99-3325•00a0327p.06
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
52*(5 %2**6
3HWLWLRQHU$SSHOOHH
Y
7(55< &2//,16:DUGHQ
5HVSRQGHQW$SSHOODQW
;!
1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW&LQFLQQDWL
1R²6DQGUD6%HFNZLWK'LVWULFW-XGJH
$UJXHG0D\
'HFLGHGDQG)LOHG6HSWHPEHU
%HIRUH(1*(/-21(6DQG&2/(&LUFXLW-XGJHV
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' 6WXDUW : +DUULV $66,67$17 $77251(<
*(1(5$/ &255(&7,216 /,7,*$7,21 6(&7,21
&ROXPEXV 2KLR IRU $SSHOODQW .RUW : *DWWHUGDP
$66,67$1767$7(38%/,&'()(1'(52+,238%/,&
'()(1'(5&200,66,21&ROXPEXV2KLRIRU$SSHOOHH
21%5,()6WXDUW:+DUULV$66,67$17$77251(<
*(1(5$/ &255(&7,216 /,7,*$7,21 6(&7,21
&ROXPEXV 2KLR IRU $SSHOODQW .RUW : *DWWHUGDP
-- 1 of 16 --
%RJJVY&ROOLQV 1R
$66,67$1767$7(38%/,&'()(1'(52+,238%/,&
'()(1'(5&200,66,21&ROXPEXV2KLRIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
1$7+$1,(/ 5 -21(6 &LUFXLW -XGJH 5HVSRQGHQW
$SSHOODQW7HUU\&ROOLQV:DUGHQRIWKH:DUUHQ&RUUHFWLRQDO
,QVWLWXWHLQ/HEDQRQ2KLRDSSHDOVWKHGLVWULFWFRXUW¶VJUDQW
RI 3HWLWLRQHU$SSHOOHH 5RJHU 3 %RJJV¶V KDEHDV
SHWLWLRQ)RUWKHUHDVRQVVWDWHGKHUHLQZH5(9(56(DQG
5(0$1' IRU IXUWKHU SURFHHGLQJV FRQVLVWHQW ZLWK WKLV
RSLQLRQ
,
2Q 0D\ DIWHU D WZRGD\ WULDO LQ WKH $GDPV
&RXQW\ 2KLR &RXUW RI &RPPRQ 3OHDV D MXU\ FRQYLFWHG
%RJJV RI WKH UDSH NLGQDSLQJ DQG IHORQLRXV DVVDXOW RI
(OL]DEHWK%HUPDQ7KHFRXUWVHQWHQFHG%RJJVWRILIWHHQWR
WZHQW\ILYH\HDUV¶LPSULVRQPHQWIRUUDSHDQGHLJKWWRILIWHHQ
\HDUV¶ LPSULVRQPHQW IRU IHORQLRXV DVVDXOW WR EH VHUYHG
FRQVHFXWLYHO\%RJJVLVFXUUHQWO\LQFDUFHUDWHGDWWKH:DUUHQ
&RUUHFWLRQDO,QVWLWXWLRQLQ/HEDQRQ2KLR
$
$WWULDO%HUPDQWHVWLILHGWKDWDURXQGHLJKWRUQLQHSPRQ
&KULVWPDV(YH%RJJVNQRFNHGRQKHUGRRUDQGDVNHG
WRXVHKHUEDWKURRP%HUPDQDJUHHGDQGDIWHUXVLQJWKH
EDWKURRP%RJJVDSSURDFKHGKHUDQGEHJDQPDNLQJVH[XDO
DGYDQFHV 6KH UHIXVHG DQG DV KLV DGYDQFHV EHFDPH PRUH
DJJUHVVLYHVKHVFUHDPHG³DERXWIRXUWLPHVUHDOO\ORXG´-$
DW$FFRUGLQJWR%HUPDQ%RJJVWKHQKLWKHURQWKHVLGH
RIWKHKHDGSXWDSLOORZRYHUKHUIDFHDQGWKUHDWHQHGWRNLOO
-- 2 of 16 --
%RJJVY&ROOLQV 1R
'HVSLWH RXU FRQFOXVLRQ WKDW WKH IDFWV RI WKLV FDVH GR QRW LPSOLFDWH
WKH &RQIURQWDWLRQ &ODXVH WKH UHJLPH WKDW WKH 2KLR 6XSUHPH &RXUW HUHFWHG
LQ 6WDWH Y %RJJV 1(G 2KLR PD\ ZHOO LPSOLFDWH WKH
&RQIURQWDWLRQ &ODXVH LQ RWKHU FLUFXPVWDQFHV $V H[SODLQHG VXSUD LI D
GHIHQGDQW VHHNV WR VKRZ WKDW D SULRU IDOVH DFFXVDWLRQ EHDUV RQ D ZLWQHVV¶V
ELDV PRWLYH RU SUHMXGLFH D WULDO FRXUW PD\ EH FRQVWLWXWLRQDOO\ UHTXLUHG WR
DOORZ D GHIHQGDQW WR FURVVH[DPLQH RQ WKDW DFFXVDWLRQ DV ZHOO DV WR DOORZ
WKH GHIHQGDQW WR ³PDNH D UHFRUG IURP ZKLFK WR DUJXH ZK\´ WKH ZLWQHVV
ZDV ELDVHG RU SUHMXGLFHG 'DYLV 86 DW ,Q D FDVH ZKHUH WKH
&RQIURQWDWLRQ &ODXVH LV LPSOLFDWHG WKH %RJJV UHJLPH PD\ KDYH WR JLYH
ZD\ GHSHQGLQJ RQ WKH H[WHQW RI FURVVH[DPLQDWLRQ SHUPLWWHG DQG WKH
LQWHUHVWEDODQFLQJ DQDO\VLV UHTXLUHG XQGHU FDVHV VXFK DV 0LFKLJDQ Y
/XFDV 86 DW %XW WKDW LV QRW WKLV FDVH
MXGJPHQW RI WKH GLVWULFW FRXUW DQG 5(0$1' IRU IXUWKHU
SURFHHGLQJVFRQVLVWHQWZLWKWKLVRSLQLRQ
1R %RJJVY&ROOLQV
%HUPDQ WHVWLILHG WKDW VKH ZDV QRW FHUWDLQ SUHFLVHO\ KRZ ORQJ WKH
DWWDFN ODVWHG -$ DW
%HUPDQ WHVWLILHG WKDW %RJJV RQO\ HMDFXODWHG RQH WLPH ZKHQ KH
IRUFHG KHU WR SHUIRUP RUDO VH[ DW WKH HQG RI WKH DVVDXOW DQG WKDW VKH
LPPHGLDWHO\ GLVSRVHG RI KLV VHPHQ LQ WKH EDWKURRP -$ DW
KHULIVKHFRQWLQXHGVFUHDPLQJ)RUDERXWQLQHW\PLQXWHVKH
UHSHDWHGO\ UDSHG KHU YDJLQDOO\ RUDOO\ DQG DQDOO\ %RJJV
HYHQWXDOO\OHIWKHUDSDUWPHQWDIWHUZKLFK%HUPDQWHOHSKRQHG
KHUPRWKHUZKRWHVWLILHGWKDWVKHUHFHLYHGWKHFDOODURXQG
WHQWKLUW\$IWHUDUULYLQJDW%HUPDQ¶VDSDUWPHQWKHUPRWKHU
ILUVW WRRN KHU WR WKH DSDUWPHQW PDQDJHU DQG WKH SROLFH WR
UHSRUWWKHLQFLGHQWDQGWKHQWRDKRVSLWDOHPHUJHQF\URRP
%HUPDQ¶VPRWKHUWHVWLILHGWKDW%HUPDQLQLWLDOO\ZDVUHOXFWDQW
WRVD\ZKRKDGUDSHGKHU$VWKH\OHIWWKHDSDUWPHQWEXLOGLQJ
KRZHYHUVKHLQGLFDWHGWKDW%RJJVZDVWKHSHUSHWUDWRU
'U 5DQGDOO 9RON WKH HPHUJHQF\ URRP GRFWRU ZKR
H[DPLQHG %HUPDQ WKDW HYHQLQJ WHVWLILHG WKDW VKH VXIIHUHG
VHYHUDOLQMXULHVFRQVLVWHQWZLWKWKHDWWDFNVKHKDGGHVFULEHG
$OWKRXJK KH GLG QRW ILQG DQ\ LQMXULHV WR WKH YXOYD RU WKH
YDJLQDKHIRXQGDVPDOOUHFWDODQGDQWHULRUDQDOODFHUDWLRQ
WKDWKHGHWHUPLQHGWRKDYHEHHQFDXVHGYHU\UHFHQWO\-$DW
+HDOVRGHVFULEHGEUXLVHVDQGFRQWXVLRQVDERYHKHU
OHIWH\HDQHSLVFOHUDKHPDWRPDLQKHUOHIWH\HFRQVLVWHQWZLWK
D³VWULNLQJEORZ´DQGDQDEUDVLRQRQKHUFKHVW
2WKHUZLWQHVVHVIRUWKHSURVHFXWLRQWHVWLILHGWKDWWKH\KDG
VHHQ%RJJVLQDQDSDUWPHQWFRPSOH[ (GGLH¶V$SDUWPHQWV
DGMDFHQWWR%HUPDQ¶VFRPSOH[ *OHQGDOH$SDUWPHQWV RQWKH
HYHQLQJ LQ TXHVWLRQ &DWK\ -RUGDQ WHVWLILHG WKDW VKH VDZ
%RJJVIRXUWLPHVWKDWHYHQLQJ%RJJVHQWHUHGKHUIDPLO\¶V
UHVLGHQFHRQFHDQGOHIWVRRQWKHUHDIWHU+HNQRFNHGRQKHU
GRRUWZRDGGLWLRQDOWLPHVDVNLQJWREHOHWLQ+HDSSHDUHG
GUXQNVWDJJHULQJDQGVOXUULQJKLVVSHHFK-RUGDQWHVWLILHG
WKDWKLVSUHVHQFHDQGWRQHDOWKRXJKQRW³DOOWKDWIRUFHIXO´
VFDUHGKHU-$DW2QWKHIRXUWKRFFDVLRQ-RUGDQVDZ
%RJJV SHHNLQJ LQ WKH ZLQGRZ RI DQ DSDUWPHQW DFURVV WKH
SDUNLQJ ORW (YD :KLWH QH[W WHVWLILHG WKDW VKH WRR KDG
-- 3 of 16 --
%RJJVY&ROOLQV 1R
HQFRXQWHUHG%RJJVWKDWHYHQLQJFOHDUO\GUXQN³>K@HFDPHWR
P\GRRUDQGVDLGKHZDVWKHIULHQGO\PDLQWHQDQFHPDQ´-$
DW$IWHUUHIXVLQJWROHWKLPLQVKHUHWULHYHGDFURZEDU
LQFDVHKHUHWXUQHG2WKHUZLWQHVVHVWHVWLILHGWKDW%RJJVZDV
GUXQNRQWKHQLJKWLQTXHVWLRQZKLOHKLVSUREDWLRQRIILFHUDQG
DGHSXW\VKHULIIUHVSHFWLYHO\WHVWLILHGWKDW%RJJVODWHUKDG
WROG WKHP WKDW KH ZDV VR GUXQN WKDW KH ZRXOG ³QRW EH
VXUSULVHG DW DQ\WKLQJ´ -$ DW DQG WKDW KH FRXOG QRW
UHPHPEHUZKDWKHKDGGRQHIRUDQXPEHURIGD\V
%RJJV¶VFURVVH[DPLQDWLRQRI%HUPDQDGGXFHGWKDWVKHZDV
DSDVWGUXJXVHUZKRKDGDORQJKLVWRU\RIPHQWDOLOOQHVV
6KH IXUWKHU DFNQRZOHGJHG WKDW IRU PDQ\ \HDUV VKH KDG
XQGHUJRQH SV\FKLDWULF WUHDWPHQW IRU VFKL]RSKUHQLDOLNH
FRQGLWLRQV DQG GHSUHVVLRQ DQG WKDW VKH KDG H[SHULHQFHG
³SV\FKRWLFHSLVRGHV´LQZKLFKVKHZRXOG³ORVHWRXFKZLWK
ZKDW¶VUHDODQGZKDW¶VQRWUHDO´-$DW6WDWHY%RJJV
1(G 2KLR &W $SS 6KH KDG
SUHYLRXVO\EHHQKRVSLWDOL]HGVHYHQWLPHVIRUWKHVHFRQGLWLRQV
WKHODVWWLPHEHLQJVL[RUVHYHQ\HDUVEHIRUHWKHWULDO DURXQG
6KHKDGEHHQWUHDWHGIRUWKRVHFRQGLWLRQVDQGGUXJ
DEXVHHYHUVLQFHDQGZDVLQSV\FKLDWULFWKHUDS\DWWKHWLPHRI
WKHWULDO
2QFURVVH[DPLQDWLRQ%HUPDQDOVRGHVFULEHGKHUDWWDFNHU¶V
DSSHDUDQFH+HKDGWZRWDWWRRV²RQHRQKLVVKRXOGHUDQGRQH
RQKLVEDFN+HKDG³>G@DUNEURZQKDLUDQG>ZDV@DORWELJJHU
WKDQPH´-$DW6KHGLGQRWUHPHPEHUKRZKHZDV
GUHVVHGKLVIDFLDOKDLURUKRZKHZRUHKLVKDLUVWDWLQJWKDW
VKHGRHVQRWJHQHUDOO\QRWLFHZKHWKHUDPDQLVEHDUGHGRU
FOHDQVKDYHQ6KHWHVWLILHGWKDWKHUDWWDFNHUGLGQRWVPHOORI
DOFRKRO DQG GLG QRW DSSHDU WR EH LQWR[LFDWHG 6KH DOVR
UHLWHUDWHGWKDWVKHKDGVFUHDPHGORXGO\SULRUWRWKHDWWDFNDQG
DFNQRZOHGJHGWKDWKHUDSDUWPHQWZDOOVZHUHWKLQ
7HVWLI\LQJ LQ KLV RZQ GHIHQVH %RJJV VWDWHG WKDW KH KDG
EHHQLQ%HUPDQ¶VDSDUWPHQWVHYHUDOWLPHVSULRUWR&KULVWPDV
(YHDQGWKDWKHKDGVKRZQKHUKLVWDWWRRVWKHQ+H
DOVRVWDWHGWKDWKHKDGVWRSSHGE\%HUPDQ¶VUHVLGHQFHRQWKH
GD\LQTXHVWLRQ³,VWRSSHG>E\@HDUOLHUWKDWPRUQLQJ,ZDV
1R %RJJVY&ROOLQV
,QVXP%RJJVHQMR\HGDQRSSRUWXQLW\WRSUHVHQWDIXOODQG
