02a0424p.06

01-5770Court of Appeals for the Sixth Circuit16 dic 2002

Testo completo

6SDQJOHUY/RFNKHHG
0DUWLQ(QHUJ\HWDO
1R
DILQGLQJWKDW6SDQJOHUFDQQRWZRUN0HW/LIH¶VGHFLVLRQWR
WHUPLQDWH 6SDQJOHU¶V /7' EHQHILWV ZDV DUELWUDU\ DQG
FDSULFLRXV
,,,&RQFOXVLRQ
)RUDOOWKHUHDVRQVVWDWHGDERYHWKHGLVWULFWFRXUW¶VGHFLVLRQ
LV 5(9(56(' DQG WKH FDVH 5(0$1'(' IRU HQWU\ RI
MXGJPHQWLQIDYRURI6SDQJOHU
7KH +RQRUDEOH $YHUQ &RKQ 8QLWHG 6WDWHV 'LVWULFW -XGJH IRU WKH
(DVWHUQ '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
-$1,&( 63$1*/(5
3ODLQWLII$SSHOODQW
Y
/2&.+((' 0$57,1 (1(5*<
6<67(06 ,1&
0(75232/,7$1 /,)(
,1685$1&( &2
'HIHQGDQWV$SSHOOHHV
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH(DVWHUQ'LVWULFWRI7HQQHVVHHDW.QR[YLOOH
1R²-DPHV+-DUYLV'LVWULFW-XGJH
$UJXHG2FWREHU
'HFLGHGDQG)LOHG'HFHPEHU
%HIRUH0$57,1&KLHI&LUFXLW-XGJH5<$1&LUFXLW
-XGJH&2+1'LVWULFW-XGJH

-- 1 of 6 --

6SDQJOHUY/RFNKHHG
0DUWLQ(QHUJ\HWDO
1R
$OWKRXJK ERWK 0HW /LIH DQG /RFNKHHG 0DUWLQ DUH QDPHG
GHIHQGDQWV WKH GHFLVLRQ WR GHQ\ 6SDQJOHU EHQHILWV ZDV PDGH E\ 0HW /LIH
)RU SXUSRVHV RI WKLV GHFLVLRQ ZH WUHDW WKH FDVH DV LI LW LV DJDLQVW RQO\ 0HW
/LIH
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(''RQDOG.9RZHOO92:(// $662&,$7(6
.QR[YLOOH 7HQQHVVHH IRU $SSHOODQW -RKQ & %XUJLQ -U
.5$0(55$<621/($.(52'*(56 025*$1
.QR[YLOOH7HQQHVVHHIRU$SSHOOHHV21%5,()'RQDOG
. 9RZHOO (OL]DEHWK .HOO\ -RKQVRQ 92:(//
$662&,$7(6.QR[YLOOH7HQQHVVHHIRU$SSHOODQW-RKQ&
%XUJLQ-U.5$0(55$<621/($.(52'*(56
025*$1.QR[YLOOH7HQQHVVHH&KULVWRSKHU++D\HV2DN
5LGJH7HQQHVVHHIRU$SSHOOHHV
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
$9(51&2+1'LVWULFW-XGJH7KLVLVDFDVHXQGHUWKH
(PSOR\PHQW5HWLUHPHQW'LVDELOLW\$FW86&†HW
VHT (5,6$ 3ODLQWLIIDSSHOODQW-DQLFH6SDQJOHU 6SDQJOHU
FODLPV WKDW GHIHQGDQWVDSSHOOHHV /RFNKHHG 0DUWLQ (QHUJ\
6\VWHPV ,QF /RFNKHHG 0DUWLQ DQG 0HWURSROLWDQ /LIH
,QVXUDQFH&R 0HW/LIH ZURQJIXOO\WHUPLQDWHGKHUORQJ
WHUPGLVDELOLW\ /7' EHQHILWV$IWHUFRQGXFWLQJDUHYLHZRI
WKHDGPLQLVWUDWLYHUHFRUGXQGHU:LONLQVY%DSWLVW+HDOWKFDUH
6\V ,QF )G WK &LU WKH GLVWULFW FRXUW
JUDQWHG0HW/LIH¶VPRWLRQIRUMXGJPHQWRQWKHDGPLQLVWUDWLYH
UHFRUG 6SDQJOHU DSSHDOV %DVHG RQ RXU UHYLHZ RI WKH
DGPLQLVWUDWLYHUHFRUGZHILQGWKDW0HW/LIHDFWHGDUELWUDULO\
DQG FDSULFLRXVO\ LQ GHQ\LQJ 6SDQJOHU¶V /7' FODLP
$FFRUGLQJO\ZHUHYHUVHWKHGLVWULFWFRXUW¶VGHFLVLRQ
1R 6SDQJOHUY/RFNKHHG
0DUWLQ(QHUJ\HWDO

