03a0058p.06

01-3949; 01-3950Court of Appeals for the Sixth Circuit24 févr. 2003

Texte intégral

7KH +RQRUDEOH 6DQGUD 6 %HFNZLWK 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
,1 86
&855(1&<
'HIHQGDQW
7+20$6 5,&+$5'
'$&,$ /29(
'HIHQGDQWV$SSHOODQWV
;!

1
1RV
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH1RUWKHUQ'LVWULFWRI2KLRDW&OHYHODQG
1R²3DWULFLD$*DXJKDQ'LVWULFW-XGJH
$UJXHG-DQXDU\
'HFLGHGDQG)LOHG)HEUXDU\
%HIRUH*8<DQG0225(&LUFXLW-XGJHV%(&.:,7+
'LVWULFW-XGJH

-- 1 of 6 --

8QLWHG6WDWHVY86
&XUUHQF\HWDO
1RV
BBBBBBBBBBBBBBBBB
&2816(/
$5*8('0\URQ3:DWVRQ-DPHV5:LOOLV&OHYHODQG
2KLR IRU $SSHOODQWV +HUEHUW - 9LOOD $66,67$17
81,7(' 67$7(6 $77251(< &OHYHODQG 2KLR IRU
$SSHOOHH21%5,()0\URQ3:DWVRQ-DPHV5:LOOLV
&OHYHODQG 2KLR IRU $SSHOODQWV +HUEHUW - 9LOOD
$66,67$1781,7('67$7(6$77251(<&OHYHODQG
2KLRIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
.$5(11(/6210225(&LUFXLW-XGJH$IWHU7KRPDV
5LFKDUG 5LFKDUG DQG'DFLD/RYH /RYH ZHUHFRQYLFWHGRQ
GUXJFKDUJHV LQVWDWHFRXUWWKH8QLWHG6WDWHVLQLWLDWHGWKLV
FLYLOIRUIHLWXUHDFWLRQDJDLQVWFDVKWKDWKDGEHHQIRXQGLQVDIH
GHSRVLWER[HVEHDULQJ5LFKDUG¶VDQG/RYH¶VQDPHV5LFKDUG
DQG/RYHZKRKDGHQWHUHGFODLPVIRUWKHVHL]HGSURSHUW\
QRZ DSSHDO IURP WKH GLVWULFW FRXUW¶V JUDQW RI VXPPDU\
MXGJPHQWLQIDYRURIWKHJRYHUQPHQW%HFDXVHWKHGLVWULFW
FRXUW¶VDVVHUWLRQRIMXULVGLFWLRQRYHUWKHUHVGLGQRWLQWHUIHUH
ZLWKDQ\RWKHUFRXUW¶VMXULVGLFWLRQDQGEHFDXVHWKH8QLWHG
6WDWHVVDWLVILHGLWVEXUGHQRISURRIZH$)),50WKHGLVWULFW
FRXUW
,%$&.*5281'
%DVHGRQFRPSODLQWVRIGUXJWUDIILFNLQJWDNLQJSODFHDWWKH
UHVLGHQFH RI 5LFKDUG DQG /RYH SROLFH REVHUYDWLRQ RI WKH
UHVLGHQFH DQG LQIRUPDWLRQ SURYLGHG E\ D FRQILGHQWLDO
LQIRUPDQW WKH &OHYHODQG 3ROLFH 'HSDUWPHQW REWDLQHG D
ZDUUDQWWRVHDUFK5LFKDUG¶VDQG/RYH¶VUHVLGHQFHLQ-XO\RI
'XULQJWKHVHDUFKWKHSROLFHIRXQGDQGVHL]HGURFNV
RIFUDFNFRFDLQHDGLJLWDOVFDOHDQGVL[NH\VWRVDIHGHSRVLW
ER[HVRZQHGE\5LFKDUG/RYHRUERWK7KHSROLFHREWDLQHG

