01a0311p.06

00-3026Court of Appeals for the Sixth Circuit7 de set. de 2001

Abrir fonte

Texto completo

7KH +RQRUDEOH 0\URQ + %ULJKW &LUFXLW -XGJH RI WKH 8QLWHG 6WDWHV
&RXUW RI $SSHDOV IRU WKH (LJKWK &LUFXLW 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
/(( <($*(5
3ODLQWLII$SSHOODQW
Y
*(1(5$/ 027256
&25325$7,21
'HIHQGDQW$SSHOOHH
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH1RUWKHUQ'LVWULFWRI2KLRDW<RXQJVWRZQ
1R²3HWHU&(FRQRPXV'LVWULFW-XGJH
$UJXHG-DQXDU\
'HFLGHGDQG)LOHG6HSWHPEHU
%HIRUH1255,66,/(5DQG%5,*+7&LUFXLW-XGJHV
BBBBBBBBBBBBBBBBB
&2816(/
$5*8('0LFKDHO'5RVVL*8$51,(5, 6(&5(67
:DUUHQ 2KLR IRU $SSHOODQW 5REHUW 6 :DONHU -21(6
'$<5($9,6 32*8(&OHYHODQG2KLRIRU$SSHOOHH

-- 1 of 8 --

<HDJHUY*HQHUDO0RWRUV&RUS 1R
7KH +RQRUDEOH 3HWHU & (FRQRPXV 8QLWHG 6WDWHV 'LVWULFW -XGJH IRU
WKH 1RUWKHUQ 'LVWULFW RI 2KLR
21%5,()0LFKDHO'5RVVL*8$51,(5, 6(&5(67
:DUUHQ 2KLR IRU $SSHOODQW 5REHUW 6 :DONHU -21(6
'$<5($9,6 32*8(&OHYHODQG2KLRIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
%5,*+7&LUFXLW-XGJH:KHQ/HH<HDJHU <HDJHU ZDV
QRW VHOHFWHG IRU *HQHUDO 0RWRUV &RUSRUDWLRQ V *0& V
DSSUHQWLFHSURJUDPKHVXHGDOOHJLQJWKDW*0&GLVFULPLQDWHG
DJDLQVWKLPRQWKHEDVLVRIKLVUDFHDQGVH[LQYLRODWLRQRI
7LWOH 9,, RI WKH &LYLO 5LJKWV $FW RI 86&
† H DQG WKH )LIWK $PHQGPHQW RI WKH 8QLWHG 6WDWHV
&RQVWLWXWLRQ7KHGLVWULFWFRXUWJUDQWHGVXPPDU\MXGJPHQW
LQIDYRURI*0&
2QDSSHDO<HDJHUDUJXHVWKDWWKHGLVWULFWFRXUWHUUHGZKHQ
LWGHWHUPLQHGWKDWKHODFNHGVWDQGLQJWRPDNHKLV7LWOH9,,
UDFH DQG VH[ GLVFULPLQDWLRQ FODLPV DJDLQVW *0& DQG WKDW
*0&GLGQRWYLRODWH<HDJHU VHTXDOSURWHFWLRQULJKWVXQGHU
WKH)LIWK$PHQGPHQW V'XH3URFHVV&ODXVHEHFDXVH*0& V
DSSUHQWLFHSURJUDPGLGQRWDULVHXQGHUFRORURIODZ)RUWKH
UHDVRQVGLVFXVVHGEHORZZH$)),50
, -85,6',&7,21
7KHGLVWULFWFRXUWKDGMXULVGLFWLRQXQGHU86&†
:HKDYHMXULVGLFWLRQXQGHU86&†<HDJHU VQRWLFH
RIDSSHDOZDVWLPHO\ILOHG
,, %$&.*5281'
*0& UHFUXLWV DSSOLFDQWV LQWR LWV VNLOOHG WUDGH SRVLWLRQV
HJ 7UXFN 5HSDLU 7RRO 0DNLQJ WKURXJK LWV DSSUHQWLFH
WUDLQLQJSURJUDP DSSUHQWLFHSURJUDP *0&DGPLQLVWHUV

-- 2 of 8 --

1R <HDJHUY*HQHUDO0RWRUV&RUS
LWV DSSUHQWLFH SURJUDP LQ FRPSOLDQFH ZLWK LWV FROOHFWLYH
EDUJDLQLQJ DJUHHPHQW ZLWK WKH ,QWHUQDWLRQDO 8QLRQ 8$:
8$:
*0& VHHNV DSSUHQWLFH DSSOLFDQWV E\ SXEOLVKLQJ QRWLFHV
ZLWK LQIRUPDWLRQ DERXW WKH SURJUDP DQG WKH DSSOLFDWLRQ
SURFHVV:KLWHPDOHVLQWHUHVWHGLQWKHDSSUHQWLFHSURJUDP
PXVWVXEPLWDSSOLFDWLRQV*0&DFFHSWVDOLPLWHGQXPEHURI
DSSOLFDWLRQV HDFK KLULQJ SHULRG RQ D ILUVWFRPH ILUVWVHUYH
EDVLV*0&VHQGVFRPSOHWHGDSSOLFDWLRQVWRDQLQGHSHQGHQW
ILUPWKDWUDQGRPO\VHOHFWVDVSHFLILHGQXPEHURIDSSOLFDQWV
ZKR DUH WKHQ SHUPLWWHG WR WDNH D ZULWWHQ H[DPLQDWLRQ ,Q
DGGLWLRQ*0&VHHNVTXDOLILHGPLQRULW\DQGIHPDOHDSSOLFDQWV
WR WKH DSSUHQWLFH SURJUDP WKURXJK LWV FRQWDFWV ZLWK ORFDO
PLQRULW\ DQG IHPDOH HPSOR\PHQW RUJDQL]DWLRQV (DFK
DSSOLFDQWOLVWVWKHWRSWKUHHVNLOOHGWUDGHVIRUZKLFKWKH\ZDQW
WREHFRQVLGHUHG
:KLWHPDOHDSSOLFDQWVWKDWDUH UDQGRPO\VHOHFWHGWDNHD
ZULWWHQ H[DP WKDW HYDOXDWHV WKHLU JHQHUDO DELOLWLHV LQ DUHDV
VXFKDVPDWKHPDWLFVDQGUHDGLQJFRPSUHKHQVLRQ5HFUXLWHG
PLQRULW\DSSOLFDQWVDQGIHPDOHDSSOLFDQWV DUH SHUPLWWHGWR
WDNH WKH ZULWWHQ H[DPLQDWLRQ ZLWKRXW EHLQJ UDQGRPO\
VHOHFWHG ,I DQ DSSOLFDQW KDV SUHYLRXVO\ WDNHQ DQ H[DP DW
DQRWKHU*0&SODQWDQGLVUDQGRPO\VHOHFWHGWKHDSSOLFDQW
PD\KDYHWKHLUSUHYLRXVWHVWVFRUHWUDQVIHUUHG
$SSOLFDQWVDUHUDQNHGE\WKHLUZULWWHQH[DPVFRUH7KHWRS
WKLUW\SHUFHQWRIPLQRULW\DSSOLFDQWVIHPDOHDSSOLFDQWVDQG
ZKLWH PDOH DSSOLFDQWV DUH LQWHUYLHZHG $SSOLFDQWV UHFHLYH
DQRWKHUVFRUHIRUWKHLULQWHUYLHZSHUIRUPDQFH
$SSOLFDQWVUHFHLYHDQRYHUDOOUDQNLQJIRUHDFKVNLOOHGWUDGH
EDVHGRQWKHVXPRIWKHLUZULWWHQWHVWDQGLQWHUYLHZVFRUHV
7KHKLJKHVWSRVVLEOHVFRUHLVVHYHQW\WZR$SSUHQWLFHVKLS
VHOHFWLRQVDUHEDVHGVROHO\RQWKHDSSOLFDQWV WRWDOVFRUHV
*0& NHHSV VHSDUDWH OLVWV IRU VHQLRULW\ DSSOLFDQWV DQG
QRQVHQLRULW\DSSOLFDQWVSXUVXDQWWRWKHWHUPVRILWVFROOHFWLYH
EDUJDLQLQJDJUHHPHQWZLWKWKH8$:7KXVIRUHYHU\WZR