7KH GLVWULFW FRXUW IRXQG FUHGLEOH 0HW /LIH¶V DUJXPHQW WKDW LW GLG QRW
VHQG 'U 5LFH¶V 3K\VLFDO &DSDFLWLHV (YDOXDWLRQ WR &UDZIRUG EHFDXVH LW
ZDV QRW DFFRPSDQLHG E\ RIILFH QRWHV RU RWKHU LQIRUPDWLRQ WKDW ZRXOG EH
VXIILFLHQW WR HYDOXDWH 6SDQJOHU¶V DELOLW\ WR ZRUN :H GLVDJUHH 7KHUH LV
QR HYLGHQFH WKDW 0HW /LIH DOVR VHQW RIILFH QRWHV RU RWKHU LQIRUPDWLRQ IURP
'U 0DF.D\ WR WKH YRFDWLRQDO FRQVXOWDQW DW &UDZIRUG ,QGHHG ZH QRWH
WKDW 'U 5LFH¶V IRUP FRQWDLQHG WKH VWDWHPHQW WKDW 6SDQJOHU FRXOG QRW
ZRUN ZKLFK ZRXOG VHHP WR EH UHOHYDQW LQIRUPDWLRQ WR VHQG WR &UDZIRUG
IRU LWV UHYLHZ E\ D YRFDWLRQDO FRQVXOWDQW :H GR QRW VHH DQ\ JRRG UHDVRQ
IRU ZK\ 0HW /LIH VHQW RQO\ 'U 0DF.D\¶V 3K\VLFDO &DSDFLWLHV (YDOXDWLRQ
DQG QRW 'U 5LFH¶V
UHFRUG:K\0HW/LIHGLGQRWDOVRVHQG'U5LFH¶VUHSRUWRU
WKH UHVW RI 6SDQJOHU¶V ILOH &UDZIRUG IRU UHYLHZ E\ WKH
YRFDWLRQDOFRQVXOWDQWLVLQH[SOLFDEOH,QGHHGZHFDQRQO\
FRQFOXGHWKDW0HW/LIHDV6SDQJOHUFRQWHQGV³FKHUU\SLFNHG´
KHU ILOH LQ KRSHV RI REWDLQLQJ D IDYRUDEOH UHSRUW IURP WKH
YRFDWLRQDOFRQVXOWDQWDVWR6SDQJOHU¶VDELOLW\WRZRUN
0HW /LIH¶V DFWLRQ LQ VHQGLQJ RQO\ 'U 0DF.D\¶V
6HSWHPEHU UHSRUWWR&UDZIRUGZDVDUELWUDU\DQG
FDSULFLRXV0HW/LIHVKRXOGKDYHSURYLGHG&UDZIRUGZLWKDOO
RI WKH PHGLFDO UHFRUGV UHOHYDQW WR 6SDQJOHU¶V FDSDFLW\ WR
ZRUN $V D UHVXOW WKH UHSRUW E\ &UDZIRUG¶V YRFDWLRQDO
FRQVXOWDQWZDVDQLQFRPSOHWHDQGLQDFFXUDWHUHSUHVHQWDWLRQRI
6SDQJOHU¶VDELOLW\WRZRUN
5HJDUGOHVV RI WKH VKRUWFRPLQJV RI WKH YRFDWLRQDO
FRQVXOWDQW¶V UHSRUW DQG 0HW /LIH¶V DUELWUDU\ DFWLRQV ZLWK
UHVSHFWWRWKHUHSRUWWKHXOWLPDWHLVVXHLQDQ(5,6$GHQLDORI
EHQHILWV FDVH LV QRW ZKHWKHU GLVFUHWH DFWV E\ WKH SODQ
DGPLQLVWUDWRU DUH DUELWUDU\ DQG FDSULFLRXV EXW ZKHWKHU LWV
XOWLPDWH GHFLVLRQ GHQ\LQJ EHQHILWV ZDV DUELWUDU\ DQG
FDSULFLRXV)RUWKLVZHPXVWH[DPLQH0HW/LIH¶VGHFLVLRQLQ
OLJKWRIWKHDGPLQLVWUDWLYHUHFRUG+HUHDVVHWIRUWKLQGHWDLO
DERYH YLUWXDOO\ DOO RI WKH HYLGHQFH LQ WKH DGPLQLVWUDWLYH
UHFRUGVKRZVWKDW6SDQJOHULVGLVDEOHGIURPZRUNLQJ0HW
/LIHKRZHYHUFKRVHWREDVHLWVGHFLVLRQRQRQO\WKHUHSRUWE\
&UDZIRUG¶VYRFDWLRQDOFRQVXOWDQW%HFDXVHWKHUHSRUWZDV
LQKHUHQWO\IODZHGDQGEHFDXVHWKHPHGLFDOHYLGHQFHVXSSRUWV

