHGLVWULFWFRXUWFRPPHQWHG³6HHPVWR
PHOLNHLIWKDWPRWLRQ²LIKHLVQRW²WKHFHUWLILFDWLRQLIKH
FDQ¶WPHHWWKHUHTXLUHPHQWIRUDQH[SHUWZLWQHVVLQWKLVDUHD
WKHQLWVHHPVWRPHOLNHWKHFDVHLVRXW$QGWKHUHLVQRSRLQW
RIEULQJLQJDMXU\LQWKHQH[WGD\'RHVHLWKHUVLGHGLVSXWH
WKDW"´ &RXQVHO IRU WKH 6RPPHUV UHVSRQGHG ³1R VLU ,
GRQ¶W´7KH6RPPHUVWKXVKDGDPSOHQRWLFHWKDWWKHGLVWULFW
FRXUWZRXOGHQWHUMXGJPHQWDJDLQVWWKHPLI'U*RUQHWZDV
H[FOXGHGIURPWHVWLI\LQJDVDQH[SHUWZLWQHVV)LQDOO\JLYHQ
WKHH[FOXVLRQRI'U*RUQHW¶VH[SHUWWHVWLPRQ\WKH\KDGQR
IDFLDOO\ PHULWRULRXV GHIHQVH WR VXPPDU\ MXGJPHQW :H
WKHUHIRUH KROG WKDW WKH GLVWULFW FRXUW GLG QRW DEXVH LWV
GLVFUHWLRQLQHQWHULQJMXGJPHQWLQIDYRURI'DYLVRQLWVRZQ
PRWLRQ
,,,&21&/86,21
)RU DOO RI WKH UHDVRQV VHW IRUWK DERYH ZH $)),50 WKH
MXGJPHQWRIWKHGLVWULFWFRXUW

-- 2 of 8 --

6RPPHUHWDOY'DYLVHWDO 1R
*RUQHW¶VWHVWLPRQ\FRQFHUQLQJWKHVLPLODULW\RI1DVKYLOOHDQG
6W /RXLV UHVHPEOH WKH HYLGHQFH IRXQG WR EH ODFNLQJ LQ
0DERQZKHUHDVRWKHUDVSHFWVDUHDQDORJRXVWRWKHHYLGHQFH
WKDWEDUHO\SDVVHGPXVWHULQ:LOVRQ:HZLOOILQGDQDEXVHRI
GLVFUHWLRQRQO\ZKHQZHKDYHD³GHILQLWHDQGILUPFRQYLFWLRQ
WKDWWKHFRXUWEHORZFRPPLWWHGDFOHDUHUURURIMXGJPHQWLQ
WKH FRQFOXVLRQ LW UHDFKHG XSRQ D ZHLJKLQJ RI WKH UHOHYDQW
IDFWRUV´6XSHU6XON\,QFY8QLWHG6WDWHV7URWWLQJ$VV¶Q
)G WK &LU 3DUWLFXODUO\JLYHQ'U
*RUQHW¶VDFNQRZOHGJHPHQWWKDWKHGLGQRW³NQRZDQ\RIWKH
FKDUDFWHULVWLFVRIWKH1DVKYLOOHPHGLFDOFRPPXQLW\´DWWKH
WLPHRI6RPPHU¶VVXUJHU\ZHFRQFOXGHWKDWWKHGLVWULFWFRXUW
GLGQRWDEXVHLWVGLVFUHWLRQLQUHIXVLQJWRDOORZ'U*RUQHWWR
H[SUHVVKLVRSLQLRQVUHJDUGLQJWKHDSSOLFDEOHVWDQGDUGRIFDUH
( 7KHGLVWULFWFRXUWGLGQRWHUULQJUDQWLQJMXGJPHQWWR
'DYLV
7KH6RPPHUVFRXOGQRWSRVVLEO\SURYHWKHLUFODLPVDJDLQVW
'DYLVRQFHWKH\ZHUHGHSULYHGRIWKHRSLQLRQWHVWLPRQ\RI
ERWK'U/RRPLVDQG'U*RUQHW7KH\KDYHQRWFRQWHQGHG
RWKHUZLVHEHIRUHHLWKHUWKHGLVWULFWFRXUWRUWKLVFRXUW$IWHU
WKHGLVWULFWFRXUWGHFLGHGWRSUHFOXGH'U*RUQHWIURPJLYLQJ
H[SHUWWHVWLPRQ\'DYLVZDVWKHUHIRUHHQWLWOHGWRMXGJPHQWDV
DPDWWHURIODZ
%XW'DYLVGLGQRWKDYHDPRWLRQIRUVXPPDU\MXGJPHQW
SHQGLQJEHIRUHWKHGLVWULFWFRXUW,QVWHDGWKHFRXUWGLVPLVVHG
WKHDFWLRQZLWKSUHMXGLFHRQLWVRZQLQLWLDWLYH7KH6RPPHUV
DUJXH WKDW WKLV SURFHGXUH ZDV LPSURSHU 7KH\ DVVHUW WKDW