PHDQLQJIXOGHIHQVHWRWKHFULPHVZLWKZKLFKKHZDVFKDUJHG
,Q DGGLWLRQ WR RWKHU VWUDWHJLHV KH SXUVXHG KH SXW IRUWK
FRQVLGHUDEOHHYLGHQFHDWWDFNLQJ%HUPDQ¶VFUHGLELOLW\EDVHG
RQKHUKLVWRU\RIPHQWDOLOOQHVVDQGVXEVWDQFHDEXVHDQGKH
KDPPHUHG WKLV WHVWLPRQ\ KRPH WR WKH MXU\ LQ KLV FORVLQJ
DUJXPHQW7KLVFLUFXPVWDQFHLVWKXVXQOLNH&KDPEHUV
86DW KROGLQJWKDW&KDPEHUVZDVGHQLHGWKHULJKWWR
SUHVHQWDGHIHQVHZKHQKHZDVIRUELGGHQRXWULJKWIURPFURVV
H[DPLQLQJDNH\ZLWQHVVGXHWRDQDQWLTXDWHG³YRXFKHU´UXOH
DQG ZKHQ WKH WULDO FRXUW GLG QRW DOORZ KLP WR FDOO WKUHH
IDYRUDEOHZLWQHVVHV DQG&UDQH86DW KROGLQJ
WKDW&UDQH¶VULJKWWRSUHVHQWDGHIHQVHZDVWUDPPHOHGZKHQ
ZLWKQRYDOLGVWDWHMXVWLILFDWLRQKHZDVZKROO\EDUUHGIURP
WHVWLI\LQJ DERXW WKH PDQQHU LQ ZKLFK KLV FRQIHVVLRQ ZDV
REWDLQHG )LQDOO\ZHGRQRWILQGWKDWWKHDGGHGEHQHILWWR
%RJJV RI SUHVHQWLQJ HYLGHQFH RI WKH DOOHJHG SULRU IDOVH
DFFXVDWLRQ FRPSULVHG DQ LQWHUHVW VR ZHLJKW\ WKDW LW ZDV
FRQVWLWXWLRQDOO\JXDUDQWHHG,QGHHG%RJJVZLVKHGWRDVNWKH
MXU\WRPDNHDWHQXRXVHYLGHQWLDU\LQIHUHQFHIURPDVLWXDWLRQ
WKDW HYHQ WDNHQ DV WUXH GHYLDWHG VLJQLILFDQWO\ IURP WKH
&KULVWPDV(YHDWWDFN:KLOHWKHWULDOFRXUWKDGGLVFUHWLRQWR
DOORZLQVXFKHYLGHQFHRUWRDOORZDUHWULDORIWKHFDVHDIWHU
KDYLQJKHDUGWKHWHVWLPRQ\IRULWVHOIWKH&RQVWLWXWLRQGRHV
QRWUHTXLUHLWWRKDYHGRQHVR
9
:KLOH %RJJV VRXJKW WR FURVVH[DPLQH %HUPDQ RQ DQ
DOOHJHGIDOVHDFFXVDWLRQRIUDSHKHGHVLUHGWRGRVRWRDWWDFN
IXUWKHUKHUJHQHUDOFUHGLELOLW\8QGHU'DYLVDQG9DQ$UVGDOO
WKDW SXUSRVH DORQH GRHV QRW LPSOLFDWH WKH &RQIURQWDWLRQ
&ODXVH 1RU RQ WKH IDFWV RI WKLV FDVH GLG WKH UHVWULFWLRQ
WUDPPHO %RJJV¶V FRQVWLWXWLRQDO ULJKW WR PRXQW D IXOO DQG
PHDQLQJIXOGHIHQVH)RUWKHVHUHDVRQVZH5(9(56(WKH
-- 4 of 16 --
%RJJVY&ROOLQV 1R
%RJJV VXJJHVWHG LQ FORVLQJ DUJXPHQW WKDW SHUKDSV %HUPDQ¶V
ZRXQGV ZHUH VHOILQIOLFWHG 3HUKDSV VKH ³KDG D QLJKWPDUH DQG IHOO GRZQ
DQG VDLG VKH ZDV UDSHG , GRQ¶W NQRZ , GRQ¶W WKLQN \RX NQRZ´ -$
DW 7KLV VSHFXODWLRQ ZDV QRW VXSSRUWHG E\ DQ\ HYLGHQFH DQG WKH
RQO\ PHGLFDO WHVWLPRQ\ DGGXFHG DW WULDO ZDV WKDW WKH ZRXQGV ZHUH
FRQVLVWHQW ZLWK WKH SK\VLFDO DWWDFN WKDW %HUPDQ KDG GHVFULEHG
KROORZ7KHSK\VLFDOHYLGHQFHVKRZVSHUVXDVLYHO\WKDWVKH
GLGQRW³PDNHXS´WKHDWWDFN
)LQDOO\ WKH H[FOXVLRQ RI WKH SDUWLFXODU HYLGHQFH GLG QRW
WUDPSOH %RJJV¶V ULJKW WR SUHVHQW D GHIHQVH JLYHQ WKH
FRQVLGHUDEOHODWLWXGHWKHWULDOFRXUWJUDQWHG%RJJVLQSXUVXLQJ
KLVWKHRU\WKDW%HUPDQIDEULFDWHGWKHUDSHFKDUJHGXHLQSDUW
WRKHUKLVWRU\RIPHQWDOLOOQHVVDQGGUXJXVH$VH[SODLQHG
VXSUD RYHU WKH JRYHUQPHQW¶V REMHFWLRQV WKH WULDO FRXUW
DOORZHG%RJJVWRFURVVH[DPLQH%HUPDQRQKHUKLVWRU\RI
PHQWDOLOOQHVVLQFOXGLQJWKHIDFWWKDWKHUGRFWRUVKDGIRXQG
KHUWRORVHWRXFKZLWKUHDOLW\WKDWVKHUHPDLQHGLQWKHUDS\
ZLWKDSV\FKLDWULVWDQGWKDWVKHKDGEHHQWUHDWHGIRUVXEVWDQFH
DQG GUXJ DEXVH %RJJV DOVR TXHVWLRQHG %HUPDQ¶V PRWKHU
H[WHQVLYHO\DERXWKHUGDXJKWHU¶VKLVWRU\RIPHQWDOLOOQHVVDQG
VXEVWDQFHDEXVH,QLWVFORVLQJDUJXPHQW%RJJV¶VFRXQVHO
UHPLQGHGWKHMXU\RIWKLVWHVWLPRQ\
/L] %HUPDQ DGPLWWHGO\ WHVWLILHG WKDW WKH ODVW IRXUWHHQ
\HDUVVKH¶VVXIIHULQJIURPPHQWDOLOOQHVV6KHUHFHLYHV
>VRFLDO VHFXULW\@ EHFDXVH VKH LV PHQWDOO\ LOO 6KH¶V
DEXVHGGUXJVDQGKDVUHFHLYHGWUHDWPHQWIRUWKDW7KDW
SDUWLFXODUO\ VKH¶V KDG VFKL]RSKUHQLD DQG SV\FKRWLF
HSLVRGHV ORVW WRXFK ZLWK UHDOLW\ 6KH¶V WROG WKH
QHLJKERUV DERXW WZR PRQWKV DJR WKDW VKH KDV KDG
QLJKWPDUHV1RZWKDWGRHVQ¶WPHDQ/L]%HUPDQ¶VDEDG
SHUVRQ%XWLWGRHVSXWVRPHTXHVWLRQRQKHUDELOLW\WR
UHPHPEHUKRZDOORIWKLVKDSSHQHGDQGGHWHUPLQHG>VLF@
ZKHWKHUWKH\ZHUHUHDORUXQUHDO
-$DW
1R %RJJVY&ROOLQV
$W WKDW WLPH %RJJV ZDV UHVLGLQJ ZLWK KLV PRWKHU DW WKH *OHQGDOH
$SDUWPHQW FRPSOH[
2Q FURVVH[DPLQDWLRQ WKH LQYHVWLJDWRU ZKR WHVWLILHG DV WR WKH
DEVHQFH RI VHPHQ RU KDLU VDPSOHV DFNQRZOHGJHG WKDW PRUH RIWHQ WKDQ QRW
KDLU VDPSOHV RI D UDSLVW DUH QRW ³LQWHUFKDQJHG´ ZLWK WKH YLFWLP -$ DW
6KH DOVR WHVWLILHG WKDW LI D UDSLVW HMDFXODWHG LQ WKH PRXWK RI D UDSH
YLFWLP DV %HUPDQ WHVWLILHG %RJJV KDG GRQH VKH ZRXOG QRW EH VXUSULVHG
QRW WR ILQG VHPLQDO IOXLG DW WKH FULPH VFHQH
OHDYLQJDQG,SHFNHGRQWKHGRRU>WR@VHHLI*DU\>5RWKZHOO
KLVERVVDQG%HUPDQ¶VER\IULHQG@KDGPDGHLWLQDQG,
WROGKHUZKHQ*DU\FRPHLQμ0HUU\&KULVWPDV¶DQG,ZHQW
RQP\ZD\´-$DW2YHUWKHUHPDLQGHURIWKHGD\
%RJJVWHVWLILHGKHGUDQNZLWKDQXPEHURISHRSOH%HWZHHQ
VHYHQDQGQLQHR¶FORFNWKDWHYHQLQJKHGUDQNDWKLVEURWKHU¶V
KRXVHZHQWWRDSDUW\DWDIULHQG¶VKRXVH³DQGIURPWKHUH,
MXVW ZHQW DOO RYHU WKH QHLJKERUKRRG´ YLVLWLQJ GLIIHUHQW
QHLJKERUV¶KRPHV-$DW$IWHUQLQH%RJJVH[SODLQHG
³, ZDV MXVW URDPLQJ´ DURXQG D QHDUE\ DSDUWPHQW FRPSOH[
³DJJUDYDWLQJHYHU\ERG\LQWKHZKROHZLGHZRUOG´-$DW
:KLOH %RJJV¶V PRWKHU LQ D GHSRVLWLRQ VWDWHG WKDW
%RJJVDUULYHGKRPHDWWHQILIW\WKDWHYHQLQJKHVWDWHGWKDW
KHFRXOGQRWUHPHPEHUZKDWWLPHKHDUULYHGDWKHUKRXVH
-$ DW +H DOVR GHQLHG KDYLQJ VHHQ (YD :KLWH WKDW
HYHQLQJDQGKDYLQJEHHQWR%HUPDQ¶VDSDUWPHQWDWDQ\WLPH
WKDWQLJKW)LQDOO\KHGHQLHGKDYLQJWROGWKHGHSXW\VKHULII
DQGSUREDWLRQRIILFHUWKDWKHZDVWRRGUXQNWRUHPHPEHUKLV
DFWLRQVDOWKRXJKKHGLGDFNQRZOHGJHWKDWKHWROGKLVPRWKHU
RQ &KULVWPDV GD\ WKDW LI KH ³GLG >UDSH %HUPDQ KH@ GLGQ¶W
UHPHPEHU´-$DW
1HLWKHUKDLU RWKHUWKDQ%HUPDQ¶V QRUVHPHQZDVIRXQGRQ
%HUPDQ¶VSHUVRQRUFORWKLQJRUDQ\ZKHUHLQKHUDSDUWPHQW
$W WULDO%RJJVVKRZHGWKHMXU\WKDWKHKDGIRXUWHHQODUJH
WDWWRRVFRYHULQJKLVHQWLUHXSSHUWRUVR([KLELWVLQWURGXFHG
GXULQJKLVWHVWLPRQ\DOVRVKRZHGWKDW%RJJVKDGDIXOOEHDUG
DW WKH WLPH RI WKH DOOHJHG DWWDFN 6HYHUDO RI %HUPDQ¶V
QHLJKERUVWHVWLILHGWKDWRQWKHQLJKWLQTXHVWLRQWKH\GLGQRW
KHDU VFUHDPV IURP KHU DSDUWPHQW 6HYHUDO ZLWQHVVHV DOVR
-- 5 of 16 --
%RJJVY&ROOLQV 1R
WHVWLILHGWKDWWKH\VDZKLPDWYDULRXVWLPHVEHWZHHQURXJKO\
VHYHQDQGQLQHSP&DWK\-RUGDQWHVWLILHGWKDWVKHVDZKLP
IRXUWLPHVEHWZHHQVHYHQWKLUW\DQGQLQH$SULO-RQHVVDZ
KLPDURXQGVHYHQILIWHHQ5RGQH\'HQQLQJVWDWHGWKDW%RJJV
VWRSSHGE\KLVKRPHIRUDERXWWHQPLQXWHVEHWZHHQHLJKWDQG
QLQH R¶FORFN 6DPXHO DQG 3DXOD )UHHODQG HDFK VWDWHG WKDW
%RJJV ZDV DW WKHLU UHVLGHQFH IRU DERXW ILIWHHQ PLQXWHV
VRPHWLPHEHWZHHQHLJKWDQGWHQSPZLWK3DXOD)UHHODQG
HVWLPDWLQJ WKDW LW ZDV PRVW OLNHO\ EHWZHHQ QLQH DQG QLQH
WKLUW\1RQHRIWKHZLWQHVVHVFRQILUPHG%RJJ¶VZULWWHQDOLEL
WKDWKHZDVDWIULHQGV¶KRXVHVEHWZHHQWHQDQGWHQIRUW\ILYH
-$DW7KRVHZKRZLWQHVVHGKLPVWDWHGWKDW%RJJV
DSSHDUHG YHU\ GUXQN ZLWK VRPH WHVWLI\LQJ WKDW WKH\ FRXOG
VPHOODOFRKRORQKLP
%
7KLV DSSHDO FHQWHUV RQ WKH WULDO FRXUW¶V GHFLVLRQ WR OLPLW
%RJJV¶VFURVVH[DPLQDWLRQRI%HUPDQ6SHFLILFDOO\%RJJV
VRXJKWWRTXHVWLRQ%HUPDQDERXWDIDOVHDFFXVDWLRQRIUDSH
WKDWVKHDOOHJHGO\PDGHDJDLQVWDQRWKHUPDQDSSUR[LPDWHO\
RQHPRQWKEHIRUHVKHDFFXVHG%RJJVRIUDSH%RJJVDOVR
VRXJKWWRLQWURGXFHWKHWHVWLPRQ\RIWZRZLWQHVVHV:LOPD
&RSDV WKH DSDUWPHQW PDQDJHU DQG 5LFN <D]HOO DQRWKHU
WHQDQWFRQFHUQLQJWKHSULRUIDOVHDFFXVDWLRQ$FFRUGLQJWR
%RJJV&RSDVZRXOGKDYHWHVWLILHGWKDW%HUPDQWROGKHUWKDW
VKHKDGEHHQUDSHGE\<D]HOODQG<D]HOOZRXOGKDYHWHVWLILHG
WKDWWKHDFFXVDWLRQZDVXQWUXH7KHWULDOFRXUW KRZHYHU
SURKLELWHGDOOTXHVWLRQLQJFRQFHUQLQJWKHDOOHJHGDFFXVDWLRQ
7KHGLDORJXHDWWULDOZDVDVIROORZV
>%RJJV¶VFRXQVHO@0LVV%HUPDQKDYH\RXHYHUDFFXVHG
DQ\ERG\HOVHRIKDYLQJUDSHG\RXLQWKHSDVW"