-- 2 of 6 --

1RV 8QLWHG6WDWHVY86
&XUUHQF\HWDO

VHDUFK ZDUUDQWV IRU WKH VDIH GHSRVLW ER[HV DQG GLVFRYHUHG

5LFKDUG DQG /RYH ZHUH FKDUJHG LQ VWDWH FRXUW ZLWK
WUDIILFNLQJFRFDLQHSUHSDUDWLRQRIGUXJVIRUVDOHSRVVHVVLRQ
RIGUXJVDQGSRVVHVVLRQRIFULPLQDOWRROV7KHLUPRWLRQWR
VXSSUHVVDQGWRUHWXUQWKHFDVKVHL]HGIURPWKHVDIHGHSRVLW
ER[HVZDVGHQLHG$IWHUDMXU\WULDO5LFKDUGZDVFRQYLFWHG
RI WKH GUXJ SRVVHVVLRQ DQG GUXJ SUHSDUDWLRQ FKDUJHV DQG
/RYHZDVFRQYLFWHGRIWKHGUXJSRVVHVVLRQFKDUJH5LFKDUG
ZDVVHQWHQFHGWRWZR\HDUVLQSULVRQ/RYHUHFHLYHGRQH\HDU
RIFRPPXQLW\FRQILQHPHQW'XULQJWKRVHSURFHHGLQJVWKH
6WDWHILOHGDIRUIHLWXUHSHWLWLRQSXUVXDQWWR2KLR¶VFULPLQDO
FRQWUDEDQGVWDWXWH2KLR5HY&RGH†EXWEHFDXVH
WKHSHWLWLRQKDGQRWEHHQEURXJKWZLWKLQWKLUW\GD\VRIWKH
VHL]XUHDVUHTXLUHGXQGHU2KLRODZWKHVWDWHFRXUWGLVPLVVHG
WKHIRUIHLWXUHSHWLWLRQRQ0D\DQGRUGHUHGWKH6WDWH
WRUHWXUQWKHPRQH\WRWKHGHIHQGDQWV
2Q -XO\ WKH 8QLWHG 6WDWHV REWDLQHG D IHGHUDO
VHL]XUHZDUUDQWDQGRQ-XO\WKH8QLWHG6WDWHVILOHG
D IRUIHLWXUH FRPSODLQW SXUVXDQW WR 86& † D
5LFKDUGDQG/RYH FROOHFWLYHO\³&ODLPDQWV´ ILOHGFODLPVRQ
WKH FXUUHQF\ $IWHU UHMHFWLQJ WKH &ODLPDQWV¶ PRWLRQ WR
VXSSUHVVDVEDUUHGE\FROODWHUDOHVWRSSHODQGWKH&ODLPDQWV¶
PRWLRQWRGLVFORVHWKHLGHQWLW\RIWKHFRQILGHQWLDOLQIRUPDQW
DVXQQHFHVVDU\IRUWKHFLYLOIRUIHLWXUHDFWLRQWKHGLVWULFWFRXUW
JUDQWHGWKH8QLWHG6WDWHV¶VPRWLRQIRUVXPPDU\MXGJPHQW
7KH GLVWULFW FRXUW IRXQG WKDW WKH VWDWH FRXUW KDG QHYHU
H[HUFLVHGLQUHPMXULVGLFWLRQRYHUWKHFXUUHQF\DQGWKDWWKH
IHGHUDOFRXUWWKXVIDFHGQREDUULHUWRH[HUFLVLQJLWVRZQLQUHP
MXULVGLFWLRQ%DVHGRQWD[UHWXUQVVKRZLQJWKDW5LFKDUGKDG
QROHJLWLPDWHLQFRPHIURPWRDQGWKDWLQWRWDO
/RYH KDG DSSUR[LPDWHO\ RI LQFRPH IURP WR
WKHGLVWULFWFRXUWDOVRIRXQGWKDWWKH&ODLPDQWV¶ODFNRI
OHJLWLPDWHLQFRPHJDYHWKH8QLWHG6WDWHVSUREDEOHFDXVHWR
FRPSOHWH WKH IRUIHLWXUH %HFDXVH WKH &ODLPDQWV RIIHUHG
QRWKLQJ WR UHEXW WKH *RYHUQPHQW¶V HYLGHQFH VXPPDU\
MXGJPHQWZDVDSSURSULDWH