'DYLVVKRXOGKDYHEHHQUHTXLUHGWRZDLWXQWLOWKHFORVHRI
WKHLUFDVHDWWULDOWRPRYHIRUMXGJPHQWDVDPDWWHURIODZ
³>7@KHSURFHGXUDOGHFLVLRQWRHQWHUVXPPDU\MXGJPHQWVXD
VSRQWHPXVWEHUHYLHZHGWRGHWHUPLQHLIWKHFRXUWDEXVHG
LWVGLVFUHWLRQE\HQWHULQJWKHMXGJPHQWRQLWVRZQPRWLRQ´
(PSOR\HUV,QVRI:DVDXY3HWUROHXP6SHFLDOWLHV,QF
)G WK&LU )DFWRUVWRFRQVLGHULQPDNLQJ
WKLV GHWHUPLQDWLRQ LQFOXGH ZKHWKHU WKH SDUWLHV ZKR ZRXOG
RSSRVHVXFKDMXGJPHQWKDGQRWLFHWKDWMXGJPHQWFRXOGEH
1R 6RPPHUHWDOY'DYLVHWDO
VXIIHULQJIURPEDFNSDLQZKLFKZDVHYHQWXDOO\DWWULEXWHGWR
GHJHQHUDWLYHFKDQJHVLQDGLVNLQWKHORZHUSDUWRIKLVVSLQH
$IWHUFRQVHUYDWLYHWUHDWPHQWIDLOHGWRDOOHYLDWHWKHSDLQ'DYLV
SHUIRUPHGVXUJHU\RQ6RPPHU¶VEDFNRQ-XO\LQD
1DVKYLOOHKRVSLWDO7KHSURFHGXUHLQYROYHGWKHH[FLVLRQRI
WKHSUREOHPDWLFGLVNDQGWKHLPSODQWDWLRQRIDUWLILFLDOGHYLFHV
WRVWDELOL]H6RPPHU¶VVSLQHDQGWKHUHE\DOORZLWWRIXVH
2Q -DQXDU\ 6RPPHU UHWXUQHG WR WKH VDPH
1DVKYLOOH KRVSLWDO VR WKDW WKH VWDELOL]LQJ GHYLFHV FRXOG EH
UHPRYHG7KLVWLPHWKHSURFHGXUHZDVSHUIRUPHGE\&KDUOHV
*1RUWRQ0'DQDVVRFLDWHRI'DYLV¶V+HUHPRYHGWKH
DUWLILFLDOGHYLFHVDQGYHULILHGWKDW6RPPHU¶VVSLQHKDGIXVHG
6RPPHU¶VFRQGLWLRQGHWHULRUDWHGVKRUWO\DIWHUOHDYLQJWKH
FDUH RI KLV 1DVKYLOOH SK\VLFLDQV +H VXEVHTXHQWO\ VRXJKW
WUHDWPHQWIURP0DWWKHZ)*RUQHW0'DWDFOLQLFLQ6W
/RXLV0LVVRXULLQ$XJXVWRI+LVWUHDWPHQWLQ0LVVRXUL
FRQYLQFHG6RPPHUWKDWKLV1DVKYLOOHGRFWRUVKDGQHJOLJHQWO\
FDXVHGKLPLQMXU\
% 3URFHGXUDOEDFNJURXQG
6RPPHU DQG KLV ZLIH EURXJKW VXLW DJDLQVW 'DYLV RQ
'HFHPEHULQWKH8QLWHG6WDWHV'LVWULFW&RXUWIRUWKH
0LGGOH'LVWULFWRI7HQQHVVHH1HDUO\HLJKWPRQWKVODWHUWKH
6RPPHUV DPHQGHG WKHLU FRPSODLQW WR DGG 1RUWRQ DV D
GHIHQGDQW 7KH PDJLVWUDWH MXGJH HQWHUHG D VWLSXODWHG FDVH
PDQDJHPHQW RUGHU RQ 0DUFK $PRQJ WKH GDWHV
LQFOXGHG LQ WKH RUGHU ZDV D -XQH GHDGOLQH IRU WKH
6RPPHUVWRSURYLGHGLVFORVXUHVRIDQ\H[SHUWZLWQHVVHVLQ
DFFRUGDQFH ZLWK 5XOH RI WKH )HGHUDO 5XOHV RI &LYLO
3URFHGXUH 7KLVZDVDOUHDG\WKHVHFRQGVFKHGXOLQJRUGHULQ
WKHFDVHWRLQFOXGHDFXWRIIGDWHIRUH[SHUWZLWQHVVHV7KH
LQLWLDO H[SHUWGLVFORVXUH GHDGOLQH ZDV $XJXVW
7RZDUG WKH HQG RI 0D\ WKH 6RPPHUV ILOHG DQ
XQRSSRVHG PRWLRQ WR H[WHQG WKH H[LVWLQJ GHDGOLQHV E\
GD\V-XO\ZDVWKHQVHWDVWKHQHZH[SHUWGLVFORVXUH
GDWH