>3URVHFXWRU@2EMHFWLRQ\RXU+RQRU
7KH&RXUW6XVWDLQHG
1R %RJJVY&ROOLQV
DGPLVVLRQ%HFDXVHDGRSWLQJWKLVDUJXPHQWZRXOGFDUYHRXW
DWURXEOLQJH[FHSWLRQWRRXUHYLGHQWLDU\LQFOLQDWLRQVLQRQO\
WKHVH[XDODVVDXOWDQGUDSHFRQWH[WDQGFHPHQWWKDWH[FHSWLRQ
LQWR RXU LQWHUSUHWDWLRQ RI WKH &RQVWLWXWLRQ ZH UHMHFW KLV
DUJXPHQW6HHJHQHUDOO\/RSH]Y7H[DV6:G
7H[ &ULP $SS FULWLFL]LQJ FRXUW GHFLVLRQV
SURYLGLQJ DQ H[FHSWLRQ WR HYLGHQWLDU\ UXOHV IRU SULRU IDOVH
DFFXVDWLRQVRIVH[XDODEXVH
0RUHRYHU RQ FORVH H[DPLQDWLRQ WKH SULRU DFFXVDWLRQ
FKDUDFWHUL]HG E\ %RJJV GLIIHUV LQ LPSRUWDQW ZD\V IURP
%HUPDQ¶V DFFRXQW RI WKH DWWDFN E\ %RJJV $FFRUGLQJ WR
%RJJV %HUPDQ VLPSO\ IDEULFDWHG DQ DFFXVDWLRQ DJDLQVW
<D]HOO RXW RI ZKROH FORWK 7KLV %RJJV VXJJHVWV ZDV
FRQVLVWHQWZLWK%HUPDQ¶VKLVWRU\RIPHQWDOLOOQHVVDQGSDVW
³GHOXVLRQVDQGKDOOXFLQDWLRQV´%RJJV¶V%UDW,Q
RWKHU ZRUGV VKH VLPSO\ ³PDGH XS´ WKH HYHQW ³FU\>LQJ@
:ROI´,QFRQWUDVWWKHSK\VLFDOHYLGHQFHVWURQJO\VXSSRUWV
%HUPDQ¶VFODLPWKDWVKHVXIIHUHGIURPDYLROHQWSK\VLFDODQG
VH[XDODWWDFNRQ&KULVWPDV(YH'U9RONIRXQGWKDWDQ
DQWHULRU UHFWDO DQG DQDO ODFHUDWLRQ KDG RFFXUUHG ³YHU\
UHFHQWO\´DQGZDVVWLOO³IUHVKO\EOHHGLQJ´-$DWDQG
GHVFULEHG EUXLVHV DQG FRQWXVLRQV DERYH KHU OHIW H\H DQ
HSLVFOHUDKHPDWRPDLQKHUOHIWH\HFRQVLVWHQWZLWKDVWULNLQJ
EORZDQGDQDEUDVLRQRQKHUFKHVWWKDWDSSHDUHGWRUHVXOW
IURP³VRPHWKLQJ>@VFUDWFK>LQJ@GRZQKHUQHFNDQGFKHVW´
-$ DW +H IXUWKHU VWDWHG WKDW WKHVH LQMXULHV ZHUH
FRQVLVWHQWZLWKWKHYLROHQWSK\VLFDODVVDXOWDQGUDSH%HUPDQ
KDGGHVFULEHG3ROLFHDOVRIRXQGEORRGVWDLQVRQDEHGVKHHW
DQGRQ%HUPDQ¶VUREH-$DW7KLVPHGLFDO
WHVWLPRQ\ZHQWXQFKDOOHQJHGE\%RJJVDQG%RJJVIDLOHGWR
DGGXFHWHVWLPRQ\DVWRRWKHUSRVVLEOHVRXUFHVRIVXFKLQMXULHV
*LYHQWKHVHYHU\UHDOLQMXULHV%RJJV¶VDOOHJDWLRQWKDW%HUPDQ
ZKROO\IDEULFDWHGRQDSUHYLRXVRFFDVLRQZRXOG WKXVKDYH
FDUULHG RQO\ PDUJLQDO SUREDWLYH YDOXH DV WR ZKHWKHU VKH
DFFXUDWHO\LGHQWLILHG%RJJVDVWKHSHUSHWUDWRURIWKHDWWDFN
WKDWVKHFOHDUO\HQGXUHG,QRWKHUZRUGV%RJJV¶VVXJJHVWLRQ
DWWULDOWKDWWKHSULRUDOOHJHGIDEULFDWLRQVKRZV³VKH¶VPDGHLW
XSDJDLQ´DQGWKDW³VKH¶VPDGHXSDOORIWKLV´VLPSO\ULQJV
-- 6 of 16 --
%RJJVY&ROOLQV 1R
VWDWHDQGIHGHUDOUXOHPDNHUVKDYH³EURDGODWLWXGH´XQGHUWKH
&RQVWLWXWLRQ WR HVWDEOLVK UXOHV H[FOXGLQJ HYLGHQFH IURP
FULPLQDOWULDOV8QLWHG6WDWHVY6FKHIIHU86
WKH6XSUHPH&RXUWKDVWUHDGFDUHIXOO\ZKHQDVVHVVLQJ
ZKHWKHU WKH H[FOXVLRQ RI FHUWDLQ HYLGHQFH DPRXQWV WR D
FRQVWLWXWLRQDOYLRODWLRQ5XOHVH[FOXGLQJHYLGHQFH³GRQRW
DEULGJHDQDFFXVHG¶VULJKWWRSUHVHQWDGHIHQVHVRORQJDVWKH\
DUHQRWμDUELWUDU\¶RUμGLVSURSRUWLRQDWHWRWKHSXUSRVHWKH\DUH
GHVLJQHGWRVHUYH¶´,G TXRWLQJ5RFNY$UNDQVDV86
7KHH[FOXVLRQRIHYLGHQFHLVDUELWUDU\RU
GLVSURSRUWLRQDWH³RQO\ZKHUHLWKDVLQIULQJHGXSRQDZHLJKW\
LQWHUHVWRIWKHDFFXVHG´,GVHH:RQJY0RQH\)G
WK&LU
*LYHQWKHVHVWDQGDUGVZHGRQRWILQGWKDWWKHH[FOXVLRQRI
WKHWHVWLPRQ\UHJDUGLQJWKHSULRUUDSHDFFXVDWLRQLPSOLFDWHG
%RJJV¶VFRQVWLWXWLRQDOULJKWWRSUHVHQWDGHIHQVH)LUVWWKLV
HYLGHQFHZDVQRWVRKLJKO\SUREDWLYHRIWKHFKDUJHVDJDLQVW
%RJJVVRDVWREHFRQVWLWXWLRQDOO\UHTXLUHG%RJJVZDVDVNLQJ
WKH MXU\ WR LQIHU WKDW WKH DOOHJHG SULRU LQFLGHQW PHDQW WKDW
%HUPDQZDVDOVRDFFXVLQJ%RJJVIDOVHO\%XWRXUUXOHVRI
HYLGHQFH JHQHUDOO\ IURZQ XSRQ XVLQJ HYLGHQFH RI SDVW
³ZURQJV´RU³DFWV´WRVKRZ³WKHFKDUDFWHURIDSHUVRQLQRUGHU
WRVKRZDFWLRQLQFRQIRUPLW\WKHUHZLWK´RQDODWHURFFDVLRQ
6HH )HG 5 (YLG E 2KLR 5 (YLG E VHH DOVR
+XJKHV)GDW6LPLODUFRQFHUQVDQFKRU5XOH V
SURKLELWLRQ RI H[WULQVLF HYLGHQFH WR SURYH ³>V@SHFLILF
LQVWDQFHVRIWKHFRQGXFWRIWKHZLWQHVV>@IRUWKHSXUSRVHRI
DWWDFNLQJ RU VXSSRUWLQJ WKH ZLWQHVV¶V FKDUDFWHU IRU
WUXWKIXOQHVV´DQGSODFLQJZLWKLQWKHGLVFUHWLRQRIWKHWULDO
FRXUWZKHWKHUWRDOORZFURVVH[DPLQDWLRQRQVSHFLILFFRQGXFW
ZKHQLWLV³SUREDWLYHRIWUXWKIXOQHVVRUXQWUXWKIXOQHVV´)HG
5(YLG E VHHDOVR2KLR(YLG5 E 6XFKUXOHV
DUHGHVLJQHGWRSUHYHQWGLVWUDFWLQJPLQLWULDOVRQFROODWHUDO
PDWWHUV6HH8QLWHG6WDWHVY5LGGOH)G WK
&LU %RJJV DVNV XV QRW RQO\ WR ORRN SDVW WKH
VNHSWLFLVPH[SUHVVHGWKURXJKVXFKEHGURFNUXOHVEXWWRKROG
WKDW%HUPDQ¶VDOOHJHGSDVWIDOVHDFFXVDWLRQRIUDSHZDVVR
SUREDWLYH RI ERWK KHU FUHGLELOLW\ DQG WKH UHOLDELOLW\ RI KHU
DFFXVDWLRQDJDLQVW%RJJVWKDWWKH&RQVWLWXWLRQ UHTXLUHGLWV
1R %RJJVY&ROOLQV
>%RJJV¶V FRXQVHO@ <RXU KRQRU , KDYH WHVWLPRQ\ WR
SUHVHQWWKDWVKHWROG0UV&RSDVWKDW5LFN<D]HOOUDSHG
KHU DSSUR[LPDWHO\ D PRQWK EHIRUH WKLV WLPH DQG 5LFN
<D]HOOZLOOWHVWLI\WKDWKHGLGQRW
>3URVHFXWRU@6RZKDW"
>%RJJV¶VFRXQVHO@:HOOVKH¶VPDGHLWXSDJDLQWKDW¶V
ZKDW,ZDQWWRILQGRXWLIVKH¶VPDGHXSDOORIWKLV
7KH&RXUW7KHRQO\WKLQJZRXOGEHWKHFUHGLELOLW\DVSHFW
DQG\HWZH¶UHJRLQJULJKWEDFNLQWKHEDFNGRRU
>%RJJV¶V FRXQVHO@ ,¶P QRW DVNLQJ DERXW KHU VH[XDO
DFWLYLW\ZLWKRWKHUSHRSOH$OO,¶PDVNLQJLVLIVKHHYHU
DFFXVHGVRPHRQHHOVHEHIRUH
>7KHFRXUWVXVWDLQHGWKHREMHFWLRQ@
-$DW
/DWHUEHIRUH%RJJVEHJDQGLUHFWH[DPLQDWLRQRI&RSDVWKH
6WDWHUHTXHVWHGWKDWWKHFRXUWSUHFOXGHDQ\TXHVWLRQVDERXWWKH
DOOHJHGSULRUIDOVHDFFXVDWLRQ%RJJV¶VFRXQVHOUHVSRQGHG
WKDW ³LI VKH¶V SUHYLRXVO\ FULHG μZROI¶ , WKLQN WKDW¶V
SHUWLQHQW>%HUPDQ@LQIRUPHGWKLVZRPDQWKDWVRPHERG\
KDGUDSHGKHUDERXWDPRQWKHDUOLHUDQGWKHUHZDVQRWKLQJ
KDSSHQHG´-$DW7KHFRXUWDJUHHGZLWKWKH6WDWHDQG
EDUUHGH[DPLQDWLRQRQWKLVVXEMHFW
&
$IWHU WKH MXU\ FRQYLFWHG %RJJV %RJJV UDLVHG VL[
DVVLJQPHQWVRIHUURURQDSSHDOLQFOXGLQJWKDWWKHWULDOFRXUW
LPSURSHUO\UHVWULFWHGFURVVH[DPLQDWLRQRQWKHDOOHJHGSULRU
IDOVHDFFXVDWLRQ2Q0D\2KLR¶V)RXUWK'LVWULFW
&RXUWRI$SSHDOVUHYHUVHG%RJJV¶VFRQYLFWLRQEDVHGRQWKH
SULRUIDOVHDFFXVDWLRQLVVXH6HH6WDWHY%RJJV1R&$
:/ 2KLR&W$SS $VVXPLQJWKDWWKHWULDO
FRXUWKDGSUHFOXGHGWKHFURVVH[DPLQDWLRQSXUVXDQWWR2KLR¶V
UDSH VKLHOG ODZ 2KLR 5HY &RGH $QQ '
-- 7 of 16 --
%RJJVY&ROOLQV 1R
$QGHUVRQ WKHFRXUWFRQFOXGHGWKDWDIDOVHDFFXVDWLRQ
RIUDSHGRHVQRWIDOOZLWKLQWKHGHILQLWLRQRI³VH[XDODFWLYLW\´
XQGHUWKHUDSHVKLHOGODZDQGVKRXOGQRWEHH[FOXGHGRQWKDW
JURXQG7KHFRXUWDOVRQRWHGWKDW³>L@WLVZHOOVHWWOHGWKDW
FULPLQDOGHIHQGDQWVKDYHWKHULJKWWRFRQIURQWWKHZLWQHVVHV
DJDLQVWWKHPXQGHUERWKWKH6L[WK$PHQGPHQWWRWKH8QLWHG
6WDWHV&RQVWLWXWLRQDQGXQGHUWKH2KLR&RQVWLWXWLRQ´,G
DW )LQGLQJWKDW%RJJV¶VFRQYLFWLRQWXUQHGVXEVWDQWLDOO\RQ
%HUPDQ¶V FUHGLELOLW\ WKH FRXUW FRQFOXGHG WKDW LW ZDV
³μLPSHUDWLYHWKDWWKHGHIHQGDQWEHJLYHQDQRSSRUWXQLW\WR
SODFHEHIRUHWKHMXU\HYLGHQFHVRIXQGDPHQWDOO\DIIHFWLQJWKH
FRPSODLQDQW¶V FUHGLELOLW\¶´ ,G DW TXRWLQJ 3HRSOH Y
0LNXOD1:G 0LFK&W$SS 7KH
FRXUWUHDVRQHGIXUWKHUWKDW³LWLVGLIILFXOWWRLPDJLQHDPRUH
μLPSHUDWLYH¶ FDWHJRU\ RI GHIHQVH HYLGHQFH WKDQ WKDW ZKLFK
VKRZV WKH SURFOLYLW\ RI D FRPSODLQDQW WR PDNH UDSH
DFFXVDWLRQV´,G)LQGLQJLWVFRQFOXVLRQWRFRQIOLFWZLWKWKDW
RIDQRWKHU2KLRDSSHOODWHFRXUWWKHFRXUWFHUWLILHGWKHFDVHWR
WKH2KLR6XSUHPH&RXUW
7KH2KLR6XSUHPH&RXUWDJUHHGZLWKWKHFRXUWRIDSSHDOV
WKDW IDOVH DFFXVDWLRQV RI UDSH ZKHUH QR VH[XDO DFWLYLW\ LV
LQYROYHGGRQRWIDOOZLWKLQ2KLR¶VUDSHVKLHOGVWDWXWH6HH
6WDWHY%RJJV1(G 2KLR 5DWKHU
FURVVH[DPLQDWLRQ RI D UDSH YLFWLP UHJDUGLQJ SULRU
DFFXVDWLRQVRIUDSHLVJRYHUQHGE\2KLR(YLG5 % 6HH
LG7KHFRXUWWKHQVHWIRUWKDSURFHGXUHIRUWULDOFRXUWVWR
IROORZLQVXFKVLWXDWLRQV
>,@IGHIHQVHFRXQVHOLQTXLUHVRIDQDOOHJHGUDSHYLFWLPDV
WRZKHWKHUVKHKDVPDGHDQ\SULRUIDOVHDFFXVDWLRQVRI