-- 3 of 6 --

8QLWHG6WDWHVY86
&XUUHQF\HWDO
1RV
7KH&ODLPDQWVWLPHO\DSSHDOHGDQGZHKDYHMXULVGLFWLRQ
SXUVXDQWWR86&†
,,$1$/<6,6
:HUHYLHZDGLVWULFWFRXUW¶VJUDQWRIVXPPDU\MXGJPHQWGH
QRYR*HQHUDO(OHF&RY*6LHPSHONDPS*PE+ &R
)G WK &LU 6XPPDU\ MXGJPHQW LV
SURSHURQO\LIWKHUHLVQRJHQXLQHLVVXHDVWRDQ\PDWHULDOIDFW
DQGWKHPRYLQJSDUW\LVHQWLWOHGWRDMXGJPHQWDVDPDWWHURI
ODZ)HG5&LY3 F
$-XULVGLFWLRQ
7KHGLVWULFWFRXUWSURSHUO\H[HUFLVHGMXULVGLFWLRQRYHUWKH
IRUIHLWXUHDFWLRQ7KH&ODLPDQWVDUJXHWKDWMXULVGLFWLRQZDV
EDUUHGE\WKHGRFWULQHODLGRXWLQ3HQQ*HQHUDO&DVXDOW\&R
Y 3HQQV\OYDQLD H[ UHO 6FKQDGHU 86
DFFRUGLQJ WR ZKLFK D FRXUW PD\ QRW H[HUFLVH LQ UHP
MXULVGLFWLRQLIDQRWKHUFRXUWLVH[HUFLVLQJLQUHPMXULVGLFWLRQ
RYHUWKHVDPHUHVLGDW$FFRUGLQJWRWKH3HQQ*HQHUDO
GRFWULQHSHUPLWWLQJDVHFRQGFRXUWWRH[HUFLVHMXULVGLFWLRQ
DQG FRQWURO RYHU D UHV WKDW LV DOUHDG\ LQ WKH ILUVW FRXUW¶V
MXULVGLFWLRQZRXOGOHDGWR³XQVHHPO\DQGGLVDVWURXVFRQIOLFWV
LQ WKH DGPLQLVWUDWLRQ RI RXU GXDO MXGLFLDO V\VWHP´ ,G
$FFRUGLQJO\³WKHFRXUWILUVWDVVXPLQJMXULVGLFWLRQRYHUWKH
SURSHUW\PD\PDLQWDLQDQGH[HUFLVHWKDWMXULVGLFWLRQWRWKH
H[FOXVLRQRIWKHRWKHU´,G2QWKH&ODLPDQWV¶WKHRU\WKH
IHGHUDOGLVWULFWFRXUWKHUHZRXOGEHEDUUHGIURPH[HUFLVLQJLQ
UHPMXULVGLFWLRQRYHUDQ\UHVXSRQZKLFKWKHVWDWHFRXUWZDV
DOUHDG\H[HUFLVLQJMXULVGLFWLRQ
+RZHYHUWKHVWDWHFRXUWQHYHUH[HUFLVHGLQUHPMXULVGLFWLRQ
RYHUWKHFXUUHQF\KHUH7REHVXUHWKH6WDWHDWWHPSWHGWR
LQLWLDWHIRUIHLWXUHSURFHHGLQJVSXUVXDQWWR2KLR5HYLVHG&RGH
†7RGHWHUPLQHZKHWKHUVXFKSURFHHGLQJVZHUHLQ
UHPRULQSHUVRQDPKRZHYHUZHORRNWRVWDWHODZ6HHHJ
8QLWHG6WDWHVY+HQGULFNVRQ%OYG)G
WK&LU ORRNLQJWRVWDWHODZWRGHWHUPLQHZKHWKHU
VWDWH SURFHHGLQJ ZDV LQ UHP IRU SXUSRVHV RI GHWHUPLQLQJ
1RV 8QLWHG6WDWHVY86
&XUUHQF\HWDO

GLVWULFW FRXUW GLG QRW DEXVH LWV GLVFUHWLRQ LQ GHQ\LQJ WKH
PRWLRQ
,,,&21&/86,21
)RUWKHIRUHJRLQJUHDVRQVZH$)),50WKHGLVWULFWFRXUW¶V
GHFLVLRQ