-- 2 of 6 --

6SDQJOHUY/RFNKHHG
0DUWLQ(QHUJ\HWDO
1R
$W RUDO DUJXPHQW 0HW /LIH UHSUHVHQWHG WKDW LW KDG VHQW PRUH WKDQ
'U 0DF.D\¶V 6HSWHPEHU UHSRUW WR WKH YRFDWLRQDO FRQVXOWDQW DW
&UDZIRUG :H ILQG QR VXSSRUW LQ WKH UHFRUG IRU WKLV UHSUHVHQWDWLRQ
6SDQJOHU KDV FRQVLVWHQWO\ PDLQWDLQHG WKDW 0HW /LIH VHQW RQO\ WKLV RQH
UHSRUW 0RUHRYHU WKH GLVWULFW FRXUW DFFHSWHG WKLV DV IDFW VWDWLQJ WKDW ³0HW
/LIH IRUZDUGHG RQO\ 'U 0DF.D\¶V UHSRUW >WR WKH YRFDWLRQDO FRQVXOWDQW@´
Y(DWRQ&RUS)G WK&LU 6HHDOVR
<HDJHUY5HOLDQFH6WDQGDUG/LIH,QV&R)G
WK&LU 6WDWHGGLIIHUHQWO\>Z@KHQLWLVSRVVLEOHWR
RIIHU D UHDVRQHG H[SODQDWLRQ EDVHG RQ WKH HYLGHQFH IRU D
SDUWLFXODU RXWFRPH WKDW RXWFRPH LV QRW DUELWUDU\ RU
FDSULFLRXV 'DYLV Y .HQWXFN\ )LQDQFH &RV 5HWLUHPHQW
3ODQ)G WK&LU LQWHUQDOTXRWDWLRQV
DQGFLWDWLRQRPLWWHG 6HHDOVR3HUH]Y$HWQD/LIH,QV&R
)G WK&LU HQEDQF
%
,Q UHTXHVWLQJ D WUDQVIHUDEOH VNLOOV DQDO\VLV E\ &UDZIRUG
0HW /LIH VHQW RQO\ 'U 0DF.D\¶V 6HSWHPEHU
3K\VLFDO &DSDFLWLHV (YDOXDWLRQ %DVHG RQ 'U 0DF.D\¶V
UHSRUW WKH YRFDWLRQDO FRQVXOWDQW DW &UDZIRUG RSLQHG WKDW
6SDQJOHUFRXOGSHUIRUPKHURZQMREDVZHOODVVHYHUDORWKHU
VHGHQWDU\ SRVLWLRQV ,W LV XQGLVSXWHG WKDW WKH YRFDWLRQDO
FRQVXOWDQW QHYHU H[DPLQHG 6SDQJOHU QRU KDG DQ\ RWKHU
PDWHULDOVRWKHUWKDQ'U0DF.D\¶V6HSWHPEHU3K\VLFDO
&DSDFLWLHV (YDOXDWLRQ RQ ZKLFK WR EDVH WKLV RSLQLRQ
&RQWUDU\ WR 0HW /LIH¶V DVVHUWLRQ 'U 0DF.D\¶V
6HSWHPEHU UHSRUW RI 6SDQJOHU¶V FDSDELOLWLHV LV
VRPHZKDWDEHUUDQWDVQRWHGLQGHWDLODERYHDOORIKLVSULRU
UHSRUWVDQGVWDWHPHQWVFOHDUO\LQGLFDWHWKDW6SDQJOHULVQRW
DEOHWRSHUIRUPDQ\ZRUN0RUHRYHU'U5LFH¶V3K\VLFLDQ
&DSDFLWLHV(YDOXDWLRQDOVRFRPSOHWHGLQ6HSWHPEHUUHYHDOV
D PXFK GLIIHUHQW SLFWXUH RI 6SDQJOHU¶V DELOLWLHV DQG LV
FRQVLVWHQW ZLWK DOO RI WKH HYLGHQFH LQ WKH DGPLQLVWUDWLYH
1R 6SDQJOHUY/RFNKHHG
0DUWLQ(QHUJ\HWDO