UDSHDQGWKHYLFWLPDQVZHUVQRWKH WULDOFRXUWZRXOG
KDYH WKH GLVFUHWLRQ WR GHWHUPLQH ZKHWKHU DQG WR ZKDW
H[WHQW GHIHQVH FRXQVHO FDQ SURFHHG ZLWK
FURVVH[DPLQDWLRQ +RZHYHU LI WKH DOOHJHG YLFWLP
DQVZHUVLQWKHDIILUPDWLYHWKHWULDOFRXUWZRXOGKDYHWR
FRQGXFW DQ LQ FDPHUD KHDULQJ WR GHWHUPLQH ZKHWKHU
VH[XDO DFWLYLW\ KDG EHHQ LQYROYHG ,I WKH WULDO FRXUW
GHWHUPLQHGWKDWWKHDFFXVDWLRQVZHUHHQWLUHO\IDOVH WKDW
LV WKDW QR VH[XDO DFWLYLW\ KDG EHHQ LQYROYHG WKH WULDO
1R %RJJVY&ROOLQV
H[SODLQHGRUGHWDLOHG%HUPDQ¶VPHQWDOGLVRUGHUDVGLGWKH
FRXUWV LQ /LQGVWURP DQG 6RFLHW\ RI ,QGHSHQGHQW *DVROLQH
0DUNHWHUVRI$PHULFD,QGHHGLWGRHVQRWDSSHDUWKDWWKH
GHIHQVHVRXJKWWRH[DPLQH%HUPDQ¶VPHQWDOKLVWRU\EH\RQG
LWVFURVVH[DPLQDWLRQRI%HUPDQDQGKHUPRWKHU
,Q 'RUVH\ ZKHQ IDFHG ZLWK D VLPLODU VLWXDWLRQ ZKHUH
FRQVLGHUDEOHFURVVH[DPLQDWLRQKDGEHHQSHUPLWWHGDVWRD
JRYHUQPHQWZLWQHVV¶VSULRUPHQWDOWUHDWPHQWWKLV&RXUWKHOG
WKDWZKHQ³LWLVPHUHO\WKHH[WHQWRIFURVVH[DPLQDWLRQWKDWLV
OLPLWHG WKH WULDO MXGJH UHWDLQV D PXFK ZLGHU ODWLWXGH RI
GLVFUHWLRQ´ 'RUVH\ )G DW ³2QFH FURVV
H[DPLQDWLRQ UHYHDOV VXIILFLHQW LQIRUPDWLRQ WR DSSUDLVH WKH
ZLWQHVVHV¶YHUDFLW\FRQIURQWDWLRQGHPDQGVDUHVDWLVILHG´,G
*LYHQWKHFRQVLGHUDEOHFURVVH[DPLQDWLRQRI%HUPDQ¶VSDVW
PHQWDOFRQGLWLRQDQGWUHDWPHQWZHEHOLHYHWKDWWKHMXU\KDG
VXIILFLHQWLQIRUPDWLRQWRDVVHVV %RJJV¶VDUJXPHQWWKDWKHU
KLVWRU\RIPHQWDOLOOQHVVFDVWGRXEWRQKHUDFFXVDWLRQDJDLQVW
%RJJVVDWLVI\LQJWKH&RQIURQWDWLRQ&ODXVH
,9
%RJJV DOVR DUJXHV WKDW EHFDXVH KH ZDV SUHFOXGHG IURP
LQWURGXFLQJ FUXFLDO HYLGHQFH LQ KLV IDYRU WKH SURFHHGLQJV
EHORZGHSULYHGKLPRIKLVFRQVWLWXWLRQDOULJKWWRSUHVHQWDIXOO
GHIHQVH:HGLVDJUHH
7KH ULJKW WR SUHVHQW D FRPSOHWH DQG PHDQLQJIXO GHIHQVH
HPHUJHVIURPWKH6L[WK$PHQGPHQW¶V&RQIURQWDWLRQ&ODXVH
DQGWKH'XH3URFHVV&ODXVHRIWKH)RXUWHHQWK$PHQGPHQW
6HH&UDQHY.HQWXFN\86 &DOLIRUQLD
Y7URPEHWWD86 ,QFLUFXPVWDQFHV
ZKHUHSURFHGXUDOUXOHVRUWULDOFRXUWGHFLVLRQVKDYHH[FOXGHG
HYLGHQFH LQ D ZD\ WKDW GHQLHV D GHIHQGDQW D IDLU WULDO WKH
6XSUHPH&RXUWKDVIRXQGDYLRODWLRQRIWKDWGHIHQGDQW¶VULJKW
WRSUHVHQWDGHIHQVH6HH&UDQH86DW ILQGLQJWKDW
WKHWULDOFRXUWYLRODWHG&UDQH¶VULJKWWRSUHVHQWDGHIHQVHZKHQ
LW H[FOXGHG HYLGHQFH EHDULQJ RQ WKH FUHGLELOLW\ RI KLV
FRQIHVVLRQ &KDPEHUV86DW LQYDOLGDWLQJDVWDWH¶V
KHDUVD\UXOHEHFDXVHLWYLRODWHGDGHIHQGDQW¶VULJKWWRSUHVHQW
ZLWQHVVHVLQKLVRZQGHIHQVH $WWKHVDPHWLPHILQGLQJWKDW
-- 8 of 16 --
%RJJVY&ROOLQV 1R
FRXUWSUHFOXGHGHYLGHQFHWKDWDZLWQHVVZDVDWWKHWLPHRI
HYHQWVLQTXHVWLRQEHLQJWUHDWHGIRUPHQWDOLOOQHVVUHQGHULQJ
KLPGHOXVLRQDODQGKDOOXFLQDWRU\
8QOLNHFDVHVVXFKDV/LQGVWURPDQG*UHHQHWKHWULDOFRXUW
EHORZJUDQWHG%RJJVFRQVLGHUDEOHOHHZD\LQFURVVH[DPLQLQJ
%HUPDQ RQ KHU KLVWRU\ RI PHQWDO LOOQHVV 2XWVLGH RI WKH
SUHVHQFHRIWKHMXU\WKHWULDOFRXUWKHDUG%HUPDQGHVFULEHKHU
SDVW WUHDWPHQW IRU PHQWDO LOOQHVV DQG VXEVWDQFH DEXVH
FRQFOXGLQJ WKDW ³LW ZRXOG EH FHUWDLQO\ XQIDLU XQGHU WKH
FLUFXPVWDQFHVWRQRWSHUPLWWKHGHIHQGDQWWRDWOHDVWLQTXLUH
DVWRZKHWKHURUQRWWKHGRFWRUDWWLPHVIHOWOLNHVKHZDVRXW
RIWRXFKZLWKUHDOLW\´-$DW7KHUHIRUHRYHUWKH
REMHFWLRQRIWKHSURVHFXWRUWKHFRXUWSHUPLWWHG%RJJVWRHOLFLW
IURPERWK%HUPDQDQGKHUPRWKHUWKDWGRFWRUVKDGSUHYLRXVO\
IRXQGKHUWRKDYHVXIIHUHGSV\FKRWLFHSLVRGHVLQZKLFKVKH
KDGORVWWRXFKZLWKUHDOLW\-$DW7KHGHIHQVHDOVR
HOLFLWHGWKDW%HUPDQKDGEHHQKRVSLWDOL]HGIRUPHQWDOLOOQHVV
DQGVXEVWDQFHDEXVHRQQXPHURXVRFFDVLRQVLQWKHSDVWZLWK
KHU ODVW KRVSLWDOL]DWLRQ KDYLQJ EHHQ DSSUR[LPDWHO\ VL[ RU
VHYHQ \HDUV EHIRUH WKH HYHQWV LQ TXHVWLRQ %HUPDQ DOVR
WHVWLILHG XQGHU FURVVH[DPLQDWLRQ WKDW VKH KDG EHHQ
XQGHUJRLQJWUHDWPHQWIRUVXEVWDQFHDEXVHDQGPHQWDOKHDOWK
LQWKH\HDUVVLQFHWKDWKRVSLWDOL]DWLRQDOWKRXJKERWKVKHDQG
KHUPRWKHUWHVWLILHGWKDWKHUFRQGLWLRQKDGLPSURYHGLQUHFHQW
\HDUV-$DW7KHZLWQHVVHVVSRNHDPELJXRXVO\DERXW
WKHVSHFLILFPHQWDOLQILUPLW\%HUPDQVXIIHUHGQRWLQJWKDWVKH
ZDV³VRPHWLPHV´VFKL]RSKUHQLFRUVKRZHG³VFKL]RSKUHQLD
OLNH´ WHQGHQFLHV DQG KDG VXIIHUHG GHSUHVVLRQ SV\FKRWLF
HSLVRGHV DQG QLJKWPDUHV -$ DW %RJJV DOVR
HOLFLWHGWKDWVKHUHFHLYHGVRFLDOVHFXULW\EHQHILWVGXHWRKHU
PHQWDOLOOQHVV7KLVZLGHRSHQLQTXLU\LQWR%HUPDQ¶VPHQWDO
KHDOWKVWDUNO\FRQWUDVWVZLWKFDVHVVXFKDV/LQGVWURPZKHUH
WKHMXU\³ZDVGHQLHGDQ\HYLGHQFHRQZKHWKHU>D@NH\ZLWQHVV
ZDVDVFKL]RSKUHQLFZKDWVFKL]RSKUHQLDPHDQVDQGZKHWKHU
LWDIIHFWVRQH¶VSHUFHSWLRQVRIH[WHUQDOUHDOLW\´)GDW
DQG *UHHQH ZKHUH WKH GHIHQVH ZDV ³DEVROXWH>O\@
SURKLELW>HG@´ IURP LQTXLULQJ LQWR D NH\ ZLWQHVV¶V UHFHQW
KLVWRU\RIPHQWDOLQVWDELOLW\)GDW1RUGLGWKH
FRXUWDWDQ\SRLQWOLPLWRWKHUHYLGHQFHWKDWPD\KDYHIXUWKHU
1R %RJJVY&ROOLQV
FRXUWZRXOGWKHQEHSHUPLWWHGWRH[HUFLVHLWVGLVFUHWLRQ
LQ GHWHUPLQLQJ ZKHWKHU WR SHUPLW GHIHQVH FRXQVHO WR
SURFHHGZLWKFURVVH[DPLQDWLRQRIWKHDOOHJHGYLFWLP
:H WKHUHIRUH KROG WKDW ZKHUH DQ DOOHJHG UDSH YLFWLP
DGPLWVRQFURVVH[DPLQDWLRQWKDWVKHKDVPDGHDSULRU
IDOVHUDSHDFFXVDWLRQWKHWULDOMXGJHVKDOOFRQGXFWDQLQ
FDPHUDKHDULQJWRDVFHUWDLQZKHWKHUVH[XDODFWLYLW\ZDV
LQYROYHGDQGDVDUHVXOWZRXOGEHSURKLELWHGE\5&
' RU ZKHWKHU WKH DFFXVDWLRQ ZDV WRWDOO\
XQIRXQGHG DQG WKHUHIRUH FRXOG EH LQTXLUHG LQWR RQ
FURVVH[DPLQDWLRQSXUVXDQWWR(YLG5 %
,GDW7KHFRXUWDOVRHVWDEOLVKHGDSHUVHUXOHWKDW
SULRU IDOVH DOOHJDWLRQV RI VH[XDO DVVDXOW ³DUH DQ HQWLUHO\
FROODWHUDO PDWWHU´ DQG WKHUHIRUH ³PD\ QRW EH SURYHG E\
H[WULQVLFHYLGHQFH´,GDW)LQDOO\WKHFRXUWH[SODLQHG
WKDWWKLVDSSURDFKGLGQRWYLRODWHWKH&RQIURQWDWLRQ&ODXVH
6HHLG ³7KHULJKWVWRFRQIURQWZLWQHVVHVDQGWRGHIHQGDUH
QRWDEVROXWHDQGPD\ERZWRDFFRPPRGDWHRWKHUOHJLWLPDWH
LQWHUHVWVLQWKHFULPLQDOSURFHVV´ $FFRUGLQJO\WKHFRXUW
UHYHUVHG DQG UHPDQGHG %RJJV¶V FDVH WR WKH WULDO FRXUW WR
FRQGXFWDQLQFDPHUDKHDULQJ6HHLGDW
2Q 0D\ WKH WULDO FRXUW KHOG D KHDULQJ RQ
%HUPDQ¶V DOOHJHG SULRU IDOVH DFFXVDWLRQ RI UDSH $W WKH
KHDULQJ%HUPDQGHQLHGKDYLQJPDGHDQ\VXFKDFFXVDWLRQ
-$ DW :KHQ %RJJV VRXJKW WR LQWURGXFH WKH
FRQWUDGLFWRU\WHVWLPRQ\RI<D]HOODQG&RSDVWKHWULDOFRXUW
UHIXVHG WR KHDU LW DOWKRXJK LW DOORZHG %RJJV¶V DWWRUQH\ WR
VXPPDUL]H WKHLU DFFRXQWV -$ DW SURIIHULQJ WKDW
&RSDVVWDWHGWKDW%HUPDQWROGKHU³WKUHHWRILYHZHHNVSULRU
WRWKHDOOHJDWLRQVDJDLQVW0U%RJJVWKDW5LFN<D]HOOKDG
UDSHGKHU´DQGWKDW<D]HOOVWDWHGWKDWKHGLGQRWKDYHDVH[XDO
UHODWLRQVKLS ZLWK %HUPDQ LQ WKH IRXU PRQWKV SULRU WR WKH
DOOHJDWLRQVDJDLQVW%RJJV &UHGLWLQJ%HUPDQ¶VWHVWLPRQ\
WKH FRXUW IRXQG QR UHDVRQ WR UHRSHQ WKH FDVH DQG GHQLHG
%RJJV¶VUHTXHVWIRUDQHZWULDO-$DW
2Q0D\WKH2KLR&RXUWRI$SSHDOVDJDLQUHYHUVHG
WKH WULDO FRXUW FRQFOXGLQJ WKDW %RJJV VKRXOG KDYH EHHQ
-- 9 of 16 --
%RJJVY&ROOLQV 1R
7KHUH LV QR UHFRUG RI WKLV KHDULQJ $Q DIILGDYLW VLJQHG E\ %RJJV¶V
GHIHQVH FRXQVHO DW WKH WLPH VWDWHG WKDW &RSDV WKH DSDUWPHQW PDQDJHU
WHVWLILHG WKDW LQ 1RYHPEHU RU HDUO\ 'HFHPEHU VKH UHFHLYHG D SKRQH
FDOO IURP %HUPDQ DQG WKDW %HUPDQ FODLPHG WKDW <D]HOO DQRWKHU WHQDQW
KDG SXOOHG D NQLIH RQ KHU DQG UDSHG KHU -$ DW 6KH IXUWKHU VWDWHG
WKDW GHVSLWH KHU VXJJHVWLRQ WKDW %HUPDQ FDOO WKH SROLFH DERXW WKH LQFLGHQW
%HUPDQ GLG QRW GR VR VKH DOVR WHVWLILHG WKDW ZKHQ VKH DVNHG <D]HOO DERXW
WKH DOOHJDWLRQ KH GHQLHG LW 1H[W <D]HOO D QHLJKERU RI %HUPDQ WHVWLILHG