-- 3 of 8 --

<HDJHUY*HQHUDO0RWRUV&RUS 1R
VHQLRULW\ DSSOLFDQWV RIIHUHG DSSUHQWLFHVKLSV RQO\ RQH
QRQVHQLRULW\DSSOLFDQWPD\EHRIIHUHGDQDSSUHQWLFHVKLS
$SSOLFDQWV UDQNHG SRVLWLRQV RQ WKH VHQLRULW\ DQG
QRQVHQLRULW\OLVWVPD\FKDQJHLQWKHIROORZLQJWKUHHZD\V
DVQHZDSSOLFDQWVDUHWHVWHGDQGDGGHGWRWKHOLVW DV
DSSOLFDQWVDUHVHOHFWHGIRUDSSUHQWLFHVKLSVDQGWDNHQRIIWKH
OLVW DQG ZKHQ DSSOLFDQWV DUH DOORZHG WR UHWHVW DQG WKH
RYHUDOOUDQNLQJVDUHUHDGMXVWHG7KHLQLWLDORYHUDOOUDQNLQJV
IRUHDFKVNLOOHGWUDGHDUHJHQHUDWHGZLWKRXWUHJDUGWRUDFHRU
VH[+RZHYHUPLQRULW\DQGIHPDOHDSSOLFDQWVPD\DWWHPSW
WRLQFUHDVHWKHLUWRWDOVFRUHVE\SDUWLFLSDWLQJLQ*0& V3UH
$SSUHQWLFH7UDLQLQJ 3URJUDP WUDLQLQJSURJUDP DQGWKH
RYHUDOOUDQNLQJVDUHDGMXVWHGDFFRUGLQJO\
*0&FRQGXFWVDWUDLQLQJSURJUDPIRUPLQRULW\DQGIHPDOH
DSSOLFDQWVZKRVHVFRUHVDUH QHDUWKHVHOHFWLRQUDQJH7KH
WUDLQLQJSURJUDPSURYLGHVDGGLWLRQDOWUDLQLQJWRPLQRULW\DQG
IHPDOH DSSUHQWLFH SURJUDP FDQGLGDWHV )ROORZLQJ WKHLU
WUDLQLQJPLQRULW\DQGIHPDOHDSSOLFDQWVPD\WDNHDZULWWHQ
WHVWWKDWPD\LPSURYHWKHLUWRWDOVFRUHE\XSWRVHYHQSRLQWV
+RZHYHUWKHWUDLQLQJSURJUDPSDUWLFLSDQWVPD\QRWUHFHLYH
D WRWDO VFRUH H[FHHGLQJ WKH PD[LPXP SRVVLEOH VFRUH RI
VHYHQW\WZR7KHWUDLQLQJSURJUDP VSDUWLFLSDQWV WHVWSRLQWV
DUHDGGHGWRWKHLUWRWDOVFRUHVDQGWKHRYHUDOOUDQNLQJVDUH
DGMXVWHGDFFRUGLQJO\
<HDJHU LV D QRQVHQLRULW\ ZKLWH PDOH +H DSSOLHG WR WKH
DSSUHQWLFHSURJUDPDW*0& V/RUGVWRZQ$VVHPEO\3ODQWLQ
+H WRRN KLV ILUVW ZULWWHQ H[DP LQ DQG ZDV
LQWHUYLHZHGLQIRUKLVVHOHFWHGWKUHHSRVLWLRQV 7UXFN
5HSDLU 7RRO 0DNLQJ DQG 3LSHILWWLQJ +H DWWDLQHG KLV
KLJKHVW VFRUH ILIW\WKUHH LQ 7UXFN 5HSDLU ,Q IRXU
VHQLRULW\ SRVLWLRQV DQG RQH QRQVHQLRULW\ SRVLWLRQ LQ 7UXFN
5HSDLU EHFDPH DYDLODEOH 7KH QRQVHQLRULW\ SRVLWLRQ ZDV
ILOOHG E\ D ZKLWH PDOH ZLWK D VFRUH RI VL[W\HLJKW ILIWHHQ
SRLQWVKLJKHUWKDQ<HDJHU VVFRUH,QDQHZDSSUHQWLFH
FODVVZDVVHOHFWHGEXWRQO\WZRVHQLRULW\DQGQRQRQVHQLRULW\
SRVLWLRQVRSHQHGLQ7UXFN5HSDLU
1R <HDJHUY*HQHUDO0RWRUV&RUS
7ZRIHGHUDOGLVWULFWFRXUWVKDYHFRQVLGHUHGWKLVTXHVWLRQ
DQG ERWK KHOG WKDW D YROXQWDU\ FRQWUDFWXDO UHODWLRQVKLS
EHWZHHQ D SULYDWH FRUSRUDWLRQ DQG WKH IHGHUDO JRYHUQPHQW
GRHVQRWPDNHWKHSULYDWHFRUSRUDWLRQDQDFWRUXQGHUFRORURI
IHGHUDOODZ,Q0F/DXJKOLQY*UHDW/DNHV'UHGJH 'RFN
&R)6XSS 1'2KLR WKHFRXUWGHWHUPLQHG
WKDWWKHGHIHQGDQW VLPSOHPHQWDWLRQRIDQDIILUPDWLYHDFWLRQ
SURJUDPLQFRPSOLDQFHZLWK([HFXWLYH2UGHU1RZDV
YROXQWDU\DQGQRWIHGHUDODFWLRQ/LNHZLVHLQ.LSSY/79
$HURVSDFH 'HI)6XSS 1'7H[DV
WKHFRXUWGHWHUPLQHGWKDWDSULYDWHSDUW\ VLPSOHPHQWDWLRQRI
D GUXJWHVWLQJ SURJUDP LQ FRPSOLDQFH ZLWK LWV FRQWUDFWXDO
UHODWLRQVKLS ZLWK WKH JRYHUQPHQW ZDV YROXQWDU\ DQG QRW
IHGHUDODFWLRQ
,QWKLVFDVH*0&GLGQRWDFWXQGHUFRORURIIHGHUDOODZ
*0& YROXQWDULO\ HQWHUHG LQWR LWV FRQWUDFW ZLWK WKH IHGHUDO
JRYHUQPHQWDQGLWVDSSUHQWLFHSURJUDPZDVLWVRZQFUHDWLRQ
*0&GHVLJQHGLPSOHPHQWHGDQGKDVDOZD\VDGPLQLVWHUHGLWV
DSSUHQWLFHVKLSSURJUDPLQGHSHQGHQWO\IURPWKHJRYHUQPHQW
,Q DGGLWLRQ ZH QRWH WKDW <HDJHU FLWHG QR OHJDO DXWKRULW\
VXSSRUWLQJ KLV DUJXPHQW WKDW *0& DFWHG XQGHU FRORU RI
IHGHUDOODZZKHQLWYROXQWDULO\LPSOHPHQWHGLWVDSSUHQWLFH
SURJUDP7KHUHIRUH*0&GLGQRWDFWDVDQLQVWUXPHQWRIWKH
IHGHUDOJRYHUQPHQWLQDGPLQLVWHULQJLWVDSSUHQWLFHSURJUDP
DQGWKH)LIWK$PHQGPHQWGRHVQRWDSSO\WRWKHFRQGXFWRI
*0&LQWKLVFDVH
,9 &21&/86,21
7KH GLVWULFW FRXUW GLG QRW HUU ZKHQ LW JUDQWHG VXPPDU\
MXGJPHQWLQIDYRURI*0&RQ<HDJHU V7LWOH9,,DQG)LIWK
$PHQGPHQW FODLPV 7KHUHIRUH ZH $)),50 WKH GLVWULFW
FRXUW VJUDQWVRIVXPPDU\MXGJPHQWLQIDYRURI*0&