6SRQG\OROLVWKHVLV RFFXUV ZKHQ GHIRUPLWLHV RU GHIHFWV LQ SDUW RI
D YHUWHEUD FDXVH RQH YHUWHEUD WR VOLS IRUZDUG RYHU DQRWKHU RQH
7KLV FDXVHV PLVDOLJQPHQW RI WKH ERQHV RI WKH VSLQH YHUWHEUDH
,Q VRPH LQVWDQFHV WKLV PD\ OHDG WR VSLQDO FRUG RU QHUYH URRW
FRPSUHVVLRQ EDFN SDLQ DQG QXPEQHVV RU ZHDNQHVV LQ WKH OHJV
D EDFN FRQGLWLRQ LQ ZKLFK D YHUWHEUD VOLSV IRUZDUG RQ WKH
YHUWHEUD EHORZ LW ,W FDQ FDXVH ORZHU EDFN SDLQ DQG SDLQ LQ WKH
WKLJKV EXWWRFNV VWLIIQHVV PXVFOH WLJKWQHVV DQG WHQGHUQHVV LQ
WKH VOLSSHG DUHD 1HXURORJLF GDPDJH PD\ DOVR UHVXOW IURP
SUHVVXUH RQ QHUYH URRWV
KWWSP\ZHEPGFRPHQF\FORSHGLDDUWLFOHVWV
,%DFNJURXQG
6SDQJOHU ZRUNHG DV D OHDG DXGLWRUGDWD DVVLVWDQW DW
/RFNKHHG0DUWLQ¶V86JRYHUQPHQWIDFLOLW\LQ2DN5LGJH
7HQQHVVHH$VDQHPSOR\HH6SDQJOHUZDVHOLJLEOHIRUDQGD
SDUWLFLSDQW LQ /RFNKHHG 0DUWLQ¶V (PSOR\HH %HQHILW 3ODQ
JRYHUQHGE\(5,6$/RFNKHHG0DUWLQLVWKHSODQVSRQVRU
DQG0HW/LIHLVWKHSODQDGPLQLVWUDWRU
,Q2FWREHURI6SDQJOHUEHJDQPLVVLQJZRUNEHFDXVH
RI VSRQG\OROLVWKHVLV :KHQ VKH ZDV QRW DEOH WR UHWXUQ
6SDQJOHU DSSOLHG IRU DQG UHFHLYHG VKRUWWHUP GLVDELOLW\
EHQHILWVIRUVL[PRQWKV
'XULQJWKHVHVL[PRQWKV6SDQJOHUVRXJKWWUHDWPHQWZLWK
'U0LFKDHO0DF.D\DQRUWKRSHGLFVXUJHRQZKRGLDJQRVHG
KHUZLWKVSRQG\OROLVWKHVLV$QRIILFHQRWHIURPD-DQXDU\
YLVLWVWDWHVWKDW6SDQJOHU
KDVQRWLPSURYHGZLWKSK\VLFDOWKHUDS\6KHUHPDLQV
XQDEOHWRUHWXUQWRZRUN6KHFRQWLQXHVZLWKVLJQLILFDQW
EDFNSDLQVKHZLVKHVWRSURFHHGZLWKFRQVHUYDWLYH
WUHDWPHQWDQGHOHFWHGIRUDEUDFH:HKDYHGLVFXVVHG
FDJHIXVLRQRIWKHOXPEDUVSLQHZKLFKVKHZLOOFRQVLGHU
GRLQJLQ)HEUXDU\LIVKHGRHVQRWUHVSRQGWRWKHEUDFH

-- 3 of 6 --

6SDQJOHUY/RFNKHHG
0DUWLQ(QHUJ\HWDO
1R
7KH SODQ SURYLGHV
8QGHU WKH /RQJ 7HUP 'LVDELOLW\ 3ODQ \RX DUH FRQVLGHUHG
WRWDOO\ GLVDEOHG GXULQJ \RXU ILUVW PRQWKV RI ORQJ WHUP
GLVDELOLW\ LI \RX DUH XQDEOH WR SHUIRUP WKH GXWLHV RI \RXU UHJXODU
MRE ZLWK WKH &RPSDQ\ GXH WR LOOQHVV RU LQMXU\ DQG DUH XQGHU WKH
UHJXODU FDUH RI D OLFHQVHG SUDFWLFLQJ SK\VLFLDQ $IWHU \RX
KDYH UHFHLYHG ORQJ WHUP GLVDELOLW\ EHQHILWV IRU PRQWKV \RX
DUH FRQVLGHUHG WRWDOO\ GLVDEOHG LI \RX UHPDLQ XQGHU WKH UHJXODU
FDUH RI D OLFHQVHG SUDFWLFLQJ SK\VLFLDQ DQG \RX DUH XQDEOH WR
ZRUN DW DQ\ MRE IRU ZKLFK \RX PLJKW EH TXDOLILHG EDVHG RQ \RXU
HGXFDWLRQ WUDLQLQJ DQG H[SHULHQFH ,Q RUGHU WR FRQWLQXH
UHFHLYLQJ EHQHILWV \RX PXVW IXUQLVK SHULRGLF PHGLFDO HYLGHQFH
RI \RXU LOOQHVV RU LQMXU\ LI UHTXHVWHG E\ WKH &RPSDQ\
$)HEUXDU\RIILFHQRWHVWDWHVWKDW6SDQJOHU ³KDVMXVW
EHJXQZHDULQJKHUEUDFHIRUWKHODVWIHZGD\VDQGIHHOVEHWWHU
ZLWKLWRQEXWKDVH[WUHPHSDLQZKHQVKHUHPRYHVLW6KHLV
QHXURORJLFDOO\LQWDFW´
6SDQJOHUDSSOLHGIRU/7'EHQHILWVLQ)HEUXDU\RI,Q
0DUFKDQG$SULORI0HW/LIHZURWHWR'U0DF.D\DQG
RWKHUVWKDW6SDQJOHULGHQWLILHGDVKHUWUHDWLQJSK\VLFLDQVDQG
UHTXHVWHGKHUPHGLFDOUHFRUGV2Q-XQH0HW/LIH
DZDUGHG6SDQJOHU/7'EHQHILWVILQGLQJ6SDQJOHUHOLJLEOHDV
RI$SULO,QWKHDZDUGOHWWHU0HW/LIHH[SODLQHGWKDW
LQRUGHUWRPDLQWDLQKHUGLVDEOHGVWDWXVVKHZRXOGKDYHWR
UHPDLQXQGHUDGRFWRU¶VFDUHDQGNHHS0HW/LIHLQIRUPHGRI
KHU FRQGLWLRQ 7R WKLV HQG D 0DUFK RIILFH QRWH LQ
6SDQJOHU¶V ILOH UHSRUWV WKDW 6SDQJOHU¶V EUDFH KHOSHG KHU
PRELOLW\ EXW WKDW LI 6SDQJOHU GLG QRW LPSURYH ³VXUJLFDO
WUHDWPHQWDQGIXVLRQWHFKQLTXHV´ZRXOGEH³WKHQH[WFRXUVH
RIWUHDWPHQW´
2Q-XO\0HW/LIHZURWH6SDQJOHUDQGHQFRXUDJHG
KHUWRDSSO\IRUVRFLDOVHFXULW\EHQHILWV,QWKHOHWWHU0HW/LIH
LQVWUXFWHG6SDQJOHUWRFRQWDFWDQDUHDODZILUPWRZKRP0HW
/LIHKDGDOUHDG\JLYHQ6SDQJOHU¶VQDPHWRDVVLVWKHULQWKH
DSSOLFDWLRQ SURFHVV 6SDQJOHU FRQWDFWHG WKH ODZ ILUP DQG
DSSOLHG IRU VRFLDO VHFXULW\ EHQHILWV ,Q 2FWREHU RI
6SDQJOHUZDVDZDUGHGVRFLDOVHFXULW\EHQHILWVUHWURDFWLYHWR
1R 6SDQJOHUY/RFNKHHG
0DUWLQ(QHUJ\HWDO