-- 3 of 8 --

6RPPHUHWDOY'DYLVHWDO 1R
1RUWRQPRYHGIRUVXPPDU\MXGJPHQWRQ2FWREHU
$IWHUWKH6RPPHUVVRXJKWDGGLWLRQDOWLPHWRUHVSRQGWRWKH
PRWLRQWKHGLVWULFWFRXUWH[WHQGHGWKHWLPHWR1RYHPEHU
7KH6RPPHUVILOHGWKHLURSSRVLWLRQRQ1RYHPEHU
DQG WKHQ ILOHG DGGLWLRQDO SDSHUV LQ RSSRVLWLRQ WKH
IROORZLQJGD\$QDIILGDYLWE\'U*RUQHWDQGDQXQVZRUQ
OHWWHU GDWHG 1RYHPEHU IURP *UHJRU\ - /RRPLV
0' D SK\VLFLDQ SUDFWLFLQJ LQ (YDQVYLOOH ,QGLDQD ZHUH
DWWDFKHGWRWKH6RPPHUV¶SDSHUVLQRSSRVLWLRQWRWKHPRWLRQ
2Q )HEUXDU\ WKH GHIHQGDQWV MRLQWO\ PRYHG WR
H[FOXGH'U *RUQHWIURPWHVWLI\LQJDWWULDOXQOHVVKHPDGH
KLPVHOI DYDLODEOH IRU D GHSRVLWLRQ 7KH\ DOVR H[SUHVVHG
FRQFHUQRYHUWKHSRVVLELOLW\WKDWWKH6RPPHUVPLJKWVHHNWR
RIIHU'U/RRPLVDVDWHVWLI\LQJH[SHUWHYHQWKRXJKKHKDG
QRW EHHQ GLVFORVHG DV RQH 2Q )HEUXDU\ WKH
6RPPHUVILOHGDUHVSRQVHLQRSSRVLWLRQWRWKHGHIHQGDQWV¶
PRWLRQ7KHSULPDU\JURXQGRIWKHLURSSRVLWLRQZDVWKDW³'U
*RUQHWILUVWLVQRWDUHWDLQHGH[SHUW'U*RUQHWLVDWUHDWLQJ
GRFWRU´ 7KH\ VSHFLILFDOO\ GHQLHG WKDW 'U *RUQHW ZDV DQ
H[SHUWZLWQHVVZLWKLQWKHSXUYLHZRI5XOH
)LYH GD\V ODWHU WKH 6RPPHUV PRYHG IRU OHDYH WR ILOH ³D
VXSSOHPHQWDO5XOHRSLQLRQZLWQHVVGLVFORVXUHFRQWDLQLQJ
WKHLGHQWLILFDWLRQRI'U*UHJRU\/RRPLV´7KHGHIHQGDQWV
DUJXHGWKDWWKHGLVWULFWFRXUWVKRXOGGHQ\WKLVPRWLRQEHFDXVH
WKH6RPPHUVKDGQRWLGHQWLILHGDQ\UHDVRQIRUWKHLUIDLOXUHWR
LGHQWLI\'U/RRPLVE\-XO\DQGEHFDXVHWULDOZDV
VFKHGXOHGIRU0D\'DYLVVXEVHTXHQWO\PRYHGIRU
DQRUGHULQOLPLQHWRH[FOXGH'U/RRPLVDVDQH[SHUWZLWQHVV
RQ WKH JURXQG WKDW 'U /RRPLV ZDV QRW FRPSHWHQW XQGHU
7HQQHVVHHODZWRWHVWLI\RQDQ\LVVXHLQWKHFDVH+HDOVR
ILOHGDVLPLODUPRWLRQWKDWVRXJKWWRH[FOXGH'U*RUQHWDVDQ
H[SHUW ZLWQHVV EXW WKLV PRWLRQ DOWHUQDWLYHO\ UHTXHVWHG D
KHDULQJ WR GHWHUPLQH WKH DGPLVVLELOLW\ RI 'U *RUQHW¶V
WHVWLPRQ\ SXUVXDQW WR 5XOH RI WKH )HGHUDO 5XOHV RI
(YLGHQFH
2Q$SULOWKHGLVWULFWFRXUWGHQLHGWKH6RPPHUV¶
PRWLRQWRGLVFORVH'U/RRPLVDVDQH[SHUWZLWQHVVZDUQHG
1R 6RPPHUHWDOY'DYLVHWDO
WKRXJKOHVVH[WHQVLYHWKDQWKHNQRZOHGJHRIWKHSURSRVHG
H[SHUW LQ :LOVRQ ZKR KDG UHYLHZHG WKH WHVWLPRQ\ RI
QXPHURXVORFDOSK\VLFLDQV
6WDWLQJWKDWWKHVWDQGDUGRIFDUHKDVQRYDULDQFHQDWLRQDOO\
KRZHYHUUHVHPEOHVWKHW\SHRIDVVHUWLRQWKDWZDVUHMHFWHGLQ
0DERQ³:KLOHDQH[SHUW¶VGLVFXVVLRQRIWKHDSSOLFDELOLW\RI
DQDWLRQDOVWDQGDUGRIFDUHGRHVQRWUHTXLUHH[FOXVLRQRIWKH
WHVWLPRQ\VXFKHYLGHQFHPD\QRWVXEVWLWXWHIRUHYLGHQFHWKDW
ILUVW HVWDEOLVKHV WKH UHTXLUHPHQWV RI 7HQQ &RGH $QQ
† D ´5RELQVRQ6:GDW'U*RUQHW
DOVRDGPLWWHGWKDWKHGLGQRW³NQRZDQ\RIWKHFKDUDFWHULVWLFV
RIWKH1DVKYLOOHPHGLFDOFRPPXQLW\´DWWKHWLPHRI6RPPHU¶V
VXUJHU\ 7KH SURSRVHG H[SHUW LQ :LOVRQ PDGH QR VLPLODU
VWDWHPHQW
,W PD\ ZHOO EH WKDW WKH VWDQGDUG RI FDUH IRU VXUJHU\
LQYROYLQJVSLQDOIXVLRQLVLQIDFWXQLIRUPQDWLRQZLGH%XW
QHLWKHUWKLVSRVVLELOLW\ZKLFKKDVQRWEHHQHVWDEOLVKHGLQWKLV
UHFRUGQRURXUSROLF\YLHZVRIPHGLFDOPDOSUDFWLFHOLWLJDWLRQ
FRQWUROWKLVFDVH$EVHQWDIHGHUDOTXHVWLRQ³WKHODZWREH
DSSOLHGLQDQ\FDVHLVWKHODZRIWKHVWDWH$QGZKHWKHUWKH
ODZRIWKHVWDWHEHGHFODUHGE\LWV/HJLVODWXUHLQDVWDWXWHRUE\
LWV KLJKHVW FRXUW LQ D GHFLVLRQ LV QRW D PDWWHU RI IHGHUDO
FRQFHUQ´(ULH55&RY7RPSNLQV86
7KH7HQQHVVHH6XSUHPH&RXUWUHFHQWO\UHEXIIHGDSODLQWLII
ZKRXUJHGWKHFRXUWWRDGRSW³DQDWLRQDOVWDQGDUGRIFDUHIRU
DOO PDOSUDFWLFH DFWLRQV PDOSUDFWLFH DFWLRQV LQYROYLQJ
SK\VLFLDQV ZKR DUH ERDUGFHUWLILHG LQ D SDUWLFXODU DUHD RU
PDOSUDFWLFH DFWLRQV LQYROYLQJ D VSHFLILF WUHDWPHQW LVVXH RU
DUHDRIPHGLFLQH´5RELQVRQ6:GDW,QUHMHFWLQJ
WKLVUHTXHVW WKHFRXUWVSHFLILFDOO\³GHFOLQH>G@WRDGRSWWKH
SODLQWLII¶VLQWHUSUHWDWLRQEDVHGRQHLWKHUSROLF\DUJXPHQWVRU
DOOHJHGHYLGHQFHRIWKHH[LVWHQFHRIDQDWLRQDOVWDQGDUGRI
FDUHLQWKHPHGLFDOFRPPXQLW\´,GDW)RUXVWRGR
RWKHUZLVHZRXOGOHDGWRWKHNLQGRIIRUXPVKRSSLQJWKDWZDV
KDOWHGE\WKHGHFLVLRQLQ(ULH
&RQILQLQJRXUVHOYHVWRWKHDSSOLFDWLRQRI7HQQHVVHHODZDV
DUWLFXODWHGE\LWVFRXUWVZHQRWHWKDWFHUWDLQDVSHFWVRI'U