+H VWDWHG WKDW KH QHYHU DVVDXOWHG %HUPDQ DQG WKDW ZKHQ &RSDV DVNHG KLP
DERXW %HUPDQ¶V FKDUJH KH KDG GHQLHG LW +H DOVR VWDWHG WKDW KH ZDV QHYHU
TXHVWLRQHG E\ WKH SROLFH DERXW WKH DOOHJDWLRQ )LQDOO\ %HUPDQ WHVWLILHG
DW WKH KHDULQJ 6KH FODLPHG WKDW VKH RQO\ WROG &RSDV WKDW <D]HOO KDG
WKUHDWHQHG DQG VODSSHG KHU DQG QRW WKDW KH KDG UDSHG KHU
SHUPLWWHGWRLQWURGXFHH[WULQVLFHYLGHQFHRIWKHSULRUIDOVH
DFFXVDWLRQDWWKHLQFDPHUDKHDULQJ6HH6WDWHY%RJJV
1(G 2KLR&W$SS ,WUHPDQGHGIRUDQHZ
LQ FDPHUDKHDULQJLQVWUXFWLQJWKDWLIWKHSULRUDFFXVDWLRQV
ZHUHXQIRXQGHGDQGGLGQRWLQYROYHVH[XDODFWLYLW\%RJJV
VKRXOGKDYHEHHQSHUPLWWHGWRFURVVH[DPLQHWKHZLWQHVVRQ
WKLV LVVXH EHIRUH WKH MXU\ DQG WKDW D QHZ WULDO ZRXOG EH
UHTXLUHG6HHLGDW5HJDUGLQJ%RJJV¶VFRQVWLWXWLRQDO
DUJXPHQWWKHFRXUWFRQFOXGHGWKDWLWZDVERXQGE\WKH2KLR
6XSUHPH&RXUW¶VFRQFOXVLRQWKDWWKH&RQIURQWDWLRQ&ODXVH
ZDV QRW LPSOLFDWHG 6HH LG :KLOH WKH WULDO FRXUW KHOG D
VHFRQG LQ FDPHUD KHDULQJ SXUVXDQW WR WKLV UHPDQG %RJJV
DSSHDOHGWKHFRQVWLWXWLRQDODVSHFWRIWKHUXOLQJWRWKH2KLR
6XSUHPH&RXUW
2Q$XJXVWDIWHUKDYLQJFRQGXFWHGDQLQFDPHUD
KHDULQJLQZKLFK&RSDVDQG<D]HOOWHVWLILHGWKHWULDOFRXUW
GHQLHG %RJJV¶V UHTXHVW IRU D QHZ WULDO DQG UHDIILUPHG KLV
FRQYLFWLRQV,WFRQFOXGHGWKDW%HUPDQKDGVKRZQE\FOHDU
DQG FRQYLQFLQJ HYLGHQFH WKDW VKH KDG QRW PDGH DQ\ SULRU
DFFXVDWLRQVRIUDSH-$DW%RJJVGLGQRWDSSHDO
WKLV GHFLVLRQ 2Q 1RYHPEHU WKH 2KLR 6XSUHPH
&RXUWGHFOLQHGWRKHDUWKHFRQVWLWXWLRQDOLVVXHRQDSSHDOIRU
DVHFRQGWLPH6HH6WDWHY%RJJV1(G 2KLR
6XS&W
1R %RJJVY&ROOLQV
WK&LU FRXUWVKROGWKDWWKHGHFLVLRQRIZKHWKHURU
QRWWRDOORZLQHYLGHQFHRIDZLWQHVV¶VPHQWDOLOOQHVVIDOOV
ZLWKLQ WKH EURDG GLVFUHWLRQ RI WULDO FRXUWV DV WKH\ EDODQFH
SRVVLEOHSUHMXGLFHYHUVXVSUREDWLYHYDOXH6HHHJ8QLWHG
6WDWHVY0RRUH)G VW&LU VWDWLQJ
WKDWWKHGLVWULFWFRXUW³KDVEURDGGLVFUHWLRQDU\DXWKRULW\ WR
SURKLELWFURVVH[DPLQDWLRQ´LQFOXGLQJWKHH[WHQWWRZKLFKLW
DOORZV H[DPLQDWLRQ DERXW D ZLWQHVV¶V FRQGLWLRQ RI PHQWDO
LQVWDELOLW\ %UH\HU &- 8QLWHG 6WDWHV Y %DUL )G
G&LU ILQGLQJQRDEXVHRIGLVFUHWLRQ
ZKHQ WULDO MXGJH ZRXOG QRW SHUPLW FURVVH[DPLQDWLRQ RQ
ZLWQHVV¶V SULRU KRVSLWDOL]DWLRQ IRU VFKL]RSKUHQLD 8QLWHG
6WDWHV Y 6PLWK )G '& &LU ³2I
FRXUVH D KLVWRU\ RI PHQWDO LOOQHVV LV QRW QHFHVVDULO\
DGPLVVLEOH DV LPSHDFKPHQW HYLGHQFH´ )DFWRUV D FRXUW
VKRXOGFRQVLGHULQDOORZLQJLQVXFKHYLGHQFHDUHWKHQDWXUHRI
WKH SV\FKRORJLFDO SUREOHP WKH WHPSRUDO UHFHQF\ RU
UHPRWHQHVVRIWKHFRQGLWLRQDQGZKHWKHUWKHZLWQHVVVXIIHUHG
IURPWKHFRQGLWLRQDWWKHWLPHRIWKHHYHQWVWRZKLFKVKHLVWR
WHVWLI\6HH8QLWHG6WDWHVY6DVVR)G G
&LU &RQVLVWHQW ZLWK WKHVH FDVHV DQG 'DYLV VRPH
FRXUWV KDYHIRXQG&RQIURQWDWLRQ&ODXVHYLRODWLRQVZKHQD
ZLWQHVV¶VPHQWDOFRQGLWLRQZDVUHOHYDQWWRDGHIHQVHWKHRU\
RI PRWLYH RU ELDV RU ZKHQ WKH FRQGLWLRQ ZDV VXIILFLHQWO\
VHYHUHDVZHOODVVRFORVHO\WLHGWRWKHHYHQWVLQTXHVWLRQVRDV
WRFDVWGRXEWRQWKDWZLWQHVV¶VDELOLW\WRSHUFHLYHRULQWHUSUHW
WKH HYHQWV LQ TXHVWLRQ 6HH HJ /LQGVWURP )G DW
UHYHUVLQJDFRQYLFWLRQEHFDXVHWKHWULDOFRXUWOLPLWHG
FURVVH[DPLQDWLRQDQGSURKLELWHGWKHGHIHQVHIURPDFFHVVLQJ
WKHSV\FKLDWULFUHFRUGVRIWKHJRYHUQPHQW¶VVWDUZLWQHVVDQG
EHFDXVHGHIHQVH¶VWKHRU\ZDVWKDWWKHZLWQHVV¶VVHYHUHDQG
RQJRLQJPHQWDOLOOQHVVKDGJLYHQKHUDQLPSURSHUPRWLYHIRU
DFFXVLQJ WKH GHIHQGDQW RI ZURQJGRLQJ *UHHQH Y
:DLQZULJKW)G WK&LU JUDQWLQJ
KDEHDV SHWLWLRQ EHFDXVH WULDO FRXUW KDG QRW DOORZHG FURVV
H[DPLQDWLRQ RQ ZLWQHVV¶V KLVWRU\ RI PHQWDO LOOQHVV ZKLFK
SURKLELWHG³DQ\H[SORUDWRU\LQTXLU\E\GHIHQVHFRXQVHOLQWR
>WKH ZLWQHVV¶V@ SRVVLEOH ELDV RU PRWLYH´ 8QLWHG 6WDWHV Y
6RFLHW\RI,QGHS*DVROLQH0DUNHWHUVRI$P)G
WK&LU ILQGLQJDEXVHRIGLVFUHWLRQZKHQDGLVWULFW
-- 10 of 16 --
%RJJVY&ROOLQV 1R
2XU FDUH LQ DGKHULQJ WR WKLV GLVWLQFWLRQ DULVHV LQ SDUW IURP WKH
JHQHUDO FRQFHUQ UDLVHG E\ WKH 2KLR 6XSUHPH &RXUW WKDW D FOHDUO\
DUWLFXODWHG UXOH ZKHWKHU LW EH D UXOH RI FRQVWLWXWLRQDO ODZ RU RQH RI
HYLGHQFH EH DSSOLHG FRQVLVWHQWO\ 6HH JHQHUDOO\ %RJJV 1(G DW
VWDWLQJ WKDW HYLGHQWLDU\ UXOH VKRXOG QRW EH DSSOLHG GLIIHUHQWO\ ³PHUHO\
EHFDXVH WKH FKDUJH LV RQH LQYROYLQJ D VH[XDO DVVDXOW´ 7R DOORZ %RJJV
WR SUHYDLO RQ KLV DUJXPHQW WKDW WKH &RQIURQWDWLRQ &ODXVH FRPSHOV FURVV
H[DPLQDWLRQ HYHQ ZKHQ KLV SXUSRVH ZDV WR DWWDFN %HUPDQ¶V FUHGLELOLW\
JHQHUDOO\ ZRXOG FDUYH RXW D WURXEOLQJ H[FHSWLRQ LQ WKH UDSH FRQWH[W WR DQ
RWKHUZLVH FOHDU DQG XQLIRUP UXOH 6HH JHQHUDOO\ 'HQLVH 5 -RKQVRQ 3ULRU
)DOVH $FFXVDWLRQV RI 5DSH )DOVXV LQ 8QR )DOVXV LQ 2PQLEXV <$/(
-/ )(0,1,60 H[DPLQLQJ WKH RULJLQV DQG LPSOLFDWLRQV RI
FRXUWV¶ WUHDWLQJ SULRU DFFXVDWLRQV GLIIHUHQWO\ WKDQ RWKHU W\SHV RI FUHGLELOLW\
HYLGHQFH
DUWLFXODWLQJDWKHRU\RIPRWLYHRUSDUWLDOLW\GRHVQRWLPSOLFDWH
WKHULJKWVFDUHIXOO\RXWOLQHGLQ'DYLV
)LQDOO\ERWK%RJJVDQGWKHPDJLVWUDWHFRXUWLQGLFDWHWKDW
WKHLQWHQGHGFURVVH[DPLQDWLRQZHQWWR%HUPDQ¶V³VWDWHRI
PLQG´LQEULQJLQJWKHUDSHFKDUJHVDJDLQVW%RJJVDQGZDV
WKHUHIRUHFRPSHOOHGE\WKH&RQIURQWDWLRQ&ODXVH6HH-$DW
VWDWLQJ WKDW WKH HYLGHQFH GHIHQVH FRXQVHO VRXJKW WR
HOLFLWRQFURVVH[DPLQDWLRQ³ZDVKLJKO\UHOHYDQWWRWKHLVVXHV
RIWKHYLFWLP¶VFUHGLELOLW\DQGKHUPRWLYHVRUVWDWHRIPLQGLQ
EULQJLQJWKHUDSHFKDUJH´ HPSKDVLVDGGHG %RJJV¶V%UDW
HFKRLQJWKHPDJLVWUDWHFRXUWWKDWWKHMXU\³ZDVHQWLWOHGWR
FRQVLGHU KHU PRWLYHV RU VWDWH RI PLQG LQ EULQJLQJ WKH UDSH
FKDUJHVDJDLQVW0U%RJJV´ HPSKDVLVDGGHG ,WLVQRWFOHDU
WRXVKRZWKLVXQVSHFLILHG³VWDWHRIPLQG´MXVWLILFDWLRQILWV
ZLWKLQWKHFRQVWLWXWLRQDODQDO\VLVUHTXLUHGE\'DYLVDQGLWV
SURJHQ\+RZHYHUERWKDWWULDODQGRQDSSHDO%RJJVSRLQWHG
WR %HUPDQ¶V KLVWRU\ RI PHQWDO LOOQHVV WR FDVW GRXEW RQ WKH
UHOLDELOLW\RIKHUDFFXVDWLRQVDJDLQVW%RJJV7RWKHH[WHQW
WKDWWKLVUHIHUHQFHWR%HUPDQ¶V³VWDWHRIPLQG´LVDQH[WHQVLRQ
RI WKDW DUJXPHQW ZH GR QRW ILQG D &RQIURQWDWLRQ &ODXVH
YLRODWLRQ
:KLOHPHQWDOLOOQHVVFDQLQGHHGEHUHOHYDQWWRDZLWQHVV¶V
FUHGLELOLW\VHH8QLWHG6WDWHVY%XWW)G VW&LU
8QLWHG6WDWHVY/LQGVWURP)G
1R %RJJVY&ROOLQV
'
2Q 0DUFK %RJJV EURXJKW WKLV KDEHDV FRUSXV
DFWLRQ SXUVXDQW WR 86& $PRQJ RWKHU
DUJXPHQWVKHFRQWHQGHGWKDWKHZDVGHQLHGERWKKLV6L[WK
$PHQGPHQW&RQIURQWDWLRQ&ODXVHULJKWDQGKLVFRQVWLWXWLRQDO
ULJKWWRSUHVHQWDGHIHQVH$IWHUWKHGLVWULFWFRXUWGLVPLVVHG
WKH SHWLWLRQ ZLWKRXW SUHMXGLFH EHFDXVH %RJJV KDG QRW
H[KDXVWHG KLV VWDWH UHPHGLHV WKLV &RXUW UHYHUVHG DQG
UHPDQGHG IRU FRQVLGHUDWLRQ RI WKH PHULWV 6HH %RJJV Y
%ULJDQR1R :/ WK&LU$SU
XQSXEOLVKHGRSLQLRQ
)ROORZLQJWKHUHPDQGWKHPDJLVWUDWHFRXUWLVVXHGDUHSRUW
DQG UHFRPPHQGDWLRQ WKDW WKH ZULW EH JUDQWHG 7KH FRXUW
IRXQGWKDWWKHWULDOFRXUW¶VSUHFOXVLRQRIFURVVH[DPLQDWLRQRQ
WKHDOOHJHGSULRUDFFXVDWLRQYLRODWHG%RJJV¶V&RQIURQWDWLRQ
&ODXVHULJKWVDQGKLVULJKWWRSUHVHQWDGHIHQVH³%DVHGRQ
WKH SUHVHQW UHFRUG LW DSSHDUV WKH UHVWULFWLRQ SURKLELWLQJ
GHIHQVH FRXQVHO IURP FURVVH[DPLQLQJ WKH YLFWLP ZDV
XQUHDVRQDEOH´-$DW0RUHRYHUWKHPDJLVWUDWHFRXUW
FRQFOXGHGWKDWWKHHYLGHQFH%RJJVVRXJKWWRHOLFLWWKURXJK
FURVVH[DPLQDWLRQZDVKLJKO\UHOHYDQWLQSDUWEHFDXVHRIWKH
SDXFLW\RISK\VLFDOHYLGHQFHVXSSRUWLQJ%HUPDQ¶VDFFRXQW
³>7@KH UHVWULFWLRQV LPSRVHG WRWDOO\ SUHFOXGHG KLP IURP
LQWURGXFLQJHYLGHQFHZKLFKFRXOGKDYHXQGHUPLQHGWKH
YLFWLP¶V FUHGLELOLW\ DQG H[SRVHG KHU PRWLYHV DQG VWDWHRI