2Q6HSWHPEHUZHUHFHLYHGDSK\VLFDOFDSDFLW\
VWDWHPHQW IURP \RXU DWWHQGLQJ SK\VLFLDQ 'U 0LFKDHO
0DF.D\ LQGLFDWHG \RX KDG WKH DELOLW\ WR GR WKH
IROORZLQJ
‡ VLWIRUVL[KRXUV
‡ VWDQGWZRKRXUV
‡ ZDONWZRKRXUV
‡ OLIWDQGFDUU\XSWRSRXQGVRFFDVLRQDOO\
‡ XVH\RXUKDQGVDQGIHHWIRUUHSHWLWLYHDFWLRQV
‡ EHQG VTXDW FUDZO FOLPE DQG UHDFK DERYH
VKRXOGHUOHYHORFFDVLRQDOO\
%DVHGRQWKLVLQIRUPDWLRQ\RXUFODLPZDVUHIHUUHGWR
DYRFDWLRQDOFRQVXOWDQWWRFRPSOHWHDWUDQVIHUDEOH
VNLOOVDQDO\VLV 76$ 7KH76$LGHQWLILHGVHYHUDO
VHGHQWDU\ RFFXSDWLRQV LQFOXGLQJ \RXU RZQ
RFFXSDWLRQFRQVLVWHQWZLWK\RXUYRFDWLRQDOKLVWRU\
DQGSK\VLFDODELOLWLHVDVRXWOLQHGE\'U0DF.D\
,Q 2FWREHU 6SDQJOHU VXHG 0HW /LIH IRU ZURQJIXO
GHQLDORI/7'EHQHILWV
,,$QDO\VLV
$
7KLV FRXUW UHYLHZV D GHFLVLRQ RI D GLVWULFW FRXUW LQ DQ
(5,6$EHQHILWVFDVHGHQRYR*DWOLQY1DWLRQDO+HDOWKFDUH
&RUS)G WK&LU FLWLQJ3DXO5HYHUH/LIH
,QV&RY%URFN)G WK&LU 7KH
SDUWLHV DJUHH WKDW WKH VWDQGDUG RI UHYLHZ LQ WKLV FDVH LV
ZKHWKHUWKHGHQLDORIEHQHILWVZDVDUELWUDU\DQGFDSULFLRXV
EHFDXVH0HW/LIHKDGGLVFUHWLRQDU\DXWKRULW\WRFRQVWUXHDQG
LQWHUSUHW WKH EHQHILW SODQ DW LVVXH 6HH )LUHVWRQH 7LUH
5XEEHU &R Y %UXFK 86 0LOOHU Y
0HWURSROLWDQ/LIH,QV&R)G WK&LU
(OOLRWW Y /RFNKHHG 0DUWLQ (QHUJ\ 6\VWHPV ,QF
)6XSSG ('7HQQ $GHFLVLRQUHJDUGLQJ
HOLJLELOLW\IRUEHQHILWVLVQRWDUELWUDU\DQGFDSULFLRXVLIWKH
GHFLVLRQLV³UDWLRQDOLQOLJKWRIWKHSODQ¶VSURYLVLRQV´'DQLHO