-- 4 of 8 --

6RPPHUHWDOY'DYLVHWDO 1R
VWDQGDUGRIFDUHKHLVIDPLOLDU ZDVDVLPLODUFRPPXQLW\WR
1DVKYLOOHDVIROORZV
, IHHO WKH FRPPXQLWLHV DUH VLPLODU DV IDU DV
GHPRJUDSKLFV , IHHO WKDW WKHLU WUDLQLQJ WKH PHGLFDO
VFKRROV KHUH DUH YHU\ YHU\ VLPLODU :DVKLQJWRQ
8QLYHUVLW\ DQG 9DQGHUELOW DUH ERWK DFNQRZOHGJHG DV
RXWVWDQGLQJ,QIDFWLI\RXORRNWKH\DUHLQWKHVDPH
FRQVRUWLXP RI PHGLFDO VFKRROV 7KHUH¶V DERXW
PHGLFDO VFKRROV WKDW DUH VRUW RI DQ HOLWH JURXS
9DQGHUELOWDQG:DVKLQJWRQ8QLYHUVLW\DUHOLNHWKDW
$VIDUDVWKHFRPPXQLW\GRZQKHUHDVZHKDYHWDONHG
DERXW UHYLHZLQJ LQIRUPDWLRQ , KDYH WKHUH DUH VLPLODU
KRVSLWDOVVLPLODUSURFHGXUHVDUHSHUIRUPHG:HKDYH
PHHWLQJVZLWK>VLF@ZKHUHDOORIXVDWWHQGWKHPHHWLQJV
KHDUWKHVDPHOHFWXUHV$QGVR,IHHOFRQILGHQWVD\LQJ
WKDW
'U *RUQHW DOVR WHVWLILHG WKDW KH SHUVRQDOO\ NQHZ RQH
SK\VLFLDQIURP1DVKYLOOHDQGWKDWKHKDGVHHQDFRXSOHRI
SDWLHQWVIURPWKDWFLW\
2Q WKH RWKHU KDQG 'U *RUQHW DIILUPHG WKDW ³>W@KH
VWDQGDUGV>IRUVSLQDOIXVLRQVXUJHU\@GRQRWYDU\UHJDUGOHVVRI
ZKHUHDQGXQGHUZKDWFLUFXPVWDQFHVLQWKH8QLWHG6WDWHVRI
$PHULFDWKDWVXUJHU\LVSHUIRUPHG´$WDQRWKHUSRLQWGXULQJ
WKHVDPHKHDULQJPRUHRYHUFRXQVHOIRU'DYLVDVNHGKLP
³<RXGRQ¶WNQRZDQ\RIWKHFKDUDFWHULVWLFVRIWKH1DVKYLOOH
PHGLFDOFRPPXQLW\DWWKDWWLPHGR\RXVLU"´'U*RUQHW
UHSOLHG³,QWKDW¶VFRUUHFW´
&RPSDULVRQRI:DVKLQJWRQ8QLYHUVLW\DQG9DQGHUELOWLV
VLPLODU WR WKH VWDWHPHQW WKDW ³/H[LQJWRQ .HQWXFN\ DQG
0HPSKLV7HQQHVVHHDUHUHJLRQDOPHGLFDOFHQWHUVDQGDUHWKH
ORFDWLRQVRIWKHLUVWDWHPHGLFDOVFKRROV´ZKLFKZDVSDUWRI
WKH HYLGHQFH WKDW WKH :LOVRQ FRXUW IRXQG EDUHO\ VXIILFLHQW
XQGHU7HQQHVVHH&RGH† D 'U*RUQHWDOVRKDG
DGGLWLRQDOEDVHVIRUHYDOXDWLQJWKHVLPLODULW\RI1DVKYLOOHDQG
6W/RXLVWKDWLVKHNQHZRQHGRFWRUIURP1DVKYLOOHDQGKDG
VHHQDFRXSOHRI1DVKYLOOH SDWLHQWV7KLVLVDQDORJRXVWR
1R 6RPPHUHWDOY'DYLVHWDO
WKH6RPPHUVWKDW'U*RUQHWZRXOGQRWEHSHUPLWWHGWRWHVWLI\
DW WULDO XQOHVV KH PDGH KLPVHOI UHDVRQDEO\ DYDLODEOH IRU D
GHSRVLWLRQ DQG JUDQWHG 1RUWRQ¶V PRWLRQ IRU VXPPDU\
MXGJPHQW7KH6RPPHUVPRYHGIRUUHFRQVLGHUDWLRQ
$IWHU FRQGXFWLQJ WKH UHTXHVWHG 5XOH KHDULQJ WKH
GLVWULFWFRXUWUXOHGWKDW'U*RUQHWZDVQRWFRPSHWHQWXQGHU
7HQQHVVHHODZWRWHVWLI\DERXWWKHVWDQGDUGRIPHGLFDOFDUHLQ
1DVKYLOOHRULQDFRPPXQLW\VLPLODUWR1DVKYLOOH,WWKHUHIRUH
JUDQWHG'DYLV¶VPRWLRQWRH[FOXGH'U*RUQHWIURPWHVWLI\LQJ
%HFDXVH WKLV UHQGHUHG WKH 6RPPHUV XQDEOH WR FDUU\ WKHLU
EXUGHQ RI SURRI WKH GLVWULFW FRXUW RQ LWV RZQ LQLWLDWLYH
GLVPLVVHGWKHDFWLRQZLWKSUHMXGLFH)LQDOO\WKHGLVWULFWFRXUW
GHQLHG WKH 6RPPHUV¶ PRWLRQ WR UHFRQVLGHU WKH DZDUG RI
VXPPDU\MXGJPHQWWR1RUWRQ7KLVWLPHO\DSSHDOIROORZHG
,,$1$/<6,6
$ 7KHGLVWULFWFRXUWGLGQRWHUULQJUDQWLQJVXPPDU\
MXGJPHQWWR1RUWRQ
:HUHYLHZWKHGLVWULFWFRXUW¶VJUDQWRIVXPPDU\MXGJPHQW
GHQRYR6SHUOHY0LFKLJDQ'HS¶WRI&RUU)G
WK&LU 6XPPDU\MXGJPHQWLVSURSHUZKHUHQR
JHQXLQHLVVXHRIPDWHULDOIDFWH[LVWVDQGWKHPRYLQJSDUW\LV
HQWLWOHGWRMXGJPHQWDVDPDWWHURIODZ)HG5&LY3 F
,Q FRQVLGHULQJ VXFK D PRWLRQ WKH FRXUW FRQVWUXHV DOO
UHDVRQDEOHIDFWXDOLQIHUHQFHVLQIDYRURIWKHQRQPRYLQJSDUW\
0DWVXVKLWD(OHF,QGXV&RY=HQLWK5DGLR&RUS86
7KHFHQWUDOLVVXHLV³ZKHWKHUWKHHYLGHQFH
SUHVHQWVDVXIILFLHQWGLVDJUHHPHQWWRUHTXLUHVXEPLVVLRQWRD
MXU\RUZKHWKHULWLVVRRQHVLGHGWKDWRQHSDUW\PXVWSUHYDLO
DVDPDWWHURIODZ´$QGHUVRQY/LEHUW\/REE\,QF86