-- 4 of 6 --

8QLWHG6WDWHVY86
&XUUHQF\HWDO
1RV
&'LVFRYHU\
7KH &ODLPDQWV DOVR DUJXH WKDW WKH GLVWULFW FRXUW HUUHG LQ
GHQ\LQJWKHLUPRWLRQWRVXSSUHVVWKHFXUUHQF\DVWKHSURGXFW
RIDQLOOHJDOVHL]XUHDQGLQGHQ\LQJWKHLUPRWLRQWRGLVFRYHU
WKHLGHQWLW\RIWKHLQIRUPDQWZKRVHWLSDOOHJHGO\OHGWRWKH
LQLWLDOVHDUFKRIWKH&ODLPDQWV¶KRPH1HLWKHUDUJXPHQWKDV
PHULW )LUVW WKH GLVWULFW FRXUW FRUUHFWO\ UXOHG WKDW WKH
&ODLPDQWV¶ PRWLRQ WR VXSSUHVV ZDV EDUUHG E\ FROODWHUDO
HVWRSSHO 7KH&ODLPDQWVKDGPDGHDQLGHQWLFDOPRWLRQLQ
VWDWH FRXUW LQ ZKLFK WKH\ VLPLODUO\ DUJXHG WKDW WKH VHDUFK
ZDUUDQWVXSSRUWLQJWKHVHDUFKRI WKHLU KRPHZDVEDVHGRQ
IDOVH VWDWHPHQWV 7KH LVVXHV ZHUH LGHQWLFDO WKH LVVXH ZDV
DFWXDOO\OLWLJDWHGLQWKHILUVWSURFHHGLQJDQGWKHLVVXHZDV
³QHFHVVDU\ DQG HVVHQWLDO WR WKH MXGJPHQW RQ WKH PHULWV´
8QLWHG6WDWHVY7KUHH7UDFWVRI3URS)G WK
&LU 0RUHRYHUHYHQLIUHOLWLJDWLRQRIWKHLVVXHZHUH
QRWEDUUHGE\FROODWHUDOHVWRSSHOWKHOHJDOLW\RIWKHVHDUFK
ZDUUDQWLVQRWQHFHVVDU\WRGHWHUPLQHZKHWKHUWKHSURSHUW\LV
WREHIRUIHLWHGXQGHU86&† D 6HH8QLWHG6WDWHVY
(DVW0LWFKHOO$YH)G WK&LU
6HFRQGWKHGLVWULFWFRXUWFRUUHFWO\GHQLHGWKH&ODLPDQWV¶
0RWLRQWR&RPSHO:HJHQHUDOO\UHYLHZGLVFRYHU\PDWWHUV
IRUDEXVHRIGLVFUHWLRQ6HH6LHUUD&OXEY6ODWHU)G
WK &LU 7KH &ODLPDQWV KHUH ZDQWHG
LQIRUPDWLRQUHJDUGLQJWKHFRQILGHQWLDOLQIRUPDQWZKRVHWLS
FODLPLQJWKDW/RYHKDGVROGFRFDLQHIURPKHUKRXVHOHGWRWKH
VHDUFK ZDUUDQW $OWKRXJK WKH &ODLPDQWV DUJXH WKDW WKH
LQIRUPDQWGRHVQRWH[LVWWKHLQIRUPDQW¶VLGHQWLW\ RUHYHQ
H[LVWHQFH LV LUUHOHYDQW LQ WKLV FLYLO IRUIHLWXUH DFWLRQ 7KH
YDOLGLW\ RI WKH VHDUFK DOWKRXJK FHUWDLQO\ UHOHYDQW LQ WKH
FULPLQDO SURFHHGLQJ RU LQ D † VXLW SOD\V QR UROH LQ
GHWHUPLQLQJ ZKHWKHU WKH SURSHUW\ DW LVVXH ZDV XVHG LQ WKH
IXUWKHUDQFHRIDGUXJFULPH6HH86&† D 7KH
8QLWHG6WDWHVVDWLVILHGLWVEXUGHQE\VKRZLQJWKH&ODLPDQWV¶
SRVVHVVLRQRIFUDFNFRFDLQHDQGWKHLUODUJHDPRXQWRIFDVK
WKDW LV XQH[SODLQHG E\ OHJLWLPDWH VRXUFHV RI LQFRPH 7KH
YDOLGLW\ RI WKH VHDUFK ZDUUDQW LV QRW DW LVVXH KHUH VR WKH
1RV 8QLWHG6WDWHVY86
&XUUHQF\HWDO