PLQGDVUHODWHGGLUHFWO\WRWKHUDSHFKDUJHDWLVVXH´-$DW
7KH FRXUW IXUWKHU FRQFOXGHG WKDW WKH HUURU ZDV QRW
KDUPOHVV 7KH GLVWULFW FRXUW UHMHFWHG HDFK RI WKH 6WDWH¶V
REMHFWLRQV DQG DGRSWHG WKH PDJLVWUDWH FRXUW¶V UHSRUW DQG
UHFRPPHQGDWLRQ
,,
7KLVFRXUWUHYLHZVGHQRYRDGLVWULFWFRXUW¶VJUDQWRIDZULW
RIKDEHDVFRUSXV6HH%DUNHUY<XNLQV)G
WK&LU :HUHYLHZWKHGLVWULFWFRXUW¶VILQGLQJVRIIDFW
IRUFOHDUHUURU6HH0F4XHHQY6FURJJ\)G
WK&LU 3ULPDU\RUKLVWRULFDOIDFWVIRXQGE\VWDWH
FRXUWVDUH³SUHVXPHGFRUUHFWDQGDUHUHEXWWDEOHRQO\E\FOHDU
-- 11 of 16 --
%RJJVY&ROOLQV 1R
DQGFRQYLQFLQJHYLGHQFH´0DSHVY&R\OH)G
WK&LU 'LVWULFWFRXUWILQGLQJVRIIDFWEDVHGXSRQLWV
UHYLHZ RI VWDWH FRXUW UHFRUGV RU ZULWWHQ GHFLVLRQV UHFHLYH
SOHQDU\UHYLHZ6HH&DOGZHOOY5XVVHOO)G
WK &LU 'HWHUPLQDWLRQV RI IHGHUDO ODZ RU
GHWHUPLQDWLRQVLQYROYLQJPL[HGTXHVWLRQVRIIDFWDQGODZ
UHFHLYHGHQRYRUHYLHZ6HH0DSHV)GDW6WDWH
FRXUWLQWHUSUHWDWLRQVRIVWDWHODZJHQHUDOO\ELQGWKHIHGHUDO
UHYLHZLQJFRXUW6HH&DOGZHOO)GDW
,,,
$IHGHUDOFRXUWPD\LVVXHDZULWRIKDEHDVFRUSXVWRFRUUHFW
D VWDWH WULDO LI WKH VWDWH SURFHHGLQJ ZDV UHQGHUHG
IXQGDPHQWDOO\XQIDLUE\DYLRODWLRQRIWKH&RQVWLWXWLRQWKH
ODZVRUWKHWUHDWLHVRIWKH8QLWHG6WDWHV6HH86&
D (VWHOOHY0F*XLUH86 6FKRWWHQ
Y1RUULV)G WK&LU 7KXVDPLGWKH
PDQ\FRPSOLFDWLQJZULQNOHVLQWKLVWULDODQGHQVXLQJDSSHOODWH
SURFHHGLQJV QDUURZV RXU LQTXLU\ WR RQH FHQWUDO
TXHVWLRQ ZDV WKH &RQVWLWXWLRQ YLRODWHG ZKHQ %RJJV ZDV
SUHFOXGHGIURPFURVVH[DPLQLQJ%HUPDQRQDQDOOHJHGSULRU
IDOVH DFFXVDWLRQ RI UDSH" %RXQG E\ FOHDU 6XSUHPH &RXUW
SUHFHGHQWZHDUHFRQVWUDLQHGWRKROGWKDWLWZDVQRW
7KH6L[WK$PHQGPHQWJXDUDQWHHVWKHFULPLQDOGHIHQGDQW
WKHULJKW³WREHFRQIURQWHGZLWKWKHZLWQHVVHVDJDLQVWKLP´
86 &RQVW DPHQG 9, $W WKH FRUH RI WKH &RQIURQWDWLRQ
&ODXVHLVWKHULJKWRIHYHU\GHIHQGDQWWRWHVWWKHFUHGLELOLW\RI
ZLWQHVVHVWKURXJKFURVVH[DPLQDWLRQ6HH'DYLVY$ODVND
86 0D\HVY6RZGHUV)G
WK&LU 7KH6XSUHPH&RXUWKDVHPSKDVL]HG
WKDWFURVVH[DPLQDWLRQLVPRUHWKDQDGHVLUDEOHUXOHRIWULDO
SURFHGXUH UDWKHU LW LV WKH ³SULQFLSDO PHDQV E\ ZKLFK WKH
EHOLHYDELOLW\RIDZLWQHVVDQGWKHWUXWKRIKLVWHVWLPRQ\DUH
WHVWHG´ 'DYLV 86 DW VHH DOVR &KDPEHUV Y
0LVVLVVLSSL86 3RLQWHUY7H[DV
86 $W WKH VDPH WLPH D WULDO FRXUW KDV
GLVFUHWLRQ WR OLPLW WKH VFRSH RI FURVVH[DPLQDWLRQ 6HH
1R %RJJVY&ROOLQV
$W RQH LQVWDQFH DFFRUGLQJ WR %RJJV¶V FRXQVHO¶V DIILGDYLW GHVFULELQJ
WKH VHFRQG LQ FDPHUD KHDULQJ KH DVNHG %HUPDQ ZKHWKHU ³VKH DFFXVHG
5LFN <D]HOO DQG 5RJHU %RJJV RI UDSH EHFDXVH >KHU ER\IULHQG@ *DU\
5RWKZHOO KDG EHDWHQ DQG UDSHG KHU EXW VKH GLG QRW ZDQW WR JHW 0U
5RWKZHOO LQ WURXEOH VR VKH EODPHG <D]HOO DQG %RJJV´ -$ DW 6KH
VDLG VKH KDG QRW $OWKRXJK WKLV TXHVWLRQ DGGUHVVHG D SRVVLEOH LPSURSHU
PRWLYH LQ DFFXVLQJ %RJJV %RJJV GLG QRW SXUVXH WKLV WKHRU\ DW WULDO QRU
GLG KH DGGXFH DQ\ HYLGHQFH LQ VXSSRUW RI LW LQ H[DPLQLQJ DQ\ RI WKH
ZLWQHVVHV 0RUHRYHU LQ WKH QXPHURXV DSSHDOV VLQFH WKH FRQYLFWLRQ KH
GRHV QRW DSSHDU WR KDYH FODLPHG WKDW KH ZDV SXUVXLQJ VXFK D WKHRU\ RI
LPSURSHU PRWLYH
DQRWKHUPDQZKHQWKDWUHODWLRQVKLSWHQGHGWRVKRZDPRWLYH
WRWHVWLI\IDOVHO\6HH86DW,Q8QLWHG6WDWHVY
6WDPSHU ) 6XSS :'1& RQ
ZKLFK%RJJVDQGWKHORZHUFRXUWKHDYLO\UHO\WKHGHIHQGDQW
DWWHPSWHG WR VKRZ WKDW SULRU DFFXVDWLRQV UHYHDOHG WKH
DFFXVHU¶VPRWLYHWRPRYHKHUUHVLGHQFHIURPWKHKRPHRIRQH
SDUHQWWRDQRWKHU%HFDXVHWKHGHIHQGDQWZDVHQWLWOHG³WRVHW
EHIRUHWKHMXU\WKHSURIIHUHGHYLGHQFHRIXOWHULRUPRWLYHVRI
WKH FRPSODLQDQW´ WKH WULDO FRXUW¶V EDU RQ WKDW HYLGHQFH
YLRODWHG WKH 6L[WK $PHQGPHQW ,G 7KH 6WDPSHU &RXUW
HPSKDVL]HGWKDW6WDPSHUGLGQRWZDJHDJHQHUDOFUHGLELOLW\
DWWDFNDLPHGWRVKRZD³SURSHQVLW\WRIDEULFDWH´EXWLQVWHDG
VRXJKWWRGHYHORSHYLGHQFHRIXOWHULRUPRWLYH,GDW
6LPLODUO\ LQ :HDORW Y $UPRQWURXW WKH (LJKWK &LUFXLW
GLVDSSURYHGRIDWULDOFRXUW¶VOLPLWDWLRQRIDGHIHQGDQW¶VHIIRUW
WR VKRZ WKDW DQ DFFXVHU ³KDG D VWURQJ PRWLYH IRU IDOVHO\
DFFXVLQJ:HDORW´)G WK&LU 8QOLNH
VXFKFDVHVDOORIZKLFKPLUURUWKH'DYLV&RXUW¶VIRFXVRQWKH
³SDUWLDOLW\ RI D ZLWQHVV´ DQG KLV RU KHU ³PRWLYDWLRQ LQ
WHVWLI\LQJ´86DWQRZKHUHLQWKHEULHIVRUSULRU
SKDVHVRIWKLVFDVHKDV%RJJVDUWLFXODWHGDVLPLODUPRWLYH
EDVHG WKHRU\ 5DWKHU KLV DUJXPHQW H[SOLFLWO\ KLQJHV RQ
%HUPDQ¶VJHQHUDOFUHGLELOLW\6LPSO\ODEHOLQJWKLVJHQHUDO
FUHGLELOLW\ DUJXPHQW WR EH RQH RI ³PRWLYH´ ZLWKRXW
-- 12 of 16 --
%RJJVY&ROOLQV 1R
DWWHPSWHG WR DUWLFXODWH D WKHRU\ RI ELDV RU SUHMXGLFH RQ DSSHDO 5DWKHU
HYHQ DIWHU FURVVH[DPLQLQJ %HUPDQ DERXW WKH SULRU LQFLGHQW LQ ODWHU
KHDULQJV %RJJV KDV HPSKDVL]HG RQO\ %HUPDQ¶V JHQHUDO FUHGLELOLW\
0RUHRYHU XQOLNH %XUU ZH GR QRW ILQG D ELDV RU PRWLYH WKHRU\ WR EH
³DSSDUHQW´ IURP HLWKHU WKH DUJXPHQWV KH KDV VLQFH PDGH RU IURP WKH WULDO
UHFRUG
7KHPDJLVWUDWHFRXUW¶VRSLQLRQZHQWDVWHSEH\RQG%RJJV¶V
FUHGLELOLW\ DUJXPHQW UHDVRQLQJ WKDW WKH RPLWWHG HYLGHQFH
ZHQW WR %HUPDQ¶V ³PRWLYHV´ LQ EULQJLQJ WKH UDSH FKDUJHV
DJDLQVW%RJJV
>'@HIHQVHFRXQVHOZDVQRWDWWHPSWLQJWRPRXQWDJHQHUDO
DWWDFN RQ WKH YLFWLP¶V FUHGLELOLW\ EXW UDWKHU PRUH
SDUWLFXODUO\WRVKRZWKDWWKHYLFWLPIDEULFDWHGWKH
UDSHFKDUJHVDJDLQVWSHWLWLRQHU>7@KHUHVWULFWLRQRQ
FURVVH[DPLQDWLRQSUHYHQWHGSHWLWLRQHUIURPGHYHORSLQJ
IDFWVZKLFKPRUHSDUWLFXODUO\FRXOGKDYHXQGHUPLQHGWKH
YLFWLP¶VFUHGLELOLW\DQGH[SRVHKHUPRWLYHVDQGVWDWHRI
PLQGDVUHODWHGGLUHFWO\WRWKHUDSHFKDUJHDWKDQG
>7@KHHYLGHQFHGHIHQVHFRXQVHOVRXJKWWRHOLFLWRQFURVV
H[DPLQDWLRQ ZDV KLJKO\ UHOHYDQW WR WKH LVVXHV RI WKH
YLFWLP¶VFUHGLELOLW\DQGKHUPRWLYHVRUVWDWHRIPLQGLQ
EULQJLQJWKHUDSHFKDUJHDJDLQVWWKHSHWLWLRQHU
-$DW6HHDOVR%RJJV¶V%UDW UHSHDWLQJWKH
PDJLVWUDWH FRXUW¶V ODQJXDJH WKDW WKH MXU\ ³ZDV HQWLWOHG WR
FRQVLGHU KHU PRWLYHV RU VWDWH RI PLQG LQ EULQJLQJ WKH UDSH
FKDUJHVDJDLQVW0U%RJJV´ HPSKDVLVDGGHG %XWGHVSLWH
WKLVVHPDQWLFGLVWLQFWLRQZHVHDUFKLQYDLQIRUWKHPDJLVWUDWH
FRXUWRU%RJJVWRKDYHSURYLGHGDQH[SODQDWLRQRI%HUPDQ¶V
PRWLYHWRWHVWLI\IDOVHO\
7KLVVLOHQFHDVWRDWKHRU\RIPRWLYHVKDUSO\GLIIHUHQWLDWHV
WKLVFDVHIURPWKRVHZKHUHFRXUWVKDYHIRXQG&RQIURQWDWLRQ
&ODXVHYLRODWLRQV$VH[SODLQHGVXSUDDQDUWLFXODWHGWKHRU\
WKDWDZLWQHVVKDGDPRWLYHWRIDEULFDWHOD\DWWKHKHDUWRIWKH
'DYLV DQG 9DQ $UVGDOO GHIHQVHV 6LPLODUO\ LQ 2OGHQ WKH
6XSUHPH&RXUWIRXQGFRQVWLWXWLRQDOO\LPSURSHUWKHFRXUW¶V
UHIXVDOWRDOORZWHVWLPRQ\RIDQDFFXVHU¶VUHODWLRQVKLSZLWK
1R %RJJVY&ROOLQV
,Q WKH WULDO XQGHUO\LQJ WKH 'DYLV DSSHDO 'DYLV FKDUJHG ZLWK
EXUJODU\ ZDV EDUUHG IURP VKRZLQJ WKDW D NH\ ZLWQHVV DJDLQVW KLP ZDV RQ
SUREDWLRQ IRU EXUJODU\ 'DYLV DUJXHG DW WULDO WKDW KH ZDV QRW VHHNLQJ WR
LQWURGXFH WKDW HYLGHQFH WR LPSHDFK WKH ZLWQHVV¶V FKDUDFWHU JHQHUDOO\
5DWKHU KH DLPHG WR VKRZ WKDW WKH ZLWQHVV ZDV ELDVHG LQ WHVWLI\LQJ EHFDXVH
KH ZDV WU\LQJ WR VKLHOG VXVSLFLRQV RI KLV RZQ LQYROYHPHQW LQ WKH FULPH
DQG EHFDXVH KH PD\ KDYH IHDUHG WKDW KLV RZQ SUREDWLRQ ZDV LQ MHRSDUG\
6HH LG DW
'HODZDUHY9DQ$UVGDOO86 7KLV
LQFOXGHVGLVFUHWLRQWRLPSRVHOLPLWVEDVHGRQFRQFHUQVDERXW
KDUDVVPHQWSUHMXGLFHFRQIXVLRQRIWKHLVVXHVZLWQHVVVDIHW\
RULQWHUURJDWLRQWKDWLVUHSHWLWLYHRURQO\PDUJLQDOO\UHOHYDQW
6HH LG .LQJ Y 7ULSSHWW )G WK &LU
FLWLQJ9DQ$UVGDOO86DW ,QWKLVZD\WKH
&RQIURQWDWLRQ&ODXVH³JXDUDQWHHVDQRSSRUWXQLW\IRUHIIHFWLYH