,Q WKH FDVH EHIRUH XV WKH 6RPPHUV DUJXH WKDW VXPPDU\
MXGJPHQWIRU1RUWRQZDVLPSURSHUEHFDXVHJHQXLQHLVVXHVRI
PDWHULDOIDFWUHPDLQHGLQGLVSXWHUHJDUGLQJWKHLUFODLPDJDLQVW
KLP 7KH 6RPPHUV DOOHJHG WKDW ³RQ RU DERXW -DQXDU\
'U 1RUWRQ XQGHUWRRN WR SHUIRUP DQ RUWKRSDHGLF
VXUJLFDOSURFHGXUHRQWKH3ODLQWLIILQZKLFKFHUWDLQKDUGZDUH

-- 5 of 8 --

6RPPHUHWDOY'DYLVHWDO 1R
UHIHUUHGWRDVWKHYDULJULSV\VWHPZDVUHPRYHG>DQG@>W@KDW
'U&KDUOHV*1RUWRQQHJOLJHQWO\SHUIRUPHGVDLGSURFHGXUH
WR LQFOXGH EXW QRW OLPLWHG WR DGHTXDWHO\ H[SORULQJ 0U
6RPPHU¶VIXVLRQ´7RSUHYDLORQWKLVPHGLFDOPDOSUDFWLFH
FODLPDJDLQVW1RUWRQWKH\KDGWRSURYHWKHIROORZLQJ
7KHUHFRJQL]HGVWDQGDUGRIDFFHSWDEOHSURIHVVLRQDO
SUDFWLFH LQ WKH SURIHVVLRQ DQG WKH VSHFLDOW\ WKHUHRI LI
DQ\ WKDW WKH GHIHQGDQW SUDFWLFHV LQ WKH FRPPXQLW\ LQ
ZKLFKWKHGHIHQGDQWSUDFWLFHVRULQDVLPLODUFRPPXQLW\
DW WKH WLPH WKH DOOHJHG LQMXU\ RU ZURQJIXO DFWLRQ
RFFXUUHG
7KDWWKHGHIHQGDQWDFWHGZLWKOHVVWKDQRUIDLOHGWRDFW
ZLWK RUGLQDU\ DQG UHDVRQDEOH FDUH LQ DFFRUGDQFH ZLWK
VXFKVWDQGDUGDQG
$VDSUR[LPDWHUHVXOWRIWKHGHIHQGDQW¶VQHJOLJHQWDFW
RURPLVVLRQWKHSODLQWLIIVXIIHUHGLQMXULHVZKLFKZRXOG
QRWRWKHUZLVHKDYHRFFXUUHG
7HQQ&RGH$QQ† D
1RQHRIWKHHYLGHQFHSURGXFHGE\WKH6RPPHUVLQWKHLU
UHVSRQVH WR 1RUWRQ¶V PRWLRQ IRU VXPPDU\ MXGJPHQW HYHQ
PHQWLRQHG1RUWRQOHWDORQHLGHQWLILHGIDFWVIURPZKLFKDMXU\
FRXOGFRQFOXGHWKDWKHKDGEHHQQHJOLJHQW$VQRWHGLQ3DUW
,%DERYHWKH6RPPHUVILOHGDQDIILGDYLWE\'U*RUQHWDQG
DQXQVZRUQOHWWHUGDWHG1RYHPEHUIURP'U/RRPLV
'U*RUQHW¶VDIILGDYLWPHQWLRQVVHYHUDODOOHJHGGHILFLHQFLHV
LQ'DYLV¶VZRUNEXWLWGRHVQRWUHIHUWR1RUWRQDWDOO'U
/RRPLV VLPLODUO\ RSLQHG LQ KLV OHWWHU RQ 'DYLV¶V DOOHJHG
VKRUWFRPLQJVEXWKHWRRIDLOHGWRPHQWLRQ1RUWRQ
3DUWLHVRSSRVLQJDSURSHUO\VXSSRUWHGPRWLRQIRUVXPPDU\
MXGJPHQW³PD\QRWUHVWXSRQWKHPHUHDOOHJDWLRQV´RIWKHLU
SOHDGLQJVEXW³PXVWVHWIRUWKVSHFLILFIDFWVVKRZLQJWKDWWKHUH
LVDJHQXLQHLVVXHIRUWULDO´)HG5&LY3 H %HFDXVH
WKH 6RPPHUV IDLOHG WR VHW IRUWK DQ\ IDFWV PDWHULDO RU
RWKHUZLVHUHOHYDQWWRWKHLUFODLPDJDLQVW1RUWRQWKHGLVWULFW
FRXUWSURSHUO\JUDQWHGKLVPRWLRQIRUVXPPDU\MXGJPHQW
1R 6RPPHUHWDOY'DYLVHWDO
7KH 7HQQHVVHH &RXUW RI $SSHDOV LQ 0DERQ Y -DFNVRQ
0DGLVRQ&RXQW\*HQ+RVS6:G 7HQQ&W
$SS GHFLGHGWKDWWKHSODLQWLII¶VSURSRVHGH[SHUWGLG
QRWKDYHNQRZOHGJHRIWKHVWDQGDUGRIFDUHLQWKHGHIHQGDQW¶V
FRPPXQLW\RUDVLPLODURQHZKHUHKH
VWDWH>G@ LQ KLV DIILGDYLW WKDW KH ZDV IDPLOLDU ZLWK WKH
UHFRJQL]HGVWDQGDUGRIDFFHSWDEOHPHGLFDOSUDFWLFHLQDQ
DUHDVXFKDV-DFNVRQ7HQQHVVHHDQGDWDIDFLOLW\WKHVL]H
RI+RVSLWDO+HIXUWKHUVWDWH>G@WKDWWKHVWDQGDUGRIFDUH
LQ-DFNVRQDQGDW+RVSLWDOZRXOGEHFRPSDUDEOHWRWKH
FLWLHVDQGIDFLOLWLHVDWZKLFKKHKDVSUDFWLFHGPHGLFLQH
DQG LV WKH VDPH IRU 1HZ <RUN >&@LW\ DQG RWKHU ODUJH
FLWLHVDQGLQHIIHFWLVDQDWLRQDOVWDQGDUG
)LQGLQJ ³WKDW KLV VWDWHPHQW LQ KLV DIILGDYLW UHJDUGLQJ WKH
VWDQGDUGRIFDUHLVSUHPLVHGRQWKHQDWLRQDOVWDQGDUGRIFDUH
DQG QRW RQ WKH VWDQGDUG RI FDUH IRU >WKH GHIHQGDQW¶V
FRPPXQLW\@RUVLPLODUFRPPXQLWLHV´WKHFRXUWUHMHFWHGKLV
WHVWLPRQ\ ,G VHH DOVR 5RELQVRQ Y /H&RUSV 6:G
7HQQ ³2XULQWHUSUHWDWLRQRIWKHVWDWXWHLV
FRQVLVWHQWZLWKSULRU&RXUWRI$SSHDOV¶GHFLVLRQVLQFOXGLQJ
0DERQY-DFNVRQ0DGLVRQ&RXQW\*HQ+RVS´
2Q WKH RWKHU KDQG ZKLOH FRQFHGLQJ WKDW WKH SURSRVHG
H[SHUW¶V³WHVWLPRQ\FRQFHUQLQJWKHVLPLODULW\RI/H[LQJWRQ
DQG0HPSKLVLVVRPHZKDWPHDJHU´WKH7HQQHVVHH&RXUWRI
$SSHDOVLQ:LOVRQY3DWWHUVRQ6:G 7HQQ&W
$SS IRXQG WKH WHVWLPRQ\ ³EDUHO\ VXIILFLHQW WR
ZLWKVWDQG DWWDFN DW WKH VXPPDU\ MXGJPHQW VWDJH RI WKH
SURFHHGLQJ´ 7KH SURSRVHG H[SHUW LQ :LOVRQ VWDWHG E\
DIILGDYLW WKDW ³>E@RWK /H[LQJWRQ .HQWXFN\ DQG 0HPSKLV
7HQQHVVHHDUHUHJLRQDOPHGLFDOFHQWHUVDQGDUHWKHORFDWLRQV
RI WKHLU VWDWH PHGLFDO VFKRROV´ DQG WKDW KH KDG ³KDG WKH
RSSRUWXQLW\ WR UHYLHZ WKH GHSRVLWLRQV RI DQG KHDU WKH
WHVWLPRQ\RIQXPHURXV0HPSKLV7HQQHVVHHSK\VLFLDQVRQ
WKHUHFRJQL]HGVWDQGDUGRIFDUH´,GDW
$WWKH5XOHKHDULQJ'U*RUQHWH[SODLQHGWKHEDVLVIRU
KLVRSLQLRQWKDW6W/RXLV ZKHUHKHSUDFWLFHVDQGZLWKZKRVH