-- 4 of 8 --

<HDJHUY*HQHUDO0RWRUV&RUS 1R
3URFHVV &ODXVH JLYHV ULVH WR %LYHQV HPSOR\PHQW
GLVFULPLQDWLRQDFWLRQ $%LYHQVDFWLRQLVDMXGLFLDOO\FUHDWHG
GDPDJHV UHPHG\ GHVLJQHG WR YLQGLFDWH YLRODWLRQV RI
FRQVWLWXWLRQDOULJKWVE\IHGHUDODFWRUV86DW,Q
9HFWRU5HVHDUFK,QFY+RZDUG +RZDUG$WWRUQH\V3&
)G WK &LU WKLV FRXUW KHOG WKDW
SULYDWHDFWRUVZKRFDXVHFRQVWLWXWLRQDOLQMXULHVFDQEHKHOG
OLDEOHIRUGDPDJHVXQGHU%LYHQVLIWKHLUFRQGXFWLVVRUHODWHG
WRWKHIHGHUDOJRYHUQPHQWWKDWWKH\FDQEHUHJDUGHGDVIHGHUDO
DJHQWV RU DFWRUV WKDW LV WKDW WKH SULYDWH FRUSRUDWLRQ DFWHG
XQGHUFRORURIIHGHUDOODZ6HHDOVR+DPPRQVY1RUIRON6
&RUS)G WK&LU 7KHUHIRUH*0& V
OLDELOLW\ GHSHQGV RQ ZKHWKHU *0& DFWHG XQGHU FRORU RI
IHGHUDOODZZKHQLWLPSOHPHQWHGLWVDSSUHQWLFHSURJUDP
*0& LPSOHPHQWHG LWV DSSUHQWLFH SURJUDP DV SDUW RI D
&RQFLOLDWLRQ $JUHHPHQW ZLWK WKH (TXDO (PSOR\PHQW
2SSRUWXQLW\&RPPLVVLRQ7KH$JUHHPHQWWHUPLQDWHGE\LWV
RZQ WHUPV LQ EHIRUH DQ\ RI WKH HYHQWV UHODWLQJ WR
<HDJHU VFRPSODLQWRFFXUUHG3XUVXDQWWR([HFXWLYH2UGHU
1RZKLFKUHTXLUHVJRYHUQPHQWFRQWUDFWRUVWRKDYH
DIILUPDWLYHDFWLRQSURJUDPV*0&FRQWLQXHGLWVDSSUHQWLFH
SURJUDPLQFRPSOLDQFHZLWKWKH8QLWHG6WDWHV'HSDUWPHQWRI
/DERU V 2IILFH RI )HGHUDO &RQWUDFW &RPSOLDQFH 3URJUDPV
([HFXWLYH 2UGHU 1R &)5
UHSULQWHG DV DPHQGHG LQ 86& † H QRWH 7KH
DSSUHQWLFHSURJUDPLVDOVRUHJLVWHUHGZLWKWKH'HSDUWPHQWRI
/DERU V%XUHDXRI$SSUHQWLFH7UDLQLQJ<HDJHUDUJXHVWKDW
*0& VFRPSOLDQFHZLWKWKHVHJRYHUQPHQWSURJUDPVDVSDUW
RILWVFRQWUDFWXDOUHODWLRQVKLSZLWKWKHJRYHUQPHQWHVWDEOLVKHV
WKDW*0&ZDVDFWLQJXQGHUFRORURIODZDQGWKHUHIRUH*0&
VKRXOG EH FRQVLGHUHG D IHGHUDO DFWRU VXEMHFW WR )LIWK
$PHQGPHQWFRQVWUDLQWV
7KH GLVWULFW FRXUW GHWHUPLQHG WKDW *0& V YROXQWDU\
FRPSOLDQFH ZLWK JRYHUQPHQW UHJXODWLRQV DV SDUW RI LWV
FRQWUDFWXDOUHODWLRQVKLSZLWKWKHJRYHUQPHQWGLGQRWVXSSRUW
DILQGLQJRIDFWLRQXQGHUIHGHUDOODZ:HDJUHH
1R <HDJHUY*HQHUDO0RWRUV&RUS
,Q<HDJHUH[HUFLVHGKLVRSWLRQWRUHWDNHWKHZULWWHQ
H[DPDQGFKDQJHGKLV7UXFN5HSDLUSUHIHUHQFHWR0LOOZULJKW