ZKHWKHU IHGHUDO MXULVGLFWLRQ ZDV SURSHU +HUH WKH 2KLR
6XSUHPH &RXUW KDV H[SOLFLWO\ VWDWHG WKDW D SURFHHGLQJ WR
IRUIHLWFULPLQDOFRQWUDEDQGSXUVXDQWWR2KLR5HYLVHG&RGH
† ZKLFK DXWKRUL]HV IRUIHLWXUH RI PRQH\ XVHG LQ
IXUWKHUDQFH RI D GUXJ FULPH VHH 2KLR 5HY &RGH
† & UHTXLULQJ IRUIHLWXUH RI FRQWUDEDQG VHL]HG
SXUVXDQWWR2KLR5HY&RGH† $ 2KLR5HY&RGH
† $ UHTXLULQJ VHL]XUH RI FRQWUDEDQG XVHG LQ
YLRODWLRQRI2KLR5HY&RGH† $ 2KLR5HY&RGH
† $ SURKLELWLQJSRVVHVVLRQRIFRQWUDEDQG 2KLR
5HY &RGH † $ H GHILQLQJ FRQWUDEDQG WR
LQFOXGHPRQH\XVHGLQDYLRODWLRQRIVWDWHGUXJODZV LVQRW
D FLYLO IRUIHLWXUH EXW UDWKHU D VHSDUDWH FULPLQDO SHQDOW\
LPSRVHG SXUVXDQW WR WKH FRXUW¶V FULPLQDO MXULVGLFWLRQ 6HH
6WDWHY&DVDOLFFKLR1(G 2KLR 7KXV
WKHVWDWHFRXUWIRUIHLWXUHDFWLRQKHUHZDVDFULPLQDODFWLRQ
$FFRUGLQJO\WKHVWDWHFRXUW¶VMXULVGLFWLRQZDVEDVHGXSRQLWV
FRQWURORYHUWKHGHIHQGDQWVQRWWKHUHVDQGWKHSURFHHGLQJ
ZDVLQSHUVRQDP6HH8QLWHG6WDWHVY%DMDNDMLDQ86
GLVWLQJXLVKLQJ FULPLQDO LQ SHUVRQDP
IRUIHLWXUHVIURPFLYLOIRUIHLWXUHVZKLFKFDQEHLQSHUVRQDPRU
LQUHP
%HFDXVH WKH VWDWH FRXUW¶V MXULVGLFWLRQ ZDV LQ SHUVRQDP
WKHUHZDVQRWKLQJWRSUHYHQWWKHIHGHUDOGLVWULFWFRXUWIURP
DVVHUWLQJMXULVGLFWLRQRYHUWKHFXUUHQF\7KHUHFRXOGEHQR
XQVHHPO\ MXGLFLDO VWUXJJOH RYHU SRVVHVVLRQ RI WKH UHV LQ
ZKLFKWKHVHFRQGFRXUWWKUHDWHQHGWRWDNHDZD\WKHVRXUFHRI
WKHILUVWFRXUW¶VMXULVGLFWLRQVRWKHUXOHEDUULQJWKHVHFRQG
FRXUWIURPDVVHUWLQJMXULVGLFWLRQRYHUWKHUHVGRHVQRWDSSO\
6HH.OLQHY%XUNH&RQVWU&R86
7KH PHUH IDFW WKDW WKH UHV ZDV DW RQH SRLQW LQ WKH VWDWH¶V
SRVVHVVLRQGRHVQRWLPSO\WKDWLWZDVWKHEDVLVRIWKHVWDWH
FRXUW¶V MXULVGLFWLRQ WKH XVH RI FXUUHQF\ DV HYLGHQFH LQ D
FULPLQDOFDVHWUDQVIRUPVWKDWSURFHHGLQJLQWRDQLQUHPDFWLRQ
QR PRUH WKDQ WKH SUHVHQFH RI D ZLWQHVV LQ D FLYLO LQ UHP
IRUIHLWXUHFDVHZRXOGE\LWVHOIWUDQVIRUPWKHIRUIHLWXUHDFWLRQ
LQWRDQLQSHUVRQDPDFWLRQ0RUHRYHUZKDWHYHUMXULVGLFWLRQ
WKHVWDWHFRXUWPLJKWKDYHH[HUFLVHGVXUHO\FHDVHGZKHQLW