FURVVH[DPLQDWLRQQRWFURVVH[DPLQDWLRQWKDWLVHIIHFWLYHLQ
ZKDWHYHU ZD\ DQG WR ZKDWHYHU H[WHQW WKH GHIHQVH PLJKW
ZLVK´ 'HODZDUH Y )HQVWHUHU 86
HPSKDVLVLQRULJLQDO
7KXV DOWKRXJK 'DYLV WUXPSHWV WKH YLWDO UROH FURVV
H[DPLQDWLRQ FDQ SOD\ LQ FDVWLQJ GRXEW RQ D ZLWQHVV¶V
FUHGLELOLW\ QRW DOO FRQFHLYDEOH PHWKRGV RI XQGHUPLQLQJ
FUHGLELOLW\DUHFRQVWLWXWLRQDOO\JXDUDQWHHG,QSDUWLFXODUWKH
'DYLV&RXUWGLVWLQJXLVKHGEHWZHHQD³JHQHUDODWWDFN´RQWKH
FUHGLELOLW\ RI D ZLWQHVV²LQ ZKLFK WKH FURVVH[DPLQHU
³LQWHQGVWRDIIRUGWKHMXU\DEDVLVWRLQIHUWKDWWKHZLWQHVV¶
FKDUDFWHULVVXFKWKDWKHZRXOGEHOHVVOLNHO\WKDQWKHDYHUDJH
WUXVWZRUWK\FLWL]HQWREHWUXWKIXOLQKLVWHVWLPRQ\´²DQGD
PRUH SDUWLFXODU DWWDFN RQ FUHGLELOLW\ ³GLUHFWHG WRZDUG
UHYHDOLQJSRVVLEOHELDVHVSUHMXGLFHVRUXOWHULRUPRWLYHVDV
WKH\PD\UHODWHGLUHFWO\WRLVVXHVRUSHUVRQDOLWLHVLQWKHFDVH
DWKDQG´86DW7KH&RXUWFRQFOXGLQJWKDW³>W@KH
SDUWLDOLW\RIDZLWQHVVLVDOZD\VUHOHYDQWDVGLVFUHGLWLQJ
WKHZLWQHVVDQGDIIHFWLQJWKHZHLJKWRIWKHWHVWLPRQ\´IRXQG
WKLV ODWWHU W\SH RI DWWDFN WR EH SDUW RI WKH FRQVWLWXWLRQDOO\
SURWHFWHG ULJKW RI FURVVH[DPLQDWLRQ ,G )DFHG ZLWK D
VLWXDWLRQZKHUHDWULDOFRXUWEDUUHGFURVVH[DPLQDWLRQEHDULQJ
RQ D ZLWQHVV¶V ELDV DQG PRWLYH WR WHVWLI\ WKH &RXUW
-- 13 of 16 --
%RJJVY&ROOLQV 1R
FRQFOXGHG WKDW WKH FRXQWHUYDLOLQJ VWDWH LQWHUHVWV ³FDQQRW
UHTXLUH \LHOGLQJ RI VR YLWDO D FRQVWLWXWLRQDO ULJKW DV WKH
HIIHFWLYHFURVVH[DPLQDWLRQIRUELDVRIDQDGYHUVHZLWQHVV´
,GDW,QDFRQFXUUHQFH-XVWLFH6WHZDUWXQGHUVFRUHGWKDW
WKH&RQIURQWDWLRQ&ODXVHZDVLPSOLFDWHGRQO\EHFDXVH'DYLV
ZDVVHHNLQJWRVKRZELDVRUSUHMXGLFH³>7@KH&RXUWQHLWKHU
KROGV QRU VXJJHVWV WKDW WKH &RQVWLWXWLRQ FRQIHUV D ULJKW LQ
HYHU\ FDVH WR LPSHDFK WKH JHQHUDO FUHGLELOLW\ RI D ZLWQHVV
WKURXJKFURVVH[DPLQDWLRQ´DERXWSDVWFRQYLFWLRQV,GDW
6WHZDUW-FRQFXUULQJ
,Q9DQ$UVGDOOWKH&RXUWHPSKDVL]HGWKDW'DYLVDQGSULRU
GHFLVLRQV UHFRJQL]HG WKDW ³μWKH H[SRVXUH RI D ZLWQHVV¶
PRWLYDWLRQLQWHVWLI\LQJLVDSURSHUDQGLPSRUWDQWIXQFWLRQRI
WKHFRQVWLWXWLRQDOO\SURWHFWHGULJKWRIFURVV H[DPLQDWLRQ¶´
86DW TXRWLQJ'DYLV86DW ,W
WKHQHODERUDWHGWKDW³DFULPLQDOGHIHQGDQWVWDWHVDYLRODWLRQRI
WKH&RQIURQWDWLRQ&ODXVHE\VKRZLQJWKDWKHZDVSURKLELWHG
IURP HQJDJLQJ LQ RWKHUZLVH DSSURSULDWH FURVVH[DPLQDWLRQ
GHVLJQHGWRVKRZDSURWRW\SLFDOIRUPRIELDVRQWKHSDUWRIWKH
ZLWQHVV´,GDW HPSKDVLVDGGHG 7KH&RXUWWKHUHIRUH
FULWLFL]HGWKH WULDO FRXUW¶VUHIXVDOWRDOORZ9DQ$UVGDOOWR
FURVVH[DPLQHDNH\SURVHFXWLRQZLWQHVVDERXWWKHIDFWWKDW
FKDUJHV RI SXEOLF GUXQNHQQHVV KDG EHHQ GLVPLVVHG LQ
H[FKDQJHIRUKLVWHVWLPRQ\6HHLGDW7KLVOLPLWDWLRQ
IRUHFORVHG LQYHVWLJDWLRQ LQWR DQ HYHQW ³WKDW D MXU\ PLJKW
UHDVRQDEO\ KDYH IRXQG >WR KDYH@ IXUQLVKHG WKH ZLWQHVV D
PRWLYHIRUIDYRULQJWKHSURVHFXWLRQLQKLVWHVWLPRQ\´DQG
WKHUHIRUHYLRODWHGWKH&RQIURQWDWLRQ&ODXVH,G&RXUWVDIWHU
'DYLVDQG9DQ$UVGDOOKDYHDGKHUHGWRWKHGLVWLQFWLRQGUDZQ
E\WKRVHFDVHVDQGE\-XVWLFH6WHZDUWLQKLVFRQFXUUHQFH²WKDW
FURVVH[DPLQDWLRQ DV WR ELDV PRWLYH RU SUHMXGLFH LV
FRQVWLWXWLRQDOO\SURWHFWHGEXWFURVVH[DPLQDWLRQDVWRJHQHUDO
FUHGLELOLW\LVQRW6HH2OGHQY.HQWXFN\86
ILQGLQJHUURULQDWULDOFRXUW¶VUHIXVDOWRDOORZFURVV
H[DPLQDWLRQRQDUDSHYLFWLP¶VH[WUDPDULWDOUHODWLRQVKLSZKHQ
WKDW UHODWLRQVKLS ZRXOG KDYH VKRZQ WKH YLFWLP¶V ELDV RU
PRWLYDWLRQ 8QLWHG6WDWHVY$EHO86
SHUPLWWLQJ LPSHDFKPHQW HYLGHQFH WKDW D ZLWQHVV ZDV D
PHPEHU RI WKH $U\DQ 1DWLRQ ZKLFK VKRZHG KLV SRWHQWLDO
1R %RJJVY&ROOLQV
:H QRWH WKDW RXU FRQFOXVLRQ LV QRW EDVHG VLPSO\ RQ WKH IDFW WKDW
%RJJV GLG QRW DUWLFXODWH D ELDV RU PRWLYH MXVWLILFDWLRQ DW WKH WULDO LWVHOI $V
-XGJH QRZ -XVWLFH .HQQHG\ H[SODLQHG LQ %XUU Y 6XOOLYDQ )G
WK &LU D GHIHQGDQW LV QRW UHTXLUHG WR DUWLFXODWH D SUHFLVH
WKHRU\ RI ELDV DW WKH WULDO OHYHO WR PHULW FURVVH[DPLQDWLRQ RU WR ODWHU
FKDOOHQJH WKH OLPLWDWLRQ RI WKDW FURVVH[DPLQDWLRQ DV KDYLQJ EHHQ LQ
YLRODWLRQ RI WKH &RQIURQWDWLRQ &ODXVH 6HH DOVR $OIRUG Y 8QLWHG 6WDWHV
86 QRWLQJ WKDW FURVVH[DPLQDWLRQ ³LV QHFHVVDULO\
H[SORUDWRU\ DQG WKH UXOH WKDW WKH H[DPLQHU PXVW LQGLFDWH WKH SXUSRVH RI
KLV LQTXLU\ GRHV QRW LQ JHQHUDO DSSO\´ 'RUVH\ )G DW ³>7@KH
GHIHQVH LV QRW UHTXLUHG WR EH DEOH WR VWDWH EHIRUHKDQG H[DFWO\ ZKDW IDFWV
LW ZLVKHV WR HOLFLW ´ 7KXV HYHQ WKRXJK D GHIHQGDQW LQDUWIXOO\
DUWLFXODWHG WR WKH WULDO FRXUW LWV SXUSRVH LQ FURVVH[DPLQLQJ D SURVHFXWLRQ
ZLWQHVV -XGJH .HQQHG\ IRXQG WKH SRVVLELOLW\ RI ELDV RU SUHMXGLFH WR KDYH
EHHQ ³DSSDUHQW´ ODUJHO\ EHFDXVH WKH ZLWQHVV ZDV DQ DFFRPSOLFH ZKR KDG
QRW EHHQ FKDUJHG ZLWK WKDW RU ODWHU FULPHV DQG FRQVHTXHQWO\ IRXQG D
&RQIURQWDWLRQ &ODXVH YLRODWLRQ 6HH %XUU )G DW
8QOLNH FDVHV VXFK DV 'DYLV DQG %XUU KRZHYHU %RJJV KDV QRW
ZRXOGEHOHVVOLNHO\WKDQWKHDYHUDJHWUXVWZRUWK\FLWL]HQWREH
WUXWKIXOLQKLVWHVWLPRQ\´86DW
%XW WKLV HPSKDVLV RQ %HUPDQ¶V JHQHUDO FUHGLELOLW\
RYHUORRNV WKH IXQGDPHQWDO GLVWLQFWLRQ GUDZQ LQ 'DYLV DQG
9DQ$UVGDOO1RPDWWHUKRZFHQWUDODQDFFXVHU¶VFUHGLELOLW\
LVWRDFDVH²LQGHHGKHUFUHGLELOLW\ZLOODOPRVWDOZD\VEHWKH
FRUQHUVWRQHRIDUDSHRUVH[XDODVVDXOWFDVHHYHQLIWKHUHLV
SK\VLFDOHYLGHQFH²WKH&RQVWLWXWLRQGRHVQRWUHTXLUHWKDWD
GHIHQGDQWEHJLYHQWKHRSSRUWXQLW\WRZDJHDJHQHUDODWWDFN
RQ FUHGLELOLW\ E\ SRLQWLQJ WR LQGLYLGXDO LQVWDQFHV RI SDVW
FRQGXFW,QRWKHUZRUGV%RJJV¶VDUJXPHQWWKDWFUHGLELOLW\LV
FUXFLDOWRWKLVFDVHDQGWKDWWKHUHIRUHDQ\HYLGHQFHEHDULQJRQ
WKDWFUHGLELOLW\PXVWEHDOORZHGLQVLPSO\GRHVQRWUHIOHFW
6L[WK$PHQGPHQWFDVHODZ8QGHU'DYLVDQGLWVSURJHQ\WKH
6L[WK $PHQGPHQW RQO\ FRPSHOV FURVVH[DPLQDWLRQ LI WKDW
H[DPLQDWLRQDLPVWRUHYHDOWKHPRWLYHELDVRUSUHMXGLFHRID
ZLWQHVVDFFXVHU %HFDXVH KH IDLOHG WR DUWLFXODWH VXFK DQ
DUJXPHQWHLWKHUDWWULDORURQDSSHDODQGEHFDXVHWKHUHLVQRW
DSODXVLEOHWKHRU\RIPRWLYHRUELDVDSSDUHQWIURPWKHWULDO
UHFRUG LQFOXGLQJ IURP WKH LQ FDPHUD KHDULQJV RU IURP
%RJJV¶VDUJXPHQWVRQDSSHDO%RJJVKDVQRWGHPRQVWUDWHGD
&RQIURQWDWLRQ&ODXVHLQIUDFWLRQ
-- 14 of 16 --
%RJJVY&ROOLQV 1R
*LYHQWKHVHSUHFHGHQWVZHPXVWUHMHFW%RJJV¶VSULPDU\
DUJXPHQWEHFDXVHLWLPSURSHUO\EOXUVWKHSUHFLVHGLVWLQFWLRQV
GUDZQLQ&RQIURQWDWLRQ &ODXVHMXULVSUXGHQFH1RWKDYLQJ
DUWLFXODWHGDQDUJXPHQWVRXQGLQJLQPRWLYHELDVRUSUHMXGLFH
%RJJV LQVWHDG VHHNV WR HOHYDWH KLV SXUSRVH²DWWDFNLQJ
%HUPDQ¶V JHQHUDO FUHGLELOLW\²LQWR D FRQVWLWXWLRQDOO\
PDQGDWHGULJKW+HDUJXHVWKDWEHFDXVH%HUPDQ¶VFUHGLELOLW\
LVFHQWUDOWRKLVFDVHWKH6L[WK$PHQGPHQWUHTXLUHVWKDWKHEH
DOORZHGWRFURVVH[DPLQHKHURQDQLQFLGHQWEHDULQJRQWKDW
FUHGLELOLW\%HFDXVHWKLVFRQWHQWLRQJRHVEH\RQGWKHFOHDU
VZHHSRIWKH&RQIURQWDWLRQ&ODXVHWUDFHGE\'DYLVDQG9DQ
$UVGDOOZHFDQQRWDFFHSWLWDVDJURXQGIRUKDEHDV UHOLHI
1RU FDQ ZH DFFHSW WKH UHDVRQLQJ RI WKH ORZHU FRXUWV LQ
JUDQWLQJWKHZULWRQWKLVJURXQG
7KHUHFRUGDQG%RJJV¶VDUJXPHQWVRQDSSHDOVKRZWKDW
MXVWDVLQ+XJKHVDQG%DUWOHWW%RJJV¶VSXUSRVHLQLQWURGXFLQJ
WKH DOOHJHG SULRU IDOVH DFFXVDWLRQ ZDV WR DWWDFN %HUPDQ¶V
JHQHUDO FUHGLELOLW\ %RWK DW WULDO DQG RQ DSSHDO %RJJV
HVVHQWLDOO\FRQWHQGHGWKDWWKHHYLGHQFHZDVFUXFLDOEHFDXVHLI
%HUPDQOLHGRUIDEULFDWHGRQFHVKHZRXOGGRVRDJDLQ$WWKH
VLGHEDUGXULQJWKHWULDO%RJJV¶VFRXQVHOH[SODLQHG³>6@KH¶V
PDGHLWXSDJDLQ>@,ZDQWWRILQGRXWLIVKH¶VPDGHXSDOORI