$IWHUKLVLQWHUYLHZV<HDJHUDFKLHYHGDWRWDOVFRUHRIVL[W\LQ
0LOOZULJKW ILIW\VHYHQ LQ 7RRO 0DNLQJ DQG ILIW\ILYH LQ
3LSHILWWLQJ/DWHUWKDW\HDU*0&VHOHFWHGDSSUHQWLFHVIRULWV
$VVHPEO\ 3ODQW 7KLUWHHQ VHQLRULW\ DQG VL[ QRQVHQLRULW\
0LOOZULJKWDSSUHQWLFHVKLSVEHFDPHDYDLODEOH6L[VHQLRULW\
DQG WKUHH QRQVHQLRULW\ 3LSHILWWLQJ DSSUHQWLFHVKLSV EHFDPH
DYDLODEOH7KUHHVHQLRULW\DQGRQHQRQVHQLRULW\7RRO0DNLQJ
DSSUHQWLFHVKLSVEHFDPHDYDLODEOH<HDJHU VWRWDOVFRUHSODFHG
KLP IRXUWHHQWK DPRQJ WKH QRQVHQLRULW\ ZKLWH PDOHV IRU
0LOOZULJKWWZHQW\IRXUWKIRU3LSHILWWLQJDQGWKLUW\VL[WKIRU
7RRO 0DNLQJ 7KH WRS ILIW\ FDQGLGDWHV IRU WKH DSSUHQWLFH
SRVLWLRQVZHUHDOOZKLWHPDOHVDQG<HDJHUZDVQRWDPRQJ
WKHP$IWHUWKHWUDLQLQJSURJUDPSRLQWVZHUHIDFWRUHGLQWR
WKHRYHUDOOUDQNLQJVWKLUW\HLJKWZKLWHPDOHVZHUHDFFHSWHG
LQWRWKHDSSUHQWLFHSURJUDP:RPHQDQGPLQRULWLHVZKRKDG
VFRUHV ORZHU WKDQ <HDJHU V EHIRUH WKH\ SDUWLFLSDWHG LQ WKH
WUDLQLQJ SURJUDP ZHUH VHOHFWHG IRU WKH DSSUHQWLFHVKLS
SURJUDP
,Q <HDJHU DSSOLHG WR WKH DSSUHQWLFH SURJUDP DW
*0& V/RUGVWRZQ)DEULFDWLRQ3ODQW7KH)DEULFDWLRQ3ODQW
LVDVHSDUDWHIDFLOLW\IURPWKH$VVHPEO\3ODQWDQGLWKDVLWV
RZQ VHSDUDWH DSSUHQWLFH SURJUDP $SSOLFDQWV ZLWK D
SUHYLRXVVFRUHDWDQRWKHU*0&IDFLOLW\PD\KDYHWKHLUWRWDO
VFRUHDSSOLHGWRWKH)DEULFDWLRQ3ODQWDSSUHQWLFHSURJUDPEXW
WKH\ PXVW ILUVW JR WKURXJK WKH UDQGRP VHOHFWLRQ SURFHVV
<HDJHU ZDV QRW UDQGRPO\ VHOHFWHG IRU WKH QRQVHQLRULW\
DSSOLFDQWOLVWDQGWKHUHIRUHKLVVFRUHVZHUHQRWWUDQVIHUUHG
<HDJHUILOHGDFRPSODLQWDJDLQVW*0&DOOHJLQJYLRODWLRQV
RI 7LWOH 9,, DQG WKH )LIWK $PHQGPHQW LQ UHODWLRQ WR WKH
DGPLQLVWUDWLRQ RI WKH DSSUHQWLFH SURJUDP DW WKH $VVHPEO\
3ODQW/DWHUKHILOHGDQDPHQGHGFRPSODLQWPDNLQJ7LWOH9,,
DQG)LIWK$PHQGPHQWFODLPVLQUHODWLRQWRWKHDGPLQLVWUDWLRQ
RI WKH DSSUHQWLFH SURJUDP DW WKH )DEULFDWLRQ 3ODQW 7KH
GLVWULFWFRXUWILUVWJUDQWHG*0& VPRWLRQIRUSDUWLDOVXPPDU\
MXGJPHQW RQ <HDJHU V 7LWOH 9,, FODLPV LQ UHODWLRQ WR WKH
$VVHPEO\3ODQWDQGRQ<HDJHU V)LIWK$PHQGPHQWFODLPVLQ

-- 5 of 8 --

<HDJHUY*HQHUDO0RWRUV&RUS 1R
UHODWLRQ WR ERWK 3ODQWV 7KHQ WKH GLVWULFW FRXUW JUDQWHG
*0& VPRWLRQIRUVXPPDU\MXGJPHQWLQUHODWLRQWR<HDJHU V
7LWOH9,,FODLPVUHJDUGLQJWKH)DEULFDWLRQ3ODQW<HDJHUILOHG
DWLPHO\QRWLFHRIDSSHDO2QDSSHDO<HDJHUDUJXHVWKDWKH
KDV VWDQGLQJ WR UDLVH KLV 7LWOH 9,, FODLPV DQG *0& V
DSSUHQWLFHSURJUDPFRQVWLWXWHVDFWLRQXQGHUFRORURIODZDQG
WKHUHIRUH *0& VKRXOG EH VXVFHSWLEOH WR KLV )LIWK
$PHQGPHQWFODLPV
,,, ',6&866,21
:HUHYLHZWKHGLVWULFWFRXUW VJUDQWRIVXPPDU\MXGJPHQW
GHQRYR7D\ORUY0LFK'HSWRI&RUU)G WK
&LU :HYLHZWKHHYLGHQFHLQWKHOLJKWPRVWIDYRUDEOH
WRWKHQRQPRYLQJSDUW\WRGHWHUPLQHZKHWKHUDJHQXLQHLVVXH
RIPDWHULDOIDFWH[LVWV$GLFNHVY6+.UHVV &R86
6XPPDU\MXGJPHQWLVSURSHULIWKHHYLGHQFH
VKRZ>V@WKDWWKHUHLVQRJHQXLQHLVVXHDVWRDQ\PDWHULDOIDFW
DQGWKDWWKHPRYLQJSDUW\LVHQWLWOHGWRDMXGJPHQWDVDPDWWHU
RIODZ)HG5&LY3 F
$
$UWLFOH ,,, RI WKH &RQVWLWXWLRQ OLPLWV WKH MXULVGLFWLRQ RI
IHGHUDOFRXUWVWRFDVHVRUFRQWURYHUVLHV 86 &2167 DUW,,,
† 7KH FDVHVRUFRQWURYHUVLHV UHTXLUHPHQW KDV WKH
IROORZLQJWKUHHHOHPHQWV DQLQMXU\LQIDFW DFDXVDO
UHODWLRQVKLSEHWZHHQWKHFKDOOHQJHGFRQGXFWDQGWKHLQMXU\
DQG D OLNHOLKRRG WKDW WKH LQMXU\ ZLOO EH UHGUHVVHG E\ D
IDYRUDEOH GHFLVLRQ 1RUWKHDVWHUQ )OD &KDSWHU RI WKH
$VVRFLDWHG*HQ&RQWUDFWRUVRI$PY&LW\RI-DFNVRQYLOOH
86 7RVKRZDQLQMXU\LQIDFWLQ
WKH FRQWH[W RI DIILUPDWLYH DFWLRQ SURJUDPV WKH FKDOOHQJHU
QHHGRQO\VKRZWKDWEXWIRUWKHSURJUDPKHZRXOGKDYHEHHQ
FRQVLGHUHGIRUWKHMRE%UXQHWY&LW\RI&ROXPEXV
)G WK&LU
<HDJHU DUJXHV WKDW KH VDWLVILHG WKH LQMXU\ LQ IDFW
UHTXLUHPHQW IRU KLV 7LWOH 9,, FODLPV UHJDUGLQJ *0& V
$VVHPEO\3ODQWEHFDXVHKHVXIIHUHGWKUHHGLVWLQFWLQMXULHV
)LUVW <HDJHU DUJXHV KH KDV EHHQ LQMXUHG EHFDXVH WUDLQLQJ
1R <HDJHUY*HQHUDO0RWRUV&RUS
ZDVQRWUDQGRPO\VHOHFWHGWREHLQFOXGHGRQWKH)DEULFDWLRQ
3ODQW QRQVHQLRULW\ DSSOLFDQW OLVW 0LQRULW\ DQG IHPDOH
FDQGLGDWHVDUHQRWVXEMHFWHGWRWKHUDQGRPVHOHFWLRQSURFHVV
<HDJHUDUJXHVWKDWKLVVFRUHVZRXOGKDYHEHHQWUDQVIHUUHGWR
WKH)DEULFDWLRQ3ODQWH[FHSWIRUKLVUDFHDQGVH[DQGWKDWLI
KLVVFRUHVKDGEHHQWUDQVIHUUHGKHZRXOGKDYHEHHQVHOHFWHG
DVD0LOOZULJKWDSSUHQWLFH
:KHWKHU<HDJHU VVFRUHVZRXOGKDYHEHHQWUDQVIHUUHGEXW
IRUKLVUDFHDQGVH[LVLQDSSRVLWH7KHUHOHYDQWTXHVWLRQIRU
WKHSXUSRVHRIDVVHVVLQJVWDQGLQJLVZKHWKHU<HDJHUZRXOG
KDYH EHHQ KLUHG DV DQ DSSUHQWLFH LI KH KDG EHHQ UDQGRPO\
VHOHFWHG
<HDJHU ODFNV VWDQGLQJ EHFDXVH KH ZRXOG QRW KDYH EHHQ
VHOHFWHGDVD0LOOZULJKWDSSUHQWLFHHYHQLIKLVVFRUHVKDGEHHQ
WUDQVIHUUHG WR WKH )DEULFDWLRQ 3ODQW <HDJHU DFKLHYHG D
ZULWWHQH[DPLQDWLRQVFRUHRIWKLUW\WKUHH(YHQLIZHDVVXPH
IRUWKHVDNHRIDUJXPHQWWKDW<HDJHUZRXOGKDYHDFKLHYHG
WKHPD[LPXPLQWHUYLHZVFRUHRIWZHQW\VHYHQKLVWRWDOVFRUH
ZRXOGKDYHEHHQVL[W\,Q*0&KLUHGWZRQRQVHQLRULW\
ZKLWH PDOH 0LOOZULJKW DSSUHQWLFHV DQG ERWK KDG VFRUHV RI
VL[W\IRXU(YHQLI<HDJHU VVFRUHVKDGEHHQWUDQVIHUUHGWRWKH
)DEULFDWLRQ 3ODQW KH ZRXOG QRW KDYH EHHQ VHOHFWHG IRU D
0LOOZULJKWDSSUHQWLFHVKLSEHFDXVHWKHWZRQRQVHQLRULW\ZKLWH
PDOHVKLUHGE\*0&SRVVHVVHGVXSHULRUTXDOLILFDWLRQV LH
KLJKHU VFRUHV 7KXV <HDJHU ODFNV VWDQGLQJ EHFDXVH KH
VXIIHUHGQRLQMXU\LQIDFW7KHUHIRUHWKHGLVWULFWFRXUWGLGQRW
HUUZKHQLWJUDQWHGVXPPDU\MXGJPHQWLQIDYRURI*0&RQ
<HDJHU V7LWOH9,,FODLPVUHJDUGLQJWKH)DEULFDWLRQ3ODQW
'
)LQDOO\<HDJHUDUJXHVWKDW*0& VUHIXVDOWRKLUHKLPLQWR
LWV DSSUHQWLFH SURJUDP YLRODWHG KLV HTXDO SURWHFWLRQ ULJKWV
XQGHUWKH)LIWK$PHQGPHQW V'XH3URFHVV&ODXVH$OWKRXJK
<HDJHU V FRPSODLQW GRHV QRW VD\ VR ZH DVVXPH WKDW KH LV
DOOHJLQJ KLV )LIWK $PHQGPHQW FODLP XQGHU %LYHQV Y 6L[
8QNQRZQ 1DPHG $JHQWV 86 6HH DOVR
'DYLVY3DVVPDQ86 KROGLQJWKDW
HTXDOSURWHFWLRQFRPSRQHQWRIWKH)LIWK$PHQGPHQW V'XH

-- 6 of 8 --

<HDJHUY*HQHUDO0RWRUV&RUS 1R
FRXUWLQLWVPRWLRQIRUVXPPDU\MXGJPHQWDQG<HDJHUKDGD
FKDQFH WR UHVSRQG 7KHUHIRUH ZH FDQ FRQVLGHU ZKHWKHU
<HDJHU KDV HVWDEOLVKHG D SULPD IDFLH FDVH RI UHYHUVH
GLVFULPLQDWLRQ
$SULPDIDFLHFDVHRIUHYHUVHGLVFULPLQDWLRQLVHVWDEOLVKHG
XSRQDVKRZLQJWKDW EDFNJURXQGFLUFXPVWDQFHVVXSSRUWWKH
VXVSLFLRQWKDWWKHGHIHQGDQWLVWKDWXQXVXDOHPSOR\HUZKR
GLVFULPLQDWHVDJDLQVWWKHPDMRULW\ DQGXSRQDVKRZLQJ
WKDW WKH HPSOR\HU WUHDWHG GLIIHUHQWO\ HPSOR\HHV ZKR ZHUH
VLPLODUO\VLWXDWHGEXWQRWPHPEHUVRIWKHSURWHFWHGJURXS
0XUUD\Y7KLVWOHGRZQ5DFLQJ&OXE,QF)G
WK&LU TXRWLQJ 3DUNHUY%DOWLPRUH 2KLR55
&R)G '&&LU *0&PDLQWDLQV
WKHUH LV QR HYLGHQFH VXSSRUWLQJ DQ LQIHUHQFH WKDW LW
GLVFULPLQDWHVDJDLQVWZKLWHPHQLQWKHDGPLQLVWUDWLRQRILWV
DSSUHQWLFHSURJUDP:HDJUHH
7KHUHLVQRHYLGHQFHWKDW*0&LVWKHXQXVXDOHPSOR\HU
WKDW GLVFULPLQDWHV DJDLQVW WKH PDMRULW\ 7KH DSSUHQWLFH
SURJUDP VRYHUDOOUDQNLQJVUHYHDOWKDWWZHQW\WKUHHRIWKHWRS
WZHQW\ILYHQRQVHQLRULW\FDQGLGDWHVIRU0LOOZULJKWZHUHZKLWH
PHQWZHQW\HLJKWRIWKHWRSWKLUW\QRQVHQLRULW\FDQGLGDWHVIRU
3LSHILWWLQJ ZHUH ZKLWH PHQ DQG WZHQW\IRXU RI WKH WRS
WZHQW\ILYH QRQVHQLRULW\ FDQGLGDWHV IRU 7RRO 0DNLQJ ZHUH
ZKLWHPHQ,QIDFWHLJKW\SHUFHQWRIWKHDSSUHQWLFHVKLSVLQ
<HDJHU V VHOHFWHG WUDGHV ZHUH DZDUGHG WR ZKLWH PHQ
7KHUHIRUH WKH GLVWULFW FRXUW GLG QRW HUU ZKHQ LW JUDQWHG
VXPPDU\MXGJPHQWLQIDYRURI*0&RQ<HDJHU V7LWOH9,,
FODLPV FRQFHUQLQJ WKH $VVHPEO\ 3ODQW EHFDXVH WKHUH LV QR
HYLGHQFHWKDW*0&GLVFULPLQDWHVDJDLQVWZKLWHPHQLQWKH
DGPLQLVWUDWLRQRILWVDSSUHQWLFHSURJUDP
&
7KHGLVWULFWFRXUWGHWHUPLQHGWKDW<HDJHUODFNHGVWDQGLQJ
WR UDLVH KLV 7LWOH 9,, FODLPV FRQFHUQLQJ *0& V
DSSUHQWLFHSURJUDPDWLWV)DEULFDWLRQ3ODQW<HDJHUDUJXHV
WKDWKHKDVVWDQGLQJEHFDXVHKHVDWLVILHG$UWLFOH,,, VLQMXU\LQ
IDFWUHTXLUHPHQW7KHUHFRUGVKRZVWKDW<HDJHUZDVQHYHUD
YLDEOHDSSUHQWLFHSURJUDPFDQGLGDWHEHFDXVHKLVDSSOLFDWLRQ
1R <HDJHUY*HQHUDO0RWRUV&RUS
,Q KLV EULHI <HDJHU DUJXHG WKDW KH VXIIHUHG LQMXU\ LQ
DQG +RZHYHU <HDJHU FRQFHGHG DW RUDO DUJXPHQW WKDW KH ODFNV
VWDQGLQJ IRU KLV DQG FODLPV 7KHUHIRUH ZH DGGUHVV VROHO\
<HDJHU V FODLP
SURJUDPSRLQWVDZDUGHGWRPLQRULW\DQGIHPDOHDSSUHQWLFH
FDQGLGDWHV ZLOO DGYHUVHO\ DIIHFW KLV IXWXUH UDQNLQJ 7R
GHPRQVWUDWHDQLQMXU\LQIDFWDSODLQWLIIPXVWVKRZWKDWKH
KDVVXVWDLQHGRULVLPPHGLDWHO\LQGDQJHURIVXVWDLQLQJVRPH
GLUHFWLQMXU\DVWKHUHVXOWRIWKHFKDOOHQJHGFRQGXFWDQG
WKHLQMXU\RUWKUHDWRILQMXU\PXVWEHERWKUHDODQGLPPHGLDWH
QRW FRQMHFWXUDO RU K\SRWKHWLFDO &LW\ RI /RV $QJHOHV Y
/\RQV 86 LQWHUQDO TXRWDWLRQV
RPLWWHG
7KHGLVWULFWFRXUWGHWHUPLQHGWKDW<HDJHU VSRWHQWLDOIXWXUH
LQMXU\ ZDV WRR VSHFXODWLYH WR VDWLVI\ $UWLFOH ,,, V VWDQGLQJ
UHTXLUHPHQWV:HDJUHH$Q\ SRVVLEOHLQMXU\WR<HDJHU V
IXWXUH UDQNLQJ LV QRW LPPLQHQW *0& PD\ WHUPLQDWH LWV
WUDLQLQJSURJUDPDWDQ\WLPH)XWXUHQRQVHQLRULW\DSSUHQWLFH
DSSOLFDQWV PD\ DFKLHYH KLJKHU XQDGMXVWHG VFRUHV WKDQ
<HDJHU V DQG SUHYHQW KLP IURP EHFRPLQJ DQ DSSUHQWLFH
UHJDUGOHVVRIWKHWUDLQLQJSURJUDP7KHUHIRUH<HDJHU VFODLP
RI SRWHQWLDO IXWXUH LQMXU\ LV WRR VSHFXODWLYH WR JUDQW KLP
VWDQGLQJ
6HFRQG<HDJHUDUJXHVWKDWKHZDVLQMXUHGEHFDXVHKHGLG
QRWUHFHLYHDQDSSUHQWLFHVKLSLQ7RVDWLVI\$UWLFOH,,, V
FDVHVRUFRQWURYHUVLHV UHTXLUHPHQW WKHUH PXVW EH D FDXVDO
UHODWLRQVKLSEHWZHHQWKHFKDOOHQJHGFRQGXFWDQGWKHLQMXU\
1RUWKHDVWHUQ )OD &KDSWHU RI WKH $VVRFLDWHG *HQ
&RQWUDFWRUV RI $P Y &LW\ RI -DFNVRQYLOOH 86 DW