-- 5 of 6 --

8QLWHG6WDWHVY86
&XUUHQF\HWDO
1RV
RUGHUHG WKH FXUUHQF\ UHWXUQHG WR 5LFKDUG DQG /RYH RQ WKH
JURXQGRIWKHXQWLPHOLQHVVRIWKHSHWLWLRQ7KXVWKHGLVWULFW
FRXUW¶VH[HUFLVHRIMXULVGLFWLRQZDVSURSHU
%6XPPDU\-XGJPHQW
:HDOVRFRQFOXGHWKDWWKH8QLWHG6WDWHVVDWLVILHGLWVEXUGHQ
WRSUHYDLORQVXPPDU\MXGJPHQW7KHGLVWULFWFRXUWDSSOLHG
WKHEXUGHQRISURRIWKDWZDVLQSODFHSULRUWRSDVVDJHRIWKH
&LYLO$VVHW)RUIHLWXUH5HIRUP$FW ³&$)5$´ 8QGHUWKDW
HDUOLHUIUDPHZRUNWKHJRYHUQPHQWKDVWKHLQLWLDOEXUGHQRI
GHPRQVWUDWLQJSUREDEOHFDXVHWREHOLHYHWKDWWKHSURSHUW\LV
VXEMHFWWRIRUIHLWXUHDQGWKHQWKHEXUGHQVKLIWVWRWKHFODLPDQW
WRGHPRQVWUDWHE\DSUHSRQGHUDQFHRIWKHHYLGHQFHWKDWWKH
SURSHUW\LVQRWVXEMHFWWRIRUIHLWXUH,QWKH&$)5$&RQJUHVV
UHTXLUHGWKDWLQFDVHVFRPPHQFHGDIWHU$XJXVWWKH
JRYHUQPHQW ZRXOG EH KHOG WR D EXUGHQ KLJKHU WKDQ PHUH
SUREDEOHFDXVH³WKHEXUGHQRISURRILVRQWKH*RYHUQPHQW
WR HVWDEOLVK E\ D SUHSRQGHUDQFH RI WKH HYLGHQFH WKDW WKH
SURSHUW\ LV VXEMHFW WR IRUIHLWXUH´ 86& † F
$OWKRXJKWKHFLYLOIRUIHLWXUHFRPSODLQWLQWKLVFDVHZDVILOHG
RQ-XO\DQGWKXVDFFRUGLQJWRWKHVWDWXWH¶VWHUPVWKH
8QLWHG6WDWHVQHHGQRWPHHWWKHKLJKHUSUHSRQGHUDQFHRIWKH
HYLGHQFH VWDQGDUG ZH ILQG WKDW WKH 8QLWHG 6WDWHV PHW LWV
EXUGHQ XQGHU HLWKHU VWDQGDUG 6HH 8QLWHG 6WDWHV Y 5HDO
3URSHUW\LQ2WVHJR&RXQW\0LFKLJDQ)G WK
&LU DSSO\LQJ QHZ SUHSRQGHUDQFH RI WKH HYLGHQFH
VWDQGDUGUHWURDFWLYHO\WRDFDVHSHQGLQJRQDSSHDORQGDWHRI
VWDWXWRU\HQDFWPHQW
7KH8QLWHG6WDWHVKDVVKRZQE\ D SUHSRQGHUDQFHRIWKH
HYLGHQFHWKDWWKHSURSHUW\LVWUDFHDEOHWRWKHGUXJRIIHQVHV
DQGLVWKXVVXEMHFWWRIRUIHLWXUHXQGHU86&† D
7KH HYLGHQFH EHIRUH WKH GLVWULFW FRXUW VKRZHG WKDW WKH
&ODLPDQWV¶OHJLWLPDWHLQFRPHZDVLQVXIILFLHQWWRH[SODLQWKH
ODUJHDPRXQWRIFXUUHQF\IRXQGLQWKHLUSRVVHVVLRQ6WDWHWD[
UHFRUGVVKRZHGWKDW5LFKDUGKDGILOHGQRLQFRPHWD[UHWXUQV
IURPWKURXJKDQGWKDW/RYHKDGILOHGQRLQFRPH
WD[UHWXUQVIURPWKURXJK/RYH¶VDQG
1RV 8QLWHG6WDWHVY86
&XUUHQF\HWDO