WKLV´ -$ DW ,Q KLV EULHI EHIRUH WKLV &RXUW %RJJV
UHSHDWHGO\XQGHUVFRUHVWKHLPSRUWDQFHRIWKHSULRUDFFXVDWLRQ
LQGLPLQLVKLQJ%HUPDQ¶VJHQHUDOFUHGLELOLW\6HH%RJJV¶V%U
DW ³7KH GHIHQVH ZDV VLPSO\ VHHNLQJ WR JLYH WKH MXU\
DGGLWLRQDOHYLGHQFHZLWKZKLFKWRZHLJKWKHDOOHJHGYLFWLP¶V
FUHGLELOLW\´ LGDW ³>7@KHNH\LVVXHLQWKHLQVWDQWFDVH
ZDVWKHDFFXVHU¶VFUHGLELOLW\7RQRWDOORZLQTXLU\LQWRKHU
SULRU LQVWDQFHV RI XQWUXWKIXOQHVV LV WR UHQGHU WKH IHGHUDO
FRQVWLWXWLRQDO JXDUDQWHH WR FRQIURQW DQG FURVVH[DPLQH
PHDQLQJOHVV´ LGDW ³7KHMXU\VKRXOGEHDEOHWRGHFLGH
ZKDW ZHLJKW D SULRU IDOVH DFFXVDWLRQ KDV RQ WKH DOOHJHG
YLFWLP¶V FUHGLELOLW\ QRW WKH WULDO MXGJH´ 7KXV %RJJV¶V
DUJXPHQW HFKRHV WKH 'DYLV &RXUW¶V GHILQLWLRQ RI D JHQHUDO
DWWDFNRQFUHGLELOLW\²ZKHQDSDUW\³LQWHQGVWRDIIRUGWKHMXU\
D EDVLV WR LQIHU WKDW WKH ZLWQHVV¶ FKDUDFWHU LV VXFK WKDW KH
1R %RJJVY&ROOLQV
ELDV DJDLQVW D EODFN GHIHQGDQW VHH DOVR 8QLWHG 6WDWHV Y
6WDYURII)G WK&LU GLVFXVVLQJ'DYLV
DQG 9DQ $UVGDOO LQ WKH FRQWH[W RI ZLWQHVV PRWLYDWLRQ DQG
ELDV 'RUVH\ Y 3DUNH )G WK &LU
QRWLQJ WKDW LQ 'DYLV DQG LWV SURJHQ\ FRXUWV KDYH
GLVWLQJXLVKHG³EHWZHHQWKHFRUHYDOXHVRIWKHFRQIURQWDWLRQ
ULJKWVDQGPRUHSHULSKHUDOFRQFHUQVZKLFKUHPDLQZLWKLQWKH
DPELWRIWKHWULDOMXGJH¶VGLVFUHWLRQ´
:KHQIDFHGZLWKDOOHJHGSULRUIDOVHDFFXVDWLRQVRIUDSH
IHGHUDOFRXUWVKDYHDGKHUHGWRWKHILQHOLQHGUDZQLQ'DYLV
DQG9DQ$UVGDOOILQGLQJFURVVH[DPLQDWLRQFRQVWLWXWLRQDOO\
FRPSHOOHGZKHQLWUHYHDOVZLWQHVVELDVRUSUHMXGLFHEXWQRW
ZKHQ LW LV DLPHG VROHO\ WR GLPLQLVK D ZLWQHVV¶V JHQHUDO
FUHGLELOLW\ ,Q +XJKHV Y 5DLQHV )G WK &LU
WKH WULDO FRXUW UHIXVHG WR DOORZ GHIHQVH FRXQVHO WR
FURVVH[DPLQHDQDOOHJHGUDSHYLFWLPDERXWDQDOOHJHGSULRU
IDOVH DFFXVDWLRQ RI UDSH 7KH 1LQWK &LUFXLW UHOLHG RQ WKH
GLVWLQFWLRQGUDZQLQ'DYLV³EHWZHHQDQDWWDFNRQWKHJHQHUDO
FUHGLELOLW\ RI WKH ZLWQHVV DQG D PRUH SDUWLFXODU DWWDFN RQ
FUHGLELOLW\´WKURXJKUHYHDOLQJELDVHVSUHMXGLFHVRUXOWHULRU
PRWLYHV ,G DW /RRNLQJ FORVHO\ DW WKH GHIHQGDQW¶V
SXUSRVHIRULQWURGXFLQJWKHWHVWLPRQ\WKH&RXUWIRXQGWKDW
WKHGHIHQVHZDVVLPSO\DVNLQJWKHMXU\WRPDNHDQLQIHUHQFH
³WKDW EHFDXVH WKH FRPSODLQLQJ ZLWQHVV PDGH D IDOVH
DFFXVDWLRQ RI DWWHPSWHG UDSH RQ D SULRU RFFDVLRQ KHU
DFFXVDWLRQLQWKLVFDVHZDVIDOVH´,G,QRWKHUZRUGVWKH
LQWHQGHGFURVVH[DPLQDWLRQ³ZDVQRWWRHVWDEOLVKELDVDJDLQVW
WKHGHIHQGDQWRUIRUWKHSURVHFXWLRQLWPHUHO\ZRXOGKDYH
EHHQWRDWWDFNWKHJHQHUDOFUHGLELOLW\RIWKHZLWQHVVRQWKH
EDVLVRIDQXQUHODWHGSULRULQFLGHQW´,G8QGHU'DYLVWKH
+XJKHV&RXUWFRQFOXGHGOLPLWLQJFURVVH[DPLQDWLRQIRUWKDW
SXUSRVHGLGQRWYLRODWHWKH&RQIURQWDWLRQ&ODXVH6HHLGDW
6LPLODUO\LQ8QLWHG6WDWHVY%DUWOHWW)G WK
&LU DUDSHGHIHQGDQWFKDOOHQJHGDVXQFRQVWLWXWLRQDO
WKH GLVWULFW FRXUW¶V UHIXVDO WR DGPLW HYLGHQFH RI D YLFWLP¶V
DOOHJHGSULRUIDOVHDFFXVDWLRQRIUDSH/LNHWKH1LQWK&LUFXLW
WKH (LJKWK &LUFXLW QRWHG WKH GLVWLQFWLRQ EHWZHHQ FURVV
-- 15 of 16 --
%RJJVY&ROOLQV 1R
H[DPLQDWLRQ UHJDUGLQJ D ZLWQHVVDFFXVHU¶V SRVVLEOH ELDVHV
SUHMXGLFHV RU XOWHULRU PRWLYHV DQG FURVVH[DPLQDWLRQ DQG
HYLGHQFHLQWURGXFHGVLPSO\WRDWWDFNKHUJHQHUDOFUHGLELOLW\
6HH LG DW 7KH FRXUW IRXQG WKDW WKH ODWWHU
SXUSRVH²DQGWKHLQIHUHQFHWKDW³EHFDXVHWKHYLFWLPPDGHD
IDOVH DFFXVDWLRQ LQ WKH SDVW WKH LQVWDQW DFFXVDWLRQ LV DOVR
IDOVH´ LG DW ²IHOO EHORZ WKH 6L[WK $PHQGPHQW
WKUHVKROG%HFDXVHLQWKHFDVHEHIRUHLW³WKHHYLGHQFHRIWKH
DOOHJHGSULRUIDOVHDFFXVDWLRQRIUDSHZDVRIIHUHGVROHO\WR
DWWDFNWKHJHQHUDOFUHGLELOLW\RI´WKHYLFWLPWKHGLVWULFWFRXUW¶V
UHIXVDO WR DOORZ WKH DWWHPSWHG FURVVH[DPLQDWLRQ GLG QRW
YLRODWH%DUWOHWW¶VFRQIURQWDWLRQULJKWV,G2WKHUFRXUWVKDYH
HFKRHGWKHUHDVRQLQJIURP+XJKHVDQG%DUWOHWW6HHHJ
+RJDQY+DQNV)G WK&LU QRWLQJWKDW
'DYLVDQGRWKHUFDVHVGLGQRWVXJJHVWWKDW³WKHORQJVWDQGLQJ
UXOHV UHVWULFWLQJ WKH XVH RI VSHFLILF LQVWDQFHV DQG H[WULQVLF
HYLGHQFH WR LPSHDFK D ZLWQHVV¶V FUHGLELOLW\ SRVH
FRQVWLWXWLRQDOSUREOHPV´ 8QLWHG6WDWHVY%HUNOH\1R
:/DW WK&LU XQSXEOLVKHG
RSLQLRQ ILQGLQJWKDWDOOHJHGSULRUIDOVHDFFXVDWLRQKDGOLWWOH
UHOHYDQFH³WRWKHDFFXVHU¶VFUHGLELOLW\RUYHUDFLW\UHVSHFWLQJ
WKHFKDUJHEHLQJSURVHFXWHG´ 5RZDQY.HUQDQ1R&
:/ DW 1' &DO
XQSXEOLVKHGRSLQLRQ UHDGLQJ'DYLVDQG9DQ$UVGDOOWRVD\
WKDW ZKLOH WKH FRQVWLWXWLRQ SURWHFWV FURVVH[DPLQDWLRQ LI LW
FRQFHUQVELDVPRWLYHRUSUHMXGLFH³JHQHUDODWWDFNVRQWKH
FUHGLELOLW\ RI D ZLWQHVV GR QRW UDLVH WKH FRQVWLWXWLRQDO
FRQFHUQV ZKLFK WKH FRQIURQWDWLRQ FODXVH DGGUHVVHV´
&KULVWRSKHU %RSVW 5DSH 6KLHOG /DZV DQG 3ULRU )DOVH
$FFXVDWLRQVRI5DSH7KH1HHGIRU0HDQLQJIXO/HJLVODWLYH
5HIRUP-/HJLV QRWLQJWKDWZKHWKHUDQ
DOOHJHGIDOVHDFFXVDWLRQRIUDSHPXVWEHDGPLWWHGXQGHUWKH
&RQIURQWDWLRQ &ODXVH WXUQV RQ WKH GLVWLQFWLRQ EHWZHHQ
SURYLQJELDVRUSUHMXGLFHDQGSURYLQJJHQHUDOFUHGLELOLW\
$OWKRXJKQRWGLUHFWO\DGGUHVVLQJWKH&RQIURQWDWLRQ&ODXVH
WKLV &RXUW DGKHUHG WR WKH ORJLF RI +XJKHV DQG %DUWOHWW LQ
8QLWHG 6WDWHV Y &DUGLQDO )G WK &LU
&DUGLQDOZDVFRQYLFWHGIRUUDSHRQDQ,QGLDQUHVHUYDWLRQRQ
DSSHDOKHFKDOOHQJHGWKHGLVWULFWFRXUW¶VUHIXVDOSXUVXDQWWR
1R %RJJVY&ROOLQV
WKHIHGHUDOUDSHVKLHOGODZVHH)HG5(YLGWRDOORZ
FURVVH[DPLQDWLRQDQGDGPLWHYLGHQFHWKDWKLVWKLUWHHQ\HDU
ROGDFFXVHU DQGQLHFH KDGSUHYLRXVO\UHSRUWHGLQVWDQFHVRI
VH[XDODVVDXOWE\IDPLO\PHPEHUVEXWKDGODWHUZLWKGUDZQ
WKRVHDFFXVDWLRQV6HHLGDW&DUGLQDODUJXHGWKDWWKLV
HYLGHQFHVKRXOGKDYHEHHQDGPLWWHGEHFDXVHLWZHQWWRWKH
FRPSODLQDQW¶V FUHGLELOLW\ 1RWLQJ WKH ³ZLGH GLVFUHWLRQ´
HQMR\HGE\GLVWULFWFRXUWVRQVXFKHYLGHQWLDU\PDWWHUV²H[FHSW
LQ FDVHV ZKHUH DGPLVVLRQ ZDV ³FRQVWLWXWLRQDOO\
UHTXLUHG´²WKLV&RXUWGLGQRWILQGWKHORZHUFRXUW¶VGHFLVLRQ
WRKDYHEHHQDQDEXVHRIWKDWGLVFUHWLRQ6HHLGDW7KLV
FRQFOXVLRQ DOVR QHFHVVDULO\ LPSOLHG WKDW WKH FURVV
H[DPLQDWLRQ ZDV QRW FRQVWLWXWLRQDOO\ UHTXLUHG 6HH DOVR
8QLWHG6WDWHVY:LWKRUQ)G WK&LU
,IDWULDOFRXUWKDVFXUWDLOHGFURVVH[DPLQDWLRQIURPZKLFK
D MXU\ FRXOG KDYH DVVHVVHG D ZLWQHVV¶V ELDV SUHMXGLFH RU
PRWLYH WR WHVWLI\ D FRXUW PXVW WDNH WZR DGGLWLRQDO VWHSV
)LUVW D UHYLHZLQJ FRXUW PXVW DVVHVV ZKHWKHU WKH MXU\ KDG
HQRXJKLQIRUPDWLRQGHVSLWHWKHOLPLWVSODFHGRQRWKHUZLVH
SHUPLWWHGFURVVH[DPLQDWLRQWRDVVHVVWKHGHIHQVHWKHRU\RI
ELDV RU LPSURSHU PRWLYH 6HH 'RUVH\ )G DW
6WHYHQVY%RUGHQNLUFKHU)G WK&LU
6HFRQGLIWKLVLVQRWWKHFDVHDQGWKHUHLVLQGHHGDGHQLDORU
VLJQLILFDQWGLPLQXWLRQRIFURVVH[DPLQDWLRQWKDWLPSOLFDWHV
WKH&RQIURQWDWLRQ&ODXVHWKH&RXUWDSSOLHVDEDODQFLQJWHVW
ZHLJKLQJ WKH YLRODWLRQ DJDLQVW WKH FRPSHWLQJ LQWHUHVWV DW
VWDNH6HH&KDPEHUV86DW,Q'DYLVWKH&RXUW
IRXQGWKDWWKHVWDWH¶VLQWHUHVWLQSURWHFWLQJWKHDQRQ\PLW\RI
DMXYHQLOHRIIHQGHUZDVQRWFRPSDUDEOHWRWKH³SDUDPRXQW´
LQWHUHVWLQWKHULJKWWRVKRZWKHELDVRIDQDGYHUVHZLWQHVV,G
DW,Q0LFKLJDQY/XFDV86 RQWKH
RWKHUKDQGWKH&RXUWXSKHOGD0LFKLJDQUDSHVKLHOGVWDWXWH¶V
QRWLFHDQGKHDULQJ UHTXLUHPHQW WKDW RSHUDWHG WR EDU FURVV
H[DPLQDWLRQ LQ WKH FDVH LQ TXHVWLRQ $OWKRXJK WKH &RXUW
FRQFOXGHGWKDWWKHUXOHFRXOGGLPLQLVKDGHIHQGDQW¶VDELOLW\WR
FRQIURQW DGYHUVH ZLWQHVVHV LW IRXQG WKDW WKLV HIIHFW ZDV
RXWZHLJKHGE\FRXQWHUYDLOLQJVWDWHLQWHUHVWVLQSURWHFWLQJUDSH
YLFWLPVIURPVXUSULVHKDUDVVPHQWDQGXQQHFHVVDU\LQYDVLRQV
RISULYDF\6HHLGDW
-- 16 of 16 --
Conecte o Omnilex para pesquisar o corpus jurídico pelo seu assistente de IA.