7KHGLVWULFWFRXUWGHWHUPLQHGWKDWUHJDUGOHVVRIWKHWUDLQLQJ
SURJUDP<HDJHUZRXOGQRWKDYHUHFHLYHGDQDSSUHQWLFHVKLS
LQ DQG WKHUHIRUH WKDW QR FDXVDO FRQQHFWLRQ H[LVWHG
EHWZHHQ*0& VWUDLQLQJSURJUDPDQG<HDJHU VDOOHJHGLQMXU\
:H DJUHH <HDJHU ZDV QRW LQMXUHG ZLWKLQ WKH PHDQLQJ RI
$UWLFOH,,,EHFDXVH*0&KLUHGILIW\DSSUHQWLFHVLQDQG

-- 7 of 8 --

<HDJHUY*HQHUDO0RWRUV&RUS 1R
ILIW\ FDQGLGDWHV ZLWK KLJKHU XQDGMXVWHG VFRUHV RXWUDQNHG
<HDJHU 7KXV *0& V WUDLQLQJ SURJUDP GLG QRW SUHYHQW
<HDJHUIURPREWDLQLQJDQDSSUHQWLFHVKLS7KHUHIRUHWKHUHLV
QRFDXVDOFRQQHFWLRQEHWZHHQ*0& VWUDLQLQJSURJUDPDQG
<HDJHU VDOOHJHGLQMXU\RIIDLOLQJWRUHFHLYHDQDSSUHQWLFHVKLS
7KLUG <HDJHU DUJXHV WKDW KH VXIIHUHG DQ LQMXU\ LQ IDFW
EHFDXVH KH ZDV QRW DOORZHG WR SDUWLFLSDWH LQ WKH WUDLQLQJ
SURJUDP LQ ,Q VXSSRUW RI KLV VWDQGLQJ DUJXPHQW
<HDJHUUHOLHVXSRQ5HJHQWVRIWKH8QLYRI&DOY%DNNH
86 ,Q%DNNHDZKLWHPDOHDSSOLFDQWFODLPHGWKH
PHGLFDO VFKRRO V VSHFLDO DGPLVVLRQV SURJUDP YLRODWHG WKH
)RXUWHHQWK $PHQGPHQW V (TXDO 3URWHFWLRQ &ODXVH EHFDXVH
VL[WHHQRIRQHKXQGUHGVHDWVZHUHUHVHUYHGIRUGLVDGYDQWDJHG
PLQRULW\VWXGHQWV7KH&RXUWDGGUHVVHG$UWLFOH,,, VVWDQGLQJ
UHTXLUHPHQWVEHIRUHLWUHDFKHGWKHPHULWVRI%DNNH V(TXDO
3URWHFWLRQ FODLP 7KH &RXUW GHWHUPLQHG WKDW LW ZDV QRW
QHFHVVDU\ IRU %DNNH WR VKRZ WKDW KH ZRXOG KDYH EHHQ
DGPLWWHGZLWKRXWWKHUHVHUYDWLRQRIVHDWVEHFDXVHVWDQGLQJ
PD\EHHVWDEOLVKHGLIWKHSODLQWLIILVQRWJLYHQWKHRSSRUWXQLW\
WR FRPSHWH IRU DOO RI WKH DYDLODEOH VORWV ,G DW Q
<HDJHULQVLVWVWKDWKHKDVVWDQGLQJWRFKDOOHQJHKLVH[FOXVLRQ
IURP*0& VWUDLQLQJSURJUDPXQGHU%DNNH V LQMXU\LQIDFW
DQDO\VLVEHFDXVHQRZKLWHPDOHVPD\SDUWLFLSDWHLQ*0& V
WUDLQLQJSURJUDP
7KHGLVWULFWFRXUWGLVWLQJXLVKHG%DNNHRQWKHEDVLVWKDWWKH
WUDLQLQJSURJUDPZDVQRWDQHGXFDWLRQDOSURJUDP7KH
FRXUW GHWHUPLQHG WKDW WKH WUDLQLQJ SURJUDP PHUHO\
DIIRUGHGPLQRULWLHVDQGIHPDOHVWKHRSSRUWXQLW\WRHDUQXSWR
VHYHQ H[WUD WRWDO SRLQWV 7KH GLVWULFW FRXUW FRQFOXGHG WKDW
<HDJHUIDLOHGWRVKRZKHZDVH[FOXGHGIURPDSURJUDPWKDW
KHZDVHQWLWOHGWREHFDXVHWKHWUDLQLQJSURJUDPZDVQRWDQ
HGXFDWLRQDO SURJUDP +RZHYHU UHJDUGOHVV RI ZKHWKHU WKH
GLVWULFWFRXUW VDWWHPSWWRGLVWLQJXLVK%DNNHVXFFHHGV<HDJHU
ODFNV VWDQGLQJ XQGHU $UWLFOH ,,, V FDVHVRUFRQWURYHUVLHV
UHTXLUHPHQW