-- 4 of 6 --

6SDQJOHUY/RFNKHHG
0DUWLQ(QHUJ\HWDO
1R
WKDW D SHUVRQ LQ 6SDQJOHU¶V JHRJUDSKLFDO ORFDWLRQ ZLWK KHU
WUDLQLQJ DQG OLPLWDWLRQV VHW IRUWK LQ 'U 0DF.D\¶V
6HSWHPEHUUHSRUW FRXOGEHHPSOR\HGLQ6SDQJOHU¶V
SULRUMREDVZHOODVVHYHUDORWKHUFRPSDUDEOHVHGHQWDU\MREV
2Q'HFHPEHU0HW/LIHWHUPLQDWHG6SDQJOHU¶V/7'
EHQHILWVHIIHFWLYH-DQXDU\7KHGHQLDOOHWWHUVWDWHVLQ
UHOHYDQWSDUW
%DVHG XSRQ D WKRURXJK DQG H[WHQVLYH UHYLHZ DQG
HYDOXDWLRQRIDOOWKHPHGLFDOLQIRUPDWLRQFRQWDLQHGLQ
\RXUFODLPILOHZHKDYHGHWHUPLQHGWKDW\RXQRORQJHU
TXDOLI\IRU/RQJ7HUP'LVDELOLW\ ³/7'´ EHQHILWVXQGHU
WKH/RFNKHHG0DUWLQ(QHUJ\6\VWHPVSODQ2XUUHDVRQV
DUHVHWIRUWKEHORZ
$7UDQVIHUDEOH6NLOOV$QDO\VLVZDVSHUIRUPHGXVLQJ
WKH OLPLWDWLRQV RQ \RXU DFWLYLWLHV VXSSOLHG E\ 'U
0DF.D\ 7KH $QDO\VLV LQGLFDWHG WKDW \RX KDYH
WUDQVIHUDEOHVNLOOVDQGUHVLGXDOIXQFWLRQDOFDSDELOLWLHVIRU
\RXURZQMREDVZHOODVZLWKYDULRXVRWKHURFFXSDWLRQV
6SDQJOHU DSSHDOHG 0HW /LIH¶V GHFLVLRQ VXEPLWWLQJ
DGGLWLRQDOLQIRUPDWLRQLQVXSSRUWRIKHUFODLP6SHFLILFDOO\
RQ-DQXDU\'U0DF.D\VXEPLWWHGDQRWKHU$WWHQGLQJ
3K\VLFLDQ6WDWHPHQWVWDWLQJWKDW6SDQJOHUFRXOGVLWIRURQH
KRXUFRXOGQRWVWDQGRUZDONDQGFRXOGQRWUHWXUQWRZRUN
'U 5LFH VXEPLWWHG DQ $WWHQGLQJ 3K\VLFLDQ 6WDWHPHQW RQ
-DQXDU\VWDWLQJWKDW6SDQJOHUFRXOGQRWZRUN
2Q-DQXDU\0HW/LIHZURWHWR6SDQJOHUGHQ\LQJ
KHUDSSHDOVWDWLQJLQUHOHYDQWSDUW
<RXDWWHQGHGDIXQFWLRQDOFDSDFLW\HYDOXDWLRQRQ-XO\
WKDWLQGLFDWHG\RXPHWWKHVHGHQWDU\ZRUNFDSDFLW\
OHYHOKRZHYHU\RXUSHUIRUPDQFHGLGQRWPHHWWKHMRE
GHPDQGV IRU \RXU SUHYLRXV RFFXSDWLRQ <RX VFRUHG
SRVLWLYHRQPRVWSV\FKRPHWULFLQGLFDWRUVIRUV\PSWRP
PDJQLILFDWLRQDQGDIRFXVRQSDLQ
1R 6SDQJOHUY/RFNKHHG
0DUWLQ(QHUJ\HWDO

$SULO7KHODZILUPUHSUHVHQWLQJ6SDQJOHULQIRUPHG
0HW/LIHRIWKHRXWFRPHRI6SDQJOHU¶VVRFLDOVHFXULW\FDVHLQ
2FWREHURI
0HDQZKLOH RQ 6HSWHPEHU 'U 0DF.D\
SHUIRUPHGD³SRVWHURODWHUDOIXVLRQ´LQVHUWHGDEUDFHDQGD
EDWWHU\SRZHUHG³VSLQDOIXVLRQVWLPXODWRU´2Q1RYHPEHU
'U0DF.D\UHSRUWHGWKDW6SDQJOHUFRXOGEHH[SHFWHG
WRUHWXUQWRZRUN-DQXDU\ 7KDWGLGQRWKDSSHQ
KRZHYHUDQG6SDQJOHUFRQWLQXHGWRSURYLGH0HW/LIHZLWK
GRFXPHQWVRIKHUSURJUHVV
2Q)HEUXDU\'U%UXFH+XQWRQHRI6SDQJOHU¶V
WUHDWLQJ SK\VLFLDQV ILOOHG RXW DQ $WWHQGLQJ 3K\VLFLDQ
6WDWHPHQWDWZRSDJHIRUPIURP0HW/LIH'U+XQWVDLGWKDW
6SDQJOHUFRXOGVLWIRUWZRKRXUVVWDQGIRURQHKRXUZDONIRU
]HURKRXUVFRXOGQRWGROLIWLQJRIDQ\NLQGDQGFRXOGQRW
ZRUN
2Q0DUFK'U0DF.D\ILOOHGRXWDQ$WWHQGLQJ
3K\VLFLDQ6WDWHPHQW+HVDLGWKDW6SDQJOHUFRXOGVLWIRUIRXU
KRXUVVWDQGIRURQHKRXUZDONIRURQHKRXUOLIWXSWR
SRXQGV RFFDVLRQDOO\ EXW VKH FRXOG QRW ZRUN DQG ZDV QRW
H[SHFWHGWRLPSURYH$0DUFKRIILFHYLVLWQRWHIURP
'U0DF.D\DOVRUHSRUWVWKDW6SDQJOHU³LVQRWLPSURYHGDQG
LVQRWGRLQJZHOO6KHLVVWLOOGHSHQGHQWRQDFDQH+HUSDLQ
LVSXUHO\OXPEDUDWWKLVSRLQWZLWKPLQLPDOOHJSDLQV7KHUH
LVVWLOOVRPHWLQJOLQJDQGVKHLVVWLOOKDYLQJSUREOHPVZLWK
IDOOLQJ´
2Q$SULO'U0DF.D\ZURWHWR0HW/LIHVWDWLQJ
WKDW6SDQJOHU¶VSDLQFRQWLQXHGDQG³VKHLVTXLWHGLVDEOHGE\
LW , GR QRW WKLQN WKDW WKHUH LV DQ\ ZD\ WKDW VKH FDQ
UHDVRQDEO\JREDFNWRZRUNDQGVKHZLOOEHFRQVLGHUHGIRU
SHUPDQHQWGLVDELOLW\´2Q$SULO'U0DF.D\DJDLQ
ZURWHWR0HW/LIHVWDWLQJ
0V-DQLFH6SDQJOHULVXQDEOHWRUHWXUQWRZRUNDWWKH
DQWLFLSDWHGGDWHRI-DQXDU\GXHWRFRQWLQXHG
VHYHUHORZHUEDFNSDLQ6KHLVGHSHQGHQWRQDZDONHU

-- 5 of 6 --

6SDQJOHUY/RFNKHHG
0DUWLQ(QHUJ\HWDO
1R
DQGFDQHIRUDPEXODWLRQ6KHKDVQRWLPSURYHGZLWKD
VSLQDOIXVLRQ+HUVSRQG\OROLVWKHVLVKDVQRWSURJUHVVHG
DVIDUDV,FDQWHOORQKHU[UD\V/RQJWHUPPDQDJHPHQW
DVWKHSDLQFRQWLQXHVPD\LQFOXGHDUHSHDWLPDJLQJVXFK
DVDP\HORJUDP&7DVZHOODVSRVVLEOHUHSHDWVXUJHU\
$0D\HQWU\LQ0HW/LIH¶V'LDU\5HYLHZ5HSRUW
VWDWHVWKDW³ERWK$3>$WWHQGLQJ3K\VLFLDQ'U5LFH@DQG'U
0DF.D\LQGLFDWHWKDW>6SDQJOHU@KDVVLJQLILFDQWUHVWULFWLRQV
DQGZLOOQHYHU>UHWXUQWRZRUN@´7KHGLDU\UHYLHZQRWHVWKDW
6SDQJOHUZDVDZDUGHGVRFLDOVHFXULW\GLVDELOLW\EHQHILWV7KH
GLDU\UHYLHZDOVRLQGLFDWHVWKDW0HW/LIHZLOOVHQG6SDQJOHU
IRU D )XQFWLRQDO &DSDFLW\ ([DPLQDWLRQ WR ³LGHQWLI\ ZKDW
OLPLWV ZRXOG SUHYHQW >6SDQJOHU@ IURP SHUIRUPLQJ KHU RZQ
>RFFXSDWLRQ@´
2Q-XO\0HW/LIHVFKHGXOHG6SDQJOHUIRUDZKROH
ERG\ IXQFWLRQDO FDSDFLW\ H[DPLQDWLRQ 7KH )XQFWLRQDO
&DSDFLW\ (YDOXDWLRQ 6XPPDU\ 5HSRUW VLJQHG E\ 6XVDQ
(ZLQJDUHJLVWHUHGSK\VLFDOWKHUDSLVWIRU0HW/LIHDQG%ULDQ
0RRUHDQ,QGXVWULDO0HGLFLQH&RRUGLQDWRUFRQFOXGHG
7KLV SDWLHQW GHPRQVWUDWHV D IXQFWLRQDO FDSDFLW\ DW WKH
6HGHQWDU\SK\VLFDOGHPDQGOHYHOZKLFKGRHVQRWPHHW
WKHVWDWHGMREGHPDQGVIRUKHUSUHYLRXVO\KHOGSRVLWLRQ
6KHVFRUHGSRVLWLYHO\RQPRVWSV\FKRPHWULFLQGLFDWRUV
IRUV\PSWRPPDJQLILFDWLRQDQGDIRFXVRQSDLQ%RWK
WKH H[DPLQHU DQG SK\VLFDO WKHUDSLVW ZHUH OLPLWHG LQ
SHUIRUPLQJDFRPSOHWHHYDOXDWLRQRUWHVWLQJVHFRQGDU\WR
FRPSODLQWV RI SDLQ DQG LQDELOLW\ WR DVVXPH UHTXHVWHG
SRVLWLRQVIRUWHVWLQJ
7KHWHVWLQJVKRZHGWKDW6SDQJOHUFRXOGVLWIRU³PLQXWHV´
VWDQG IRU ³ VHFRQGV´ ZDON ³ [ VHFRQGV ZLWK TXDG
FDQH´ DQG FOLPE ³ILYH VWHSV ZLWK DVVLVW´ 7KH UHSRUW
XOWLPDWHO\ IRXQG 6SDQJOHU GLVDEOHG DQG VWDWHG ³'DWD LV
DYDLODEOH RQ ILOH ZKLFK VXEVWDQWLDWHV WKH ILQGLQJV LQ WKLV
UHSRUW´
1R 6SDQJOHUY/RFNKHHG
0DUWLQ(QHUJ\HWDO