-- 6 of 8 --

6RPPHUHWDOY'DYLVHWDO 1R
SURIHVVLRQDO SUDFWLFH LQ WKH SURIHVVLRQ DQG WKH VSHFLDOW\
WKHUHRILIDQ\WKDWWKHGHIHQGDQWSUDFWLFHVLQWKHFRPPXQLW\
LQZKLFKWKHGHIHQGDQWSUDFWLFHVRULQDVLPLODUFRPPXQLW\DW
WKHWLPHWKHDOOHJHGLQMXU\RFFXUUHG´7HQQ&RGH$QQ
† D +H ZDV WKHUHIRUH XQDEOH WR RIIHU DQ\
HYLGHQFHWKDWZDVUHOHYDQWWRWKH6RPPHUV¶FODLPV
0XFKRIWKH6RPPHUV¶DUJXPHQWDERXWWKHH[FOXVLRQRI'U
*RUQHWIRFXVHVRQ7HQQHVVHH&RGH† E ZKLFK
UHTXLUHVH[SHUWVZKRWHVWLI\LQPHGLFDOPDOSUDFWLFHFDVHVWR
EHOLFHQVHGLQ7HQQHVVHHRULQDFRQWLJXRXVVWDWH7KH\DUJXH
ERWKWKDWWKHVWDWXWHLVXQFRQVWLWXWLRQDODQGWKDWLWVDSSOLFDWLRQ
LVSUHFOXGHGE\5XOHRIWKH)HGHUDO5XOHVRI(YLGHQFH
7RWKHH[WHQWWKDWWKHVHDUJXPHQWVKDYHDQ\DSSOLFDELOLW\WR
WKLV FDVH WKH 6L[WK &LUFXLW KDV GHILQLWLYHO\ UHMHFWHG WKHP
/HJJY&KRSUD)G WK&LU ³,Q
VXP )HGHUDO 5XOH RI (YLGHQFH GLFWDWHV WKDW WKH >VLF@
7HQQHVVHH¶V ZLWQHVV FRPSHWHQF\ UXOH JRYHUQV WKH
DGPLVVLELOLW\RIPHGLFDOH[SHUWWHVWLPRQ\>:@HKROGWKDW
WKHGLVWULFWFRXUWGLGQRWHUULQDSSO\LQJ)HG5(YLGDQG
7HQQ&RGH$QQ† E LQLWVDQDO\VLV´
7KHDSSOLFDELOLW\RIWKHVHDUJXPHQWVPRUHRYHULVGXELRXV
DW EHVW 'U *RUQHW SUDFWLFHV LQ 0LVVRXUL ZKLFK ERUGHUV
7HQQHVVHH6HFWLRQ E WKHUHIRUHSRVHVQREDUULHU
WRKLVWHVWLPRQ\DQGWKHGLVWULFWFRXUWGLGQRWUHO\RQWKDW
VHFWLRQ5DWKHUWKHGLVWULFWFRXUWGHWHUPLQHGWKDW'U*RUQHW
KDG QR SHUVRQDO NQRZOHGJH RI WKH VWDQGDUG RI FDUH LQ
1DVKYLOOHRULQDVLPLODUFRPPXQLW\%UHDFKRIWKDWSDUWLFXODU
VWDQGDUG RI FDUH PXVW EH SURYHG LQ RUGHU IRU D SODLQWLII WR
SUHYDLO LQ D 7HQQHVVHH PHGLFDO PDOSUDFWLFH FODLP 7HQQ
&RGH$QQ† D
³>$@EXVHRIGLVFUHWLRQLVWKHSURSHUVWDQGDUGRIUHYLHZRI
D GLVWULFW FRXUW¶V HYLGHQWLDU\ UXOLQJV´ *HQ (OHF &R Y
-RLQHU 86 GLVFXVVLQJ WKH
TXDOLILFDWLRQV RI H[SHUWV $VVRFLDWHG *HQ &RQWUDFWRUV RI
2KLR,QFY'UDELN)G WK&LU ³$
GLVWULFW FRXUW¶V GHWHUPLQDWLRQV RI UHOHYDQF\ DUH VXEMHFW WR
UHYLHZIRUDEXVHRIGLVFUHWLRQ´
1R 6RPPHUHWDOY'DYLVHWDO
% 7KH GLVWULFW FRXUW GLG QRW HUU LQ GHQ\LQJ WKH
6RPPHUV¶PRWLRQWRUHFRQVLGHU
,QWKHLUQRWLFHRIDSSHDOWKH6RPPHUVVWDWHGWKDWWKH\ZHUH
DSSHDOLQJWKHGHQLDORIWKHLUPRWLRQWRUHFRQVLGHUWKHDZDUG
RIVXPPDU\MXGJPHQWWR1RUWRQ7KH\KDYHQRWKRZHYHU
SUHVHQWHGDQ\DUJXPHQWRQWKLVVXEMHFWLQWKHLUEULHIV:H
WKHUHIRUH FRQVLGHU WKLV LVVXH DV DEDQGRQHG 3ULGG\ Y
(GHOPDQ)G WK&LU ³:HQRUPDOO\
GHFOLQHWRFRQVLGHULVVXHVQRWUDLVHGLQWKHDSSHOODQW¶VRSHQLQJ
EULHI´
2QWKHPHULWVPRUHRYHUWKHGLVWULFWFRXUWGLGQRWHUU:H
W\SLFDOO\UHYLHZWKHGHQLDORIDPRWLRQWRUHFRQVLGHUXVLQJWKH
³DEXVHRIGLVFUHWLRQ´VWDQGDUG³EXWZKHUHUHFRQVLGHUDWLRQRI
VXPPDU\ MXGJPHQW ZDV VRXJKW D GH QRYR UHYLHZ´ LV
DSSURSULDWH8QLWHG6WDWHVY)G
WK&LU 7KH6RPPHUVGLGQRWSUHVHQWWKHGLVWULFW
FRXUW ZLWK DQ\ UHDVRQ WR UHFRQVLGHU WKH JUDQW RI VXPPDU\
MXGJPHQW 7KH\ GLG KRZHYHU DWWHPSW WR RIIHU DV QHZ
HYLGHQFHFHUWDLQH[FHUSWVIURP'U*RUQHW¶VGHSRVLWLRQLQ
ZKLFKKHRSLQHVWKDW1RUWRQ¶VSHUIRUPDQFHZDVQHJOLJHQW
%XW'U*RUQHWZDVWKH6RPPHUV¶ZLWQHVVDQGWKH\XWWHUO\
IDLOHGWRH[SODLQZK\KLVRSLQLRQRQ1RUWRQ¶VFRQGXFWZDV
XQDYDLODEOH WR WKHP ZKHQ WKH\ KDG HDUOLHU UHVSRQGHG WR
1RUWRQ¶VPRWLRQIRUVXPPDU\MXGJPHQW
$GLVWULFWFRXUW¶VUHIXVDOWRFRQVLGHUHYLGHQFHSURGXFHGIRU
WKHILUVWWLPHRQDPRWLRQWRUHFRQVLGHUZLOOEHUHYHUVHGRQO\
LI WKH UHIXVDO FRQVWLWXWHV DQ DEXVH RI GLVFUHWLRQ +D\HV Y
1RUIRON6&RUS1R:/DW WK
&LU'HF XQSXEOLVKHGWDEOHGHFLVLRQ FLWLQJ+XII
Y0HWUR/LIH,QV&R)G WK&LU
*LYHQWKDWWKH6RPPHUVSURYLGHGQRUHDVRQZK\'U*RUQHW¶V
RSLQLRQRQ1RUWRQFRXOGQRWKDYHEHHQSURGXFHGHDUOLHUWKH
GLVWULFW FRXUW GLG QRW DEXVH LWV GLVFUHWLRQ LQ UHIXVLQJ WR
FRQVLGHUWKHQHZHYLGHQFH)LQDOO\IRUWKHUHDVRQVH[SODLQHG
LQ3DUW,,'EHORZ'U*RUQHWZDVQRWFRPSHWHQWWRRIIHU
RSLQLRQ HYLGHQFH LQ WKLV FDVH UHJDUGLQJ WKH DSSOLFDEOH
VWDQGDUG RI FDUH 6XPPDU\ MXGJPHQW IRU 1RUWRQ ZRXOG