2XU$UWLFOH,,,VWDQGLQJDQDO\VLVIRFXVHVRQZKHWKHU<HDJHU
KDVVKRZQWKDWEXWIRUWKHWUDLQLQJSURJUDPKHZRXOGKDYH
1R <HDJHUY*HQHUDO0RWRUV&RUS
EHHQ KLUHG IRU DQ DSSUHQWLFHVKLS 6HH %UXQHW Y &LW\ RI
&ROXPEXV)GDW KROGLQJWKDWWRKDYHVWDQGLQJLQWKH
FRQWH[WRIDIILUPDWLYHDFWLRQSURJUDPVWKHFKDOOHQJHUQHHG
RQO\ VKRZ WKDW EXW IRU WKH SURJUDP KH ZRXOG KDYH EHHQ
FRQVLGHUHGIRUWKHMRE <HDJHU VH[FOXVLRQIURPWKH
WUDLQLQJSURJUDPLVUHOHYDQWIRUWKLVFDVHRQO\DVLWUHODWHVWR
*0& VIDLOXUHWRKLUHKLPDVDQDSSUHQWLFH7KHUHFRUGVKRZV
WKDW<HDJHUDOOHJHGLQKLVFRPSODLQWWKDW*0&YLRODWHG7LWOH
9,,DQGWKH)LIWK$PHQGPHQWZKHQLWUHIXVHGWRKLUHKLPLQWR
LWVDSSUHQWLFHSURJUDP<HDJHU VFRPSODLQWVHHNVLQMXQFWLYH
UHOLHI HOLPLQDWLQJ WKH WUDLQLQJ SURJUDP SUHFLVHO\ EHFDXVH
<HDJHU VFRPSODLQWLVSUHGLFDWHGRQWKHDVVXPSWLRQWKDWEXW
IRUWKHWUDLQLQJSURJUDPKHZRXOGKDYH EHHQKLUHGIRUDQ
DSSUHQWLFHVKLS *0& V IDLOXUH WR DFFHSW <HDJHU LQWR WKH
WUDLQLQJSURJUDPGRHVQRWFRQVWLWXWHDQLQMXU\LQIDFWEHFDXVH
LWLVQRWFDXVDOO\UHODWHGWRKLVDOOHJHGLQMXU\LQWKLVFDVH²KLV
H[FOXVLRQ IURP WKH DSSUHQWLFH SURJUDP :H KDYH DOUHDG\
GHWHUPLQHGWKDWUHJDUGOHVVRIWKHWUDLQLQJSURJUDP<HDJHU
ZRXOG QRW KDYH UHFHLYHG DQ DSSUHQWLFHVKLS LQ DQG
WKHUHIRUHKHZDVQRWLQMXUHGZLWKLQWKHPHDQLQJRI$UWLFOH,,,
EHFDXVH WKHUH LV QR FDXVDO FRQQHFWLRQ EHWZHHQ *0& V
WUDLQLQJSURJUDPDQG<HDJHU VDOOHJHGLQMXU\
%
+RZHYHUHYHQLIZHDVVXPHIRUWKHVDNHRIDUJXPHQWWKDW
<HDJHUKDGVWDQGLQJWREULQJD7LWOH9,,DFWLRQFRQFHUQLQJ
*0& V $VVHPEO\ 3ODQW DSSUHQWLFH SURJUDP VXFK DFWLRQ
ZRXOG QRW VWDQG RQ WKH PHULWV EHFDXVH <HDJHU FDQQRW
HVWDEOLVKDSULPDIDFLHFDVHRIUHYHUVHGLVFULPLQDWLRQ:H
UHFRJQL]H WKDW WKH GLVWULFW FRXUW GLG QRW UHDFK WKLV LVVXH
+RZHYHUWKLVFRXUWFDQDIILUPDJUDQWRIVXPPDU\MXGJPHQW
RQ D JURXQG SUHVHQWHG WR WKH GLVWULFW FRXUW LI WKH RSSRVLQJ
SDUW\KDGDFKDQFHWRUHVSRQG)R[Y9DQ2RVWHUXP
)G WK&LU FLWLQJ+HUPY6WDIIRUG
)GQ WK&LU $QDSSHOODWHFRXUWFDQ
ILQGDQDOWHUQDWLYHEDVLVIRUFRQFOXGLQJWKDWDSDUW\LVHQWLWOHG
WRVXPPDU\MXGJPHQWSURYLGHGLWSURFHHGVFDUHIXOO\VR
WKHRSSRVLQJSDUW\LVQRWGHQLHGDQRSSRUWXQLW\WRUHVSRQGWR
WKHQHZWKHRU\ *0&SUHVHQWHGWKLVLVVXHWRWKHGLVWULFW

-- 8 of 8 --

Continue sua pesquisa no ChatGPT ou Claude

Conecte o Omnilex para pesquisar o corpus jurídico pelo seu assistente de IA.