7KH GLVWULFW FRXUW LQFRUUHFWO\ LGHQWLILHG .LPEHUO\ 6ZLW]HU DV WKH
YRFDWLRQDO FRQVXOWDQW 0V 6ZLW]HU LV WKH ³&DVH 0DQDJHPHQW 6SHFLDOLVW´
IURP 0HW /LIH DVVLJQHG WR 6SDQJOHU¶V ILOH
,Q 6HSWHPEHU 0HW /LIH DVNHG 'U 0DF.D\ DQG
6SDQJOHU¶VSULPDU\FDUHSK\VLFLDQ'U0DUN5LFHWRSURYLGH
XSGDWHG RIILFH QRWHV DQG WHVWV DQG WR FRPSOHWH D 3K\VLFDO
&DSDFLWLHV(YDOXDWLRQDQRWKHUIRUPSURYLGHGE\0HW/LIH
2Q6HSWHPEHU'U0DF.D\ILOOHGRXWWKH3K\VLFDO
&DSDFLWLHV(YDOXDWLRQIRUPZKLFKLVOHVVGHWDLOHGWKDQWKH
$WWHQGLQJ 3K\VLFLDQ 6WDWHPHQWV WKDW 'U 0DF.D\ KDG
SUHYLRXVO\VXEPLWWHGWR0HW/LIH2QWKHIRUP'U0DF.D\
UHSRUWHGWKDW6SDQJOHUFRXOGVLWIRUVL[KRXUVZDONIRUWZR
KRXUVDQGOLIWDQGFDUU\XSWRWHQSRXQGVRFFDVLRQDOO\7KH
UHSRUWWR0HW/LIHDOVRLQFOXGHG'U0DF.D\¶VRIILFHQRWHV
7KH 3K\VLFDO &DSDFLWLHV (YDOXDWLRQ XQOLNH WKH $WWHQGLQJ
3K\VLFLDQ6WDWHPHQWGRHVQRWDVNZKHWKHUWKHSDWLHQWZDV
FDSDEOH RI ZRUNLQJ EXW UDWKHU DVNV RQO\ IRU KRZ ORQJ WKH
SDWLHQWFRXOGVLWVWDQGZDONOLIWFDUU\HWF$VQRWHGDERYH
DOOSUHYLRXVDQGVXEVHTXHQWUHSRUWV'U0DF.D\SURYLGHGWR
0HW/LIHLQGLFDWHGWKDW6SDQJOHUZDVWRWDOO\GLVDEOHGDQGZDV
QRWFDSDEOHRIZRUNLQJ
'U 5LFH¶V 3K\VLFDO &DSDFLWLHV (YDOXDWLRQ LV GDWHG
6HSWHPEHU'U5LFHVDLGWKDW6SDQJOHUFRXOGVLWIRU
IRXUKRXUVGXULQJDQHLJKWKRXUZRUNGD\EXWWKDWVKHFRXOG
QRWVWDQGZDONRUGULYH1RWDEO\'U5LFHDOVRZURWH³,
FRQVLGHUWKLV>SDWLHQW¶V@ORZEDFNSDLQLQWUDFWUDFWDEOH6KH
DOVR KDV RVWHRDUWKULWLV RI KDQGV , GRQ¶W IRUHVHH UHWXUQ WR
ZRUN´
0HW /LIH WKHQ GHFLGHG WR REWDLQ D WUDQVIHUDEOH VNLOOV
DQDO\VLV WR GHWHUPLQH ZKHWKHU 6SDQJOHU ZDV FDSDEOH RI
VHGHQWDU\ZRUN,QGRLQJVR0HW/LIHIRUZDUGHGRQO\'U
0DF.D\¶V 6HSWHPEHU 3K\VLFDO &DSDFLWLHV
(YDOXDWLRQWR&UDZIRUG &RPSDQ\+HDOWKFDUH0DQDJHPHQW
6HUYLFHV &UDZIRUG DFRQVXOWLQJFRPSDQ\DQGDVNHGLWWR
GHWHUPLQH LI 6SDQJOHU ZDV FDSDEOH RI ZRUNLQJ 2QH RI
&UDZIRUG¶VYRFDWLRQDOFRQVXOWDQWV*UHWD.QDXVGHWHUPLQHG

-- 6 of 6 --

Continua la tua ricerca in ChatGPT o Claude

Collega Omnilex per cercare nel corpus legale dal tuo assistente IA.