-- 7 of 8 --

6RPPHUHWDOY'DYLVHWDO 1R
WKHUHIRUH KDYH EHHQ DSSURSULDWH HYHQ LI WKH 6RPPHUV KDG
WLPHO\VXEPLWWHG'U*RUQHW¶VODWHURSLQLRQVLQWKHLULQLWLDO
RSSRVLWLRQWR1RUWRQ¶VPRWLRQ
& 7KH GLVWULFW FRXUW GLG QRW HUU LQ H[FOXGLQJ 'U
/RRPLV¶VH[SHUWWHVWLPRQ\
7KH 6RPPHUV QH[W FODLP WKDW WKH GLVWULFW FRXUW HUUHG LQ
GHQ\LQJWKHLUPRWLRQWRILOHDVXSSOHPHQWDO5XOHGLVFORVXUH
DVWR'U/RRPLVDQGLQJUDQWLQJ'DYLV¶VPRWLRQLQOLPLQHWR
H[FOXGH'U/RRPLV¶VWHVWLPRQ\%RWKUXOLQJVZHUHEDVHGRQ
WKH6RPPHUV¶XQWLPHOLQHVVLQGLVFORVLQJ'U/RRPLVDVDQ
H[SHUWZLWQHVV$OWKRXJKWKH6RPPHUVFRQWHQGWKDW³>E@\
DSSO\LQJ 7HQQHVVHH ODZ LQVWHDG RI WKH )HGHUDO 5XOHV RI
(YLGHQFH WKH FRXUW LPSURSHUO\ EDUUHG 'U /RRPLV IURP
WHVWLI\LQJ´WKLVZDVQRWWKHEDVLVRIWKHGLVWULFWFRXUW¶VUXOLQJ
,QVWHDG WKH GLVWULFW FRXUW UHOLHG RQ 5XOH RI WKH )HGHUDO
5XOHVRI&LYLO3URFHGXUH5XOHSURYLGHVLQSHUWLQHQWSDUW
DVIROORZV³$SDUW\WKDWZLWKRXWVXEVWDQWLDOMXVWLILFDWLRQIDLOV
WRGLVFORVHLQIRUPDWLRQUHTXLUHGE\5XOH D RU H
LV QRW XQOHVV VXFK IDLOXUH LV KDUPOHVV SHUPLWWHG WR XVH DV
HYLGHQFHDWDWULDODWDKHDULQJRURQDPRWLRQDQ\ZLWQHVVRU
LQIRUPDWLRQQRWVRGLVFORVHG´)HG5&LY3 F :HZLOO
UHYHUVHDGLVWULFWFRXUW¶VLQYRFDWLRQRI5XOHVDQFWLRQVRQO\
LIZHILQGDQDEXVHRIGLVFUHWLRQ%HLOY/DNHZRRG(QJ¶J
0IJ&R)G WK&LU
$IWHU PXOWLSOH H[WHQVLRQV WKH ILQDO H[SHUWGLVFORVXUH
GHDGOLQHZDVVHWIRU-XO\<HWWKH6RPPHUVZDLWHG
XQWLO)HEUXDU\WRGLVFORVH'U/RRPLVDVDQH[SHUW
ZLWQHVV 7KHLU PRWLRQ LQ WKH GLVWULFW FRXUW DUWLFXODWHG QR
MXVWLILFDWLRQ PXFK OHVV D VXEVWDQWLDO RQH IRU WKHLU
XQWLPHOLQHVVQRUKDYHWKH\SXWIRUZDUGDQ\MXVWLILFDWLRQRQ
DSSHDO 7KH6RPPHUVDVVHUWJHQHUDOO\WKDWWKHGHIHQGDQWV
ZRXOGQRWKDYHEHHQSUHMXGLFHGE\DOORZLQJ'U/RRPLVWR
WHVWLI\+DUPOHVVQHVVKRZHYHULVWKHNH\XQGHU5XOHQRW
SUHMXGLFH 7KH DGYLVRU\ FRPPLWWHH¶V QRWH WR 5XOH F
³VWURQJO\VXJJHVWVWKDWμKDUPOHVV¶LQYROYHVDQKRQHVWPLVWDNH
RQWKHSDUWRIDSDUW\FRXSOHGZLWKVXIILFLHQWNQRZOHGJHRQ
WKHSDUWRIWKHRWKHUSDUW\´9DQFHY8QLWHG6WDWHV1R
1R 6RPPHUHWDOY'DYLVHWDO
:/ DW WK &LU -XQH
XQSXEOLVKHGWDEOHGHFLVLRQ
1RWKLQJ LQ WKH SUHVHQW FDVH VXJJHVWV WKDW WKH IDLOXUH WR
GLVFORVH'U/RRPLVLQDWLPHO\PDQQHUZDVWKHUHVXOWRIDQ
KRQHVW PLVWDNH 1RU GLG WKH GHIHQGDQWV KDYH VXIILFLHQW
NQRZOHGJHRIKLPRUKLVRSLQLRQVVLQFHWKHILUVWKLQWWKDWKH
PLJKWKDYHVRPHLQYROYHPHQWLQWKHFDVHFDPHLQWKHIRUPRI
KLV XQVZRUQ OHWWHU WKDW ZDV ILOHG PRQWKV DIWHU WKH H[SHUW
GLVFORVXUHGHDGOLQH:HWKHUHIRUHFRQFOXGHWKDWWKHGLVWULFW
FRXUWGLGQRWDEXVHLWVGLVFUHWLRQLQGHQ\LQJWKH6RPPHUV¶
PRWLRQWRILOHDVXSSOHPHQWDO5XOHGLVFORVXUH
)XUWKHUPRUH WKH 6RPPHUV VSHFLILFDOO\ ZDLYHG DQ\
RSSRVLWLRQ WR 'DYLV¶V PRWLRQ LQ OLPLQH WR EDU 'U /RRPLV
IURP WHVWLI\LQJ 7KH GLVWULFW FRXUW PDGH WKH IROORZLQJ
FRPPHQWRQWKHVWDWXVRIWKHPRWLRQVLQOLPLQHDWWKH0D\
SUHWULDOFRQIHUHQFH³:HOOLIWKHUHLVQRRSSRVLWLRQILOHG
WKHQ,DPLQFOLQHGWRJUDQWWKHPRWLRQV´ &RXQVHOIRUWKH
6RPPHUVUHVSRQGHG³<RXU+RQRUWKHRQO\RQHZHUHDOO\
REMHFWWRLVWKHPRWLRQSHUWDLQLQJWR'U*RUQHW¶VWHVWLPRQ\´
8QGHU WKHVH FLUFXPVWDQFHV WKH 6RPPHUV ZKR GLVDYRZHG
RSSRVLWLRQWRWKHPRWLRQWRH[FOXGH/RRPLV¶VWHVWLPRQ\LQWKH
GLVWULFWFRXUWFDQQRWQRZDVVHUWHUURUUHJDUGLQJWKHJUDQWRI
WKHPRWLRQ0DVND86,QFY.DQVD*HQ,QV&R
)G G&LU KROGLQJWKDWDSDUW\FRXOGQRW
SUHVV D SDUWLFXODU FRQWHQWLRQ RQ DSSHDO DIWHU ³VSHFLILFDOO\
LQIRUP>LQJ@´WKHGLVWULFWFRXUWWKDWLWZDVQRWVRFRQWHQGLQJ
VHH)ULHQGO\)DUPVY5HOLDQFH,QV&R)G
WK &LU KROGLQJ WKDW DEVHQW H[FHSWLRQDO
FLUFXPVWDQFHV ³IDLOXUH WR UDLVH >D SDUWLFXODU@ LVVXH LQ WKH
GLVWULFWFRXUWSUHFOXGHVDUJXPHQWLQWKDWUHJDUGRQDSSHDO´
' 7KH GLVWULFW FRXUW GLG QRW HUU LQ H[FOXGLQJ WKH
WHVWLPRQ\RI'U*RUQHW
7KH 6RPPHUV¶ SULPDU\ FRQWHQWLRQ RQ DSSHDO LV WKDW WKH
GLVWULFWFRXUWHUUHGLQH[FOXGLQJ'U*RUQHW¶VWHVWLPRQ\'U
*RUQHWZDVEDUUHGIURPRIIHULQJH[SHUWWHVWLPRQ\EHFDXVHWKH
GLVWULFWFRXUWFRQFOXGHGWKDWDVDPDWWHURIODZKHGLGQRW
KDYHNQRZOHGJHRI³WKHUHFRJQL]HGVWDQGDUGRIDFFHSWDEOH

-- 8 of 8 --

Poursuivez vos recherches dans ChatGPT ou Claude

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