UHWXUQV VKRZHG LQFRPH RI DQG
UHVSHFWLYHO\,QVXPWKHQWKH8QLWHG6WDWHVVKRZHGWKDWWKH
&ODLPDQWV KDG D WRWDO RI LQ OHJLWLPDWH LQFRPH
EHWZHHQDQG7KH&ODLPDQWV¶VDIHGHSRVLWER[HV
FRQWDLQHG7KLVHYLGHQFHRIOHJLWLPDWHLQFRPH
WKDWLVLQVXIILFLHQWWRH[SODLQWKHODUJHDPRXQWRISURSHUW\
VHL]HG XQUHEXWWHG E\ DQ\ HYLGHQFH SRLQWLQJ WR DQ\ RWKHU
VRXUFH RI OHJLWLPDWH LQFRPH RU DQ\ HYLGHQFH LQGLFDWLQJ
LQQRFHQW RZQHUVKLS VDWLVILHV WKH EXUGHQ LPSRVHG E\ WKH
VWDWXWH7KLVHYLGHQFHZDVXQGRXEWHGO\VXIILFLHQWXQGHUWKH
SUREDEOH FDXVH VWDQGDUG 6HH HJ 8QLWHG 6WDWHV Y
'XVHQEHU\)G WK&LU ILQGLQJWKDW
GHIHQGDQW¶VDGPLVVLRQWKDWKHSXUFKDVHGSURSHUW\ZLWKGUXJ
SURFHHGVDQGKLVWHVWLPRQ\WKDWKHZDVXQHPSOR\HGIRUWZR
\HDUV FRQVWLWXWHG VXIILFLHQW HYLGHQFH RI OLQN WR VXSSRUW
IRUIHLWXUH DII¶GRQRWKHUJURXQGV86 VHH
DOVR8QLWHG6WDWHVY3DUFHOVRI/DQG)G VW
&LU ILQGLQJIRUIHLWXUHDSSURSULDWHZKHQWKHUHLV³VFDQW
HYLGHQFH LQ WKH UHFRUG RI DQ\ μVXEVWDQWLDO¶ VRXUFHV RI
OHJLWLPDWHLQFRPH´DQG\HWRYHUDPLOOLRQGROODUVZRUWKRI
SURSHUW\
7KH FKDQJH LQ WKH VWDQGDUG IURP SUREDEOH FDXVH WR D
SUHSRQGHUDQFHRIWKHHYLGHQFHGRHVQRWFKDQJHWKHIDFWWKDW
WKH HYLGHQFH WKDW WKH JRYHUQPHQW SUHVHQWHG LQ WKLV FDVH
UHPDLQVVXIILFLHQW7KHFKDQJHLQWKHVWDQGDUGZDVPHDQWWR
³OHYHO>@WKHSOD\LQJILHOGEHWZHHQWKHJRYHUQPHQWDQGSHUVRQV
ZKRVHSURSHUW\KDVEHHQVHL]HG´2WVHJR&RXQW\0LFKLJDQ
)GDWVRWKDWSURSHUW\FRXOGQRWEHVHL]HGZKHQWKH
SUHSRQGHUDQFHRIWKHHYLGHQFHVKRZHGWKDWWKHSURSHUW\ZDV
QRW VXEMHFW WR IRUIHLWXUH +HUH WKH SUHSRQGHUDQFH RI WKH
HYLGHQFHVKRZVWKDWWKHSURSHUW\ZDVVXEMHFWWRIRUIHLWXUH
7KDWWKHEXUGHQLVRQWKHJRYHUQPHQWGRHVQRWFKDQJHWKHIDFW
WKDWLIWKHJRYHUQPHQWPHHWVLWVEXUGHQLWZLOOSUHYDLOXQOHVV
WKHFODLPDQWVLQWURGXFHHYLGHQFHWRVXSSRUWWKHLUFDVH6HH
+HQGULFNVRQ %OYG )G DW UHDVRQLQJ WKDW D
³>F@ODLPDQWFDQQRWDYRLGFRPSOHWHO\KLV5XOHEXUGHQE\
PHUHO\DVVHUWLQJD)LIWK$PHQGPHQWSULYLOHJH´

-- 6 of 6 --

Poursuivez vos recherches dans ChatGPT ou Claude

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