99-3490•01a0376p.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
6+$:1 0$11,1*
3HWLWLRQHU$SSHOODQW
Y
67(3+(1 +8))0$1:DUGHQ
5HVSRQGHQW$SSHOOHH
;!
1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW&ROXPEXV
1R²$OJHQRQ/0DUEOH\'LVWULFW-XGJH
$UJXHG'HFHPEHU
'HFLGHGDQG)LOHG2FWREHU
%HIRUH0$57,1&KLHI-XGJH-21(6DQG&2/(
&LUFXLW-XGJHV
BBBBBBBBBBBBBBBBB
&2816(/
$5*8('6XVDQ%*HOOPDQ:2/0$1*(16+$)7
*(//0$1&ROXPEXV2KLRIRU$SSHOODQW06FRWW&ULVV
2 ) ) ,& ( 2) 7 + ( $ 7 7 2 5 1 ( < * ( 1 ( 5 $ /
&255(&7,216/,7,*$7,216(&7,21&ROXPEXV2KLR
IRU$SSHOOHH21%5,()6XVDQ%*HOOPDQ%HQVRQ$
:ROPDQ :2/0$1 *(16+$)7 *(//0$1
&ROXPEXV2KLRIRU$SSHOODQW06FRWW&ULVV2)),&(2)
-- 1 of 6 --
0DQQLQJY+XIIPDQ 1R
7+( $77251(< *(1(5$/ &255(&7,216
/,7,*$7,216(&7,21&ROXPEXV2KLRIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
1$7+$1,(/5-21(6&LUFXLW-XGJH,Q6KDZQ
0DQQLQJZDVFRQYLFWHGRIDJJUDYDWHGUREEHU\ZLWKDILUHDUP
VSHFLILFDWLRQDQGRIUHFHLYLQJVWROHQSURSHUW\LQWKH&RXUWRI
&RPPRQ 3OHDV IRU 'HODZDUH &RXQW\ 2KLR $IWHU
XQVXFFHVVIXOO\DSSHDOLQJKLVFDVHLQWKH2KLRFRXUWV0DQQLQJ
ILOHGDSHWLWLRQIRUDZULWRIKDEHDVFRUSXVXQGHU86&
LQWKH8QLWHG6WDWHV'LVWULFW&RXUWIRUWKH6RXWKHUQ
'LVWULFWRI2KLR7KHGLVWULFWFRXUWLQLWLDOO\GHQLHGWKHZULW
EXWODWHUJUDQWHG0DQQLQJDFHUWLILFDWHRIDSSHDODELOLW\)RU
WKHUHDVRQVWKDWIROORZZH5(9(56(WKHGLVWULFWFRXUW¶V
GHQLDORI0DQQLQJ¶VSHWLWLRQIRUDZULWRIKDEHDVFRUSXVDQG
5(0$1' WKLV FDVH IRU GLVSRVLWLRQ FRQVLVWHQW ZLWK WKLV
RSLQLRQ
,)DFWV
$SSHOODQW6KDZQ0DQQLQJZDVFKDUJHGZLWKDJJUDYDWHG
UREEHU\ZLWKDILUHDUPVSHFLILFDWLRQDQGRIUHFHLYLQJVWROHQ
SURSHUW\-XVWEHIRUHFORVLQJDUJXPHQWVWKHWULDOFRXUWMXGJH
VWDWHGWKDWKHKDGGHFLGHGWR³WU\VRPHWKLQJXQLTXHLQWULDO´
7KH FRXUW LQGLFDWHG WKDW LW LQWHQGHG WR DOORZ WZR DOWHUQDWH
MXURUVWRSDUWLFLSDWHLQMXU\GHOLEHUDWLRQV7KHVHDOWHUQDWHV
ZRXOG UHSODFH UHJXODU MXURUV LQ WKH HYHQW WKDW DQ\ RI WKH
UHJXODU MXURUV KDG WR EH H[FXVHG EHIRUH WKH MXU\ UHDFKHG D
YHUGLFW
$OWKRXJKWKHSURVHFXWRUZDUQHGWKHFRXUWWKDWWKHUHZDVQR
OHJDO DXWKRULW\ WR VXSSRUW WKLV H[SHULPHQW KH VDLG WKDW KH
ZRXOGFRQVHQWWRWKHDUUDQJHPHQWLIWKHGHIHQGDQWSHUVRQDOO\
DJUHHGWRLW7KHWULDOUHFRUGUHIOHFWVWKDW0DQQLQJ¶VODZ\HU
DJUHHGWRWKHSDUWLFLSDWLRQRIWKHDOWHUQDWHMXURUVDQGVWDWHG
WKDW0DQQLQJDOVRDJUHHG+RZHYHUWKHUHLVQRLQGLFDWLRQ
-- 2 of 6 --
0DQQLQJY+XIIPDQ 1R
7KH JRYHUQPHQW DOVR DUJXHV WKDW HYHQ LI 2ODQR FUHDWHG D
SUHVXPSWLRQ RI SUHMXGLFH WKH 2ODQR SUHMXGLFH DQDO\VLV GRHV QRW DSSO\ WR
WKLV FDVH EHFDXVH KDEHDV FDVHV UHTXLUH D GLIIHUHQW W\SH RI SUHMXGLFH
DQDO\VLV 7KLV DUJXPHQW LV ZLWKRXW PHULW ,Q %UHFKW Y $EUDKDPVRQ WKH
6XSUHPH &RXUW KHOG WKDW KDEHDV SHWLWLRQHUV DUH QRW HQWLWOHG WR UHOLHI EDVHG
RQ ³KDUPOHVV HUURU´ 86 6&W
6HH )(' 5 &5,0 3 ³$Q\ HUURU GHIHFW LUUHJXODULW\ RU YDULDQFH
ZKLFK GRHV QRW DIIHFW VXEVWDQWLDO ULJKWV VKDOO EH GLVUHJDUGHG 3ODLQ HUURUV
RU GHIHFWV DIIHFWLQJ VXEVWDQWLDO ULJKWV PD\ EH QRWLFHG DOWKRXJK WKH\ ZHUH
QRW EURXJKW WR WKH DWWHQWLRQ RI WKH FRXUW´ 7KH &RXUW QRWHG WKDW RQH RI
WKH YLUWXHV RI DSSO\LQJ WKH KDUPOHVV HUURU DQDO\VLV LQ KDEHDV FDVHV ZDV
WKDW IHGHUDO FRXUWV FRXOG WXUQ WR DQ H[LVWLQJ ERG\ RI FDVH ODZ WR DSSO\ WKLV
VWDQGDUG %UHFKW 86 DW 7KLV KDUPOHVV HUURU DQDO\VLV LV WKH
VDPH DQDO\VLV WKDW WKH 6XSUHPH &RXUW DSSOLHG LQ 2ODQR 86 DW
WKDW³LIWKH>HYLGHQWLDU\KHDULQJ@UHYHDOHGWKDWWKHDOWHUQDWH
KDGSDUWLFLSDWHGLQWKHMXU\¶VGHOLEHUDWLRQVRU WKDWLQVRPH
RWKHUZD\WKH DOWHUQDWH¶VSUHVHQFHPLJKWKDYHDIIHFWHGWKH
MXU\¶VYHUGLFWWKHQUHYHUVDOLVUHTXLUHG´)GDW
6LPLODUO\ LQ $OOLVRQ WKH )LIWK &LUFXLW REVHUYHG WKDW
³VXIILFLHQWSUHMXGLFHDQGHIIHFWRQWKHMXU\¶VYHUGLFWZRXOGEH
VKRZQ DQG WKHUHIRUH D QHZ WULDO UHTXLUHG LI WKH DOWHUQDWH
GLVREH\HGWKHFRXUW¶VLQVWUXFWLRQVDQGLQDQ\ZD\SDUWLFLSDWHG
LQWKHMXU\GHOLEHUDWLRQV´)GDW$FFRUGLQJO\ZH
KROG WKDW 0DQQLQJ¶V HYLGHQFH WKDW DQ DOWHUQDWH MXURU
SDUWLFLSDWHGLQMXU\GHOLEHUDWLRQVLVVXIILFLHQWWRGHPRQVWUDWH
SUHMXGLFH
,9&RQFOXVLRQ
)RUWKHUHDVRQVVWDWHGDERYHZH5(9(56(WKHGLVWULFW
FRXUW¶V GHFLVLRQ GHQ\LQJ D ZULW RI KDEHDV FRUSXV DQG
5(0$1'WRWKDWFRXUWIRUIXUWKHUSURFHHGLQJV FRQVLVWHQW
ZLWKWKLVFRXUW¶VRSLQLRQ
1R 0DQQLQJY+XIIPDQ
WKDW0DQQLQJZDVDSSULVHGRIKLVULJKWVRUWKDWKHSHUVRQDOO\
FRQVHQWHGWRWKHDUUDQJHPHQW
7KHFRXUWSURFHHGHGZLWKLWVSODQ,QVWHDGRIGLVPLVVLQJ
WKH DOWHUQDWH MXURUV DV UHTXLUHG E\ 2KLR 5XOH RI &ULPLQDO
3URFHGXUH ) WKHFRXUWWROGWKHDOWHUQDWHMXURUVWRUHWLUH
ZLWKWKHMXU\DQGVSHFLILFDOO\GLUHFWHGWKHPWR³WDNHSDUWLQ
WKHGLVFXVVLRQVDQGGHOLEHUDWLRQV´$OWKRXJKQHLWKHURIWKH
DOWHUQDWHMXURUVUHSODFHGDUHJXODUMXURULWLVXQGLVSXWHGWKDW
RQH RI WKH DOWHUQDWH MXURUV DFWLYHO\ SDUWLFLSDWHG LQ WKH
GHOLEHUDWLRQV
8SRQFRQYLFWLRQ0DQQLQJILOHGKLVGLUHFWDSSHDOZLWKWKH
2KLR&RXUWRI$SSHDOVIRUWKH)LIWK$SSHOODWH'LVWULFW7KDW
FRXUWIRXQGWKDW0DQQLQJKDGZDLYHGKLVFODLPRQWKHLVVXH
RIDOWHUQDWHMXURUSDUWLFLSDWLRQZKHQKHIDLOHGWRREMHFWWRWKH
XQXVXDODUUDQJHPHQWDWWULDO7KLVSURPSWHGDQDSSHDOWRWKH
2KLR 6XSUHPH &RXUW ZKLFK GHFOLQHG WR WDNH MXULVGLFWLRQ
0DQQLQJ¶V DSSHOODWH ODZ\HU GLG QRW UDLVH D FODLP IRU
LQHIIHFWLYH DVVLVWDQFH RI WULDO FRXQVHO EHIRUH WKH DSSHOODWH
FRXUWRULQWKH0HPRUDQGXPLQ6XSSRUWRI-XULVGLFWLRQWKDW
KHVXEPLWWHGWRWKH6XSUHPH&RXUW
)ROORZLQJ WKH 2KLR 6XSUHPH &RXUW¶V UHIXVDO WR WDNH
MXULVGLFWLRQWKH2KLR&RXUWRI$SSHDOVUHRSHQHG0DQQLQJ¶V
FDVHWRDGGUHVVWKHLVVXHRILQHIIHFWLYHDVVLVWDQFHRIDSSHOODWH
FRXQVHO ,W ZDV DUJXHG WKDW KLV DSSHOODWH FRXQVHO ZDV
LQHIIHFWLYHEHFDXVHKHIDLOHGWRUDLVHWKHFODLPWKDW0DQQLQJ¶V
WULDO FRXQVHO UHQGHUHG LQHIIHFWLYH DVVLVWDQFH E\ IDLOLQJ WR
REMHFW WR WKH SDUWLFLSDWLRQ RI DOWHUQDWH MXURUV DW WULDO 7KH
FRXUWRIDSSHDOVIRXQGWKDW0DQQLQJFRXOGQRWSUHYDLORQDQ
LQHIIHFWLYHDVVLVWDQFHRIDSSHOODWHFRXQVHOEHFDXVHKHFRXOG
QRWVKRZWKDWWKLVIDLOXUHKDGSUHMXGLFHGKLVFDVH7KHFRXUW
VWDWHG WKDW ³>W@KH UHFRUG GRHV QRW HVWDEOLVK DQ\ SUHMXGLFH
ZKLFKLQMXUHGWKHDSSHOODQW,WLVLPSRVVLEOHWRGHWHUPLQHLI
DQ\MXURURUDOWHUQDWHMXURUYLRODWHGWKHFRXUW¶VRUGHUVRULI
WKHUHZDVDQ\SDUWLFLSDWLRQE\WKHDOWHUQDWHMXURUV´
,QUHVSRQVH0DQQLQJSHWLWLRQHGWKH2KLR6XSUHPH&RXUW
,Q D 0HPRUDQGXP LQ 6XSSRUW RI -XULVGLFWLRQ 0DQQLQJ
FRQWHVWHG WKH DSSHOODWH FRXUW¶V KROGLQJ WKDW KH KDG QRW
-- 3 of 6 --
0DQQLQJY+XIIPDQ 1R
HVWDEOLVKHGSUHMXGLFHQHFHVVDU\WRSUHYDLORQKLVLQHIIHFWLYH
DVVLVWDQFHRIFRXQVHOFODLP+HSRLQWHGRXWWKDWFRQWUDU\WR
WKHDSSHOODWHFRXUW¶VILQGLQJWKHDOWHUQDWHMXURUVLQKLVFDVH
GLGSDUWLFLSDWHLQWKHMXU\GHOLEHUDWLRQV+HDUJXHGWKDWKLV
WULDOFRXQVHO¶VDFTXLHVFHQFHWRWKHSDUWLFLSDWLRQRIDOWHUQDWH
MXURUVLQMXU\GHOLEHUDWLRQVSUHMXGLFHGKLVFDVHEHFDXVHWKH
SDUWLFLSDWLRQ RI DOWHUQDWH MXURUV LV D VWUXFWXUDO GHIHFW WKDW
FRQVWLWXWHVSUHMXGLFHSHUVH2QFHDJDLQWKH2KLR6XSUHPH
&RXUW GHFOLQHG WR WDNH MXULVGLFWLRQ ,W VWDWHG WKDW ³>X@SRQ
FRQVLGHUDWLRQ RI WKH MXULVGLFWLRQDO PHPRUDQGD ILOHG LQ WKLV
FDVH WKH &RXUW GLVPLVVHV WKH DSSHDO DV QRW LQYROYLQJ DQ\
VXEVWDQWLDOFRQVWLWXWLRQDOTXHVWLRQ´
0DQQLQJILOHGDSHWLWLRQIRUZULWRIKDEHDVFRUSXVLQWKH
8QLWHG6WDWHV'LVWULFW&RXUWIRUWKH6RXWKHUQ'LVWULFWRI2KLR
,QKLVSHWLWLRQ0DQQLQJDVVHUWHGWKDWKLVWULDOODZ\HU¶VIDLOXUH
WRREMHFWWRWKHWULDOFRXUW¶VGHFLVLRQWRDOORZDOWHUQDWHMXURUV
WRSDUWLFLSDWHLQMXU\GHOLEHUDWLRQVZDVDYLRODWLRQRIKLVULJKW
WR HIIHFWLYH DVVLVWDQFH RI FRXQVHO ,Q UHVSRQVH WKH VWDWH
DUJXHG WKDW 0DQQLQJ SURFHGXUDOO\ GHIDXOWHG KLV FODLP IRU
LQHIIHFWLYHDVVLVWDQFHRIWULDOFRXQVHOZKHQKHIDLOHGWRUDLVH
LW RQ GLUHFW DSSHDO $OWHUQDWLYHO\ WKH VWDWH DUJXHG WKDW
0DQQLQJFRXOGQRWGHPRQVWUDWHWKHSUHMXGLFHQHFHVVDU\WR
SUHYDLORQKLVFODLP
$GGUHVVLQJWKHVHDUJXPHQWVWKHGLVWULFWFRXUWQRWHGWKDWWKH
TXHVWLRQ RI ZKHWKHU D VWDWH SURFHGXUDO GHIDXOW SUHFOXGHG
0DQQLQJIURPREWDLQLQJIHGHUDOKDEHDVUHYLHZLVJRYHUQHGE\
WKHIRXUSDUWDQDO\VLVRXWOLQHGLQ0DXSLQY6PLWK)G
WK&LU 7KHFRXUWH[SODLQHG
)LUVW WKH FRXUW PXVW GHWHUPLQH WKDW WKHUH LV D VWDWH
SURFHGXUDO UXOH WKDW LV DSSOLFDEOH WR WKH SHWLWLRQHU¶V
FODLPDQGWKDWWKHSHWLWLRQHUIDLOHGWRFRPSO\ZLWKWKH
UXOH6HFRQGWKHFRXUWPXVWGHWHUPLQHZKHWKHUWKHVWDWH
FRXUWVDFWXDOO\HQIRUFHGWKHVWDWHVDQFWLRQ7KLUGLWPXVW
EHGHFLGHGZKHWKHUWKHVWDWHIRUIHLWXUHLVDQ³DGHTXDWH
DQGLQGHSHQGHQW´VWDWHJURXQGRQZKLFKWKHVWDWHFDQUHO\
WR IRUHFORVH UHYLHZ RI D IHGHUDO FRQVWLWXWLRQDO FODLP
)LQDOO\LIWKHFRXUWKDVGHWHUPLQHGWKDWDVWDWHSURFHGXUDO
1R 0DQQLQJY+XIIPDQ
7KHVH FRXUW¶V KDYH SRLQWHG RXW WKDW WKLV LQWHUSUHWDWLRQ LV EROVWHUHG
E\ WKH IDFW WKDW VWULFW HYLGHQWLDU\ SURKLELWLRQV DJDLQVW LQTXLULQJ LQWR WKH
PHQWDO SURFHVVHV RI WKH MXU\ ZRXOG PDNH LW DOPRVW LPSRVVLEOH IRU D
GHIHQGDQW WR VKRZ WKDW DQ DOWHUQDWH MXURU LQ IDFW SUHMXGLFHG KLV FDVH $V
WKH WK &LUFXLW H[SODLQHG LQ $FHYHGR ³5XOH E SUHYHQWV DQ\ LQTXLU\
RI WKH WZHOYH UHJXODU MXURUV UHJDUGLQJ μDQ\ PDWWHU RU VWDWHPHQW¶ PDGH E\
D MXURU DV ZHOO DV WKH MXURUV¶ μPHQWDO SURFHVVHV¶ :LWK WKHVH FRQVWUDLQWV
LW LV LPSRVVLEOH IRU DQ\ FRXUW WR GHWHUPLQH WKH H[WHQW RI WKH DOWHUQDWHV¶
LQIOXHQFH RQ WKH UHJXODU MXURUV RQFH D ILQDO YHUGLFW KDV EHHQ UHQGHUHG´
)G DW Q 6HH DOVR 2WWHUVEXUJ )G DW Q
)HGHUDO 5XOH RI (YLGHQFH E DQG WKH LGHQWLFDO 2KLR SURYLVLRQ VWDWH
WKDW ³D MXURU PD\ QRW WHVWLI\ DV WR DQ\ PDWWHU RU VWDWHPHQW RFFXUULQJ GXULQJ
WKH FRXUVH RI WKH MXU\¶V GHOLEHUDWLRQV RU WR WKH HIIHFW RI DQ\WKLQJ XSRQ KLV
RU DQ\ RWKHU MXURU¶V PLQG RU HPRWLRQV DV LQIOXHQFLQJ KLP WR DVVHQW WR RU
GLVVHQW IURP WKH YHUGLFW RU LQGLFWPHQW RU FRQFHUQLQJ KLV PHQWDO SURFHVVHV
LQ FRQQHFWLRQ WKHUHZLWK´ )(' 5 (9,' E 2+,2 5 (9,' %
6' 3HRSOHY%DEELQJWRQ1(G
,OO$SS&W
'HVSLWHWKHVHSUHFHGHQWVWKHJRYHUQPHQWDUJXHVWKDWWKH
6XSUHPH &RXUW GLG QRW LQWHQG WR FUHDWH DQ DXWRPDWLF
SUHVXPSWLRQRISUHMXGLFHDQ\WLPHDOWHUQDWHMXURUVSDUWLFLSDWH
LQGHOLEHUDWLRQV,WFRQWHQGVWKDWVXFKDQLQWHUSUHWDWLRQZRXOG
EH DW RGGV ZLWK ODQJXDJH LQ WKH 2ODQR RSLQLRQ ZKLFK
LQGLFDWHVWKDWWKH³XOWLPDWHLQTXLU\´LVZKHWKHUWKHLQWUXVLRQV
³DIIHFWWKHMXU\¶VGHOLEHUDWLRQVDQGWKHUHE\LWVYHUGLFW´6HH
2ODQR86DW:HGLVDJUHH
7KH6XSUHPH&RXUW¶VVWDWHPHQWWKDWWKH³XOWLPDWHLQTXLU\´
LVZKHWKHUWKHDOWHUQDWHMXURUDIIHFWHGWKHMXU\GHOLEHUDWLRQV
DQGWKHYHUGLFWGRHVQRWQHFHVVDULO\LPSO\WKDWWKHGHIHQGDQW
PXVWVKRZVSHFLILFSUHMXGLFHWRSUHYDLO7RWKHFRQWUDU\WKH
2ODQR FRXUW PDGH LW TXLWH FOHDU WKDW LQ VRPH VLWXDWLRQV D
SUHVXPSWLRQRISUHMXGLFHLVDSSURSULDWH,G FLWLQJ7XUQHUY
/RXLVLDQD866&W ,QIDFWERWK
RI WKH FDVHV WKDW WKH &RXUW FLWHG LQ H[SODLQLQJ KRZ WKH
SUHVHQFHRI DOWHUQDWHMXURUVPLJKWSUHMXGLFHWKHGHIHQGDQW
8QLWHG6WDWHVY:DWVRQ)G WK&LU DQG
8QLWHG6WDWHVY$OOLVRQ)G WK&LU KHOG
WKDW WKH SDUWLFLSDWLRQ RI DOWHUQDWH MXURUV LV VXIILFLHQW WR
HVWDEOLVKSUHMXGLFH,Q:DWVRQWKH(OHYHQWK&LUFXLWVWDWHG
-- 4 of 6 --
0DQQLQJY+XIIPDQ 1R
5XOH E VWDWHV ³3ODLQ HUURUV RU GHIHFWV DIIHFWLQJ VXEVWDQWLDO ULJKWV
PD\ EH QRWLFHG DOWKRXJK WKH\ ZHUH QRW EURXJKW WR WKH DWWHQWLRQ RI WKH
FRXUW´ )(' 5 &5,0 3 E
3URFHGXUH7KH&RXUWKHOGWKDWWKHUHVROXWLRQRIWKLVLVVXH
WXUQHG RQ ZKHWKHU WKH WULDO FRXUW¶V HUURU SUHMXGLFHG WKH
GHIHQGDQWV,WIRXQGWKDWWKHPHUHSUHVHQFHRIDOWHUQDWHMXURUV
ZDVQRWVXIILFLHQWWRGHPRQVWUDWHSUHMXGLFH,GDW
+RZHYHULQDUULYLQJDWWKLVFRQFOXVLRQWKH6XSUHPH&RXUW
QRWHGWKDWLQVRPHFDVHVWKHSUHVHQFHRIDOWHUQDWHMXURUVPLJKW
SUHMXGLFHWKHGHIHQGDQW,WVWDWHG
,QWKHRU\WKHSUHVHQFHRIDOWHUQDWHMXURUVPLJKWSUHMXGLFH
D GHIHQGDQW LQ WZR GLIIHUHQW ZD\V HLWKHU EHFDXVH
DOWHUQDWHV DFWXDOO\ SDUWLFLSDWHG LQ WKH GHOLEHUDWLRQV
YHUEDOO\ RU WKURXJK ERG\ ODQJXDJH RU EHFDXVH WKH
DOWHUQDWHV SUHVHQFH H[HUWHG D ³FKLOOLQJ´ HIIHFW RQ WKH
UHJXODUMXURUV6HH:DWVRQVXSUDDW8QLWHG6WDWHV
Y$OOLVRQ)G &$
,GDW
6HL]LQJRQWKLVODQJXDJHVHYHUDOVWDWHDQGIHGHUDOFRXUWV
KDYHKHOGWKDWWKHGHIHQGDQWPD\HVWDEOLVKSUHMXGLFHVLPSO\
E\ VKRZLQJ WKDW DOWHUQDWHV DFWXDOO\ SDUWLFLSDWHG LQ MXU\
GHOLEHUDWLRQV)RUH[DPSOHLQ8QLWHG6WDWHVY2WWHUVEXUJ
WKH 6HYHQWK &LUFXLW KHOG WKDW 2ODQR ³LQGLFDWHV WKDW WKH
VXEVWDQWLYHSDUWLFLSDWLRQRIDOWHUQDWHVRQFHHVWDEOLVKHGLV
VXIILFLHQWWRHVWDEOLVKSUHMXGLFH´)G WK&LU
6LPLODUO\LQ8QLWHG6WDWHVY$FHYHGRWKH(OHYHQWK
&LUFXLWREVHUYHGWKDWWKH2ODQRGHFLVLRQ³LPSOLHGWKDWRQFH
WKHDOWHUQDWHSDUWLFLSDWHVLQDQ\ZD\ZKHWKHUWKURXJKZRUGV
RU JHVWXUHVSUHMXGLFH LV PDQLIHVW´ )G
WK&LU VHHDOVR6WDWHY1HOVRQ1:G
1R 0DQQLQJY+XIIPDQ
UXOHZDVYLRODWHGDQGWKDWWKHUXOHZDVDQ³DGHTXDWHDQG
LQGHSHQGHQW´ VWDWH JURXQG WKHQ WKH SHWLWLRQHU PXVW
GHPRQVWUDWHXQGHU6\NHVWKDWWKHUHZDVFDXVHIRUKLP
QRWWRIROORZWKHSURFHGXUDOUXOHDQGWKDWKHZDVDFWXDOO\
SUHMXGLFHGE\WKHDOOHJHGFRQVWLWXWLRQDOHUURU
FLWLQJ0DXSLQ)GDW
$SSO\LQJ0DXSLQWKHGLVWULFWFRXUWKHOGWKDW0DQQLQJKDG
SURFHGXUDOO\ GHIDXOWHG KLV LQHIIHFWLYH DVVLVWDQFH RI WULDO
FRXQVHOFODLPXQGHU2KLRODZ7KHFRXUWWKHQWXUQHGWRWKH
TXHVWLRQRIZKHWKHU0DQQLQJKDGGHPRQVWUDWHG³FDXVHDQG
SUHMXGLFH´:LWKRXWDGGUHVVLQJFDXVHWKHFRXUWSURFHHGHG
GLUHFWO\ WR WKH LVVXH RI SUHMXGLFH ,W IRXQG WKDW DOWKRXJK
0DQQLQJKDGVKRZQWKDWWKHDOWHUQDWHMXURUKDGSDUWLFLSDWHG
LQWKHMXU\GHOLEHUDWLRQVWKLVVKRZLQJZDVQRWVXIILFLHQWWR
GHPRQVWUDWHSUHMXGLFH$FFRUGLQJO\WKHGLVWULFWFRXUWGHQLHG
0DQQLQJ¶VSHWLWLRQIRUDZULWRIKDEHDVFRUSXV
6KRUWO\ WKHUHDIWHU 0DQQLQJ DFTXLUHG QHZ FRXQVHO DQG
DSSOLHGIRUDFHUWLILFDWHRIDSSHDODELOLW\2Q1RYHPEHU
WKH GLVWULFW FRXUW LVVXHG 0DQQLQJ D FHUWLILFDWH RI
DSSHDODELOLW\WRDSSHDOWKHLVVXHRI
:KHWKHUWKHUHLVSUHMXGLFHSHUVHZKHUHDOWHUQDWHMXURUV
ZHUHQRWGLVPLVVHGEHIRUHWKHFDVHZDVVXEPLWWHGWRWKH
MXU\ EXW LQVWHDG ZHUH SHUPLWWHG WR UHPDLQ LQ WKH MXU\
URRPDQGLQVWUXFWHGWRSDUWLFLSDWHLQWKHGHOLEHUDWLRQV
:H UHYLHZ GH QRYR WKH 'LVWULFW &RXUW¶V GLVSRVLWLRQ RI
0DQQLQJ¶VSHWLWLRQIRUZULWRIKDEHDVFRUSXV7KHGLVWULFW
FRXUW¶V IDFWXDO ILQGLQJV DUH UHYLHZHG IRU FOHDU HUURU
*URVHFORVHY%HOO)G WK&LU
,,3URFHGXUDO'HIDXOW
2QDSSHDOWKHVWDWHDUJXHVWKDWXQGHU2KLRODZ0DQQLQJ
SURFHGXUDOO\ GHIDXOWHG KLV LQHIIHFWLYH DVVLVWDQFH RI WULDO
FRXQVHO FODLP ZKHQ KH IDLOHG WR UDLVH WKLV FODLP RQ GLUHFW
UHYLHZ7KHVWDWHDVVHUWVWKDW0DQQLQJ¶VSURFHGXUDOGHIDXOW
-- 5 of 6 --
0DQQLQJY+XIIPDQ 1R
EDUVKLPIURPDVVHUWLQJWKLVFODLPLQDIHGHUDOKDEHDVFRUSXV
SURFHHGLQJ:HGLVDJUHH
$V WKH GLVWULFW FRXUW FRUUHFWO\ QRWHG WKH 6L[WK &LUFXLW
DSSOLHVDPXOWLSDUWDQDO\VLVLQRUGHUWRGHWHUPLQHZKHWKHU
SURFHGXUDOGHIDXOWSUHFOXGHVWKHIHGHUDOFRXUWVIURPJUDQWLQJ
KDEHDVUHOLHI0DXSLQ)GDW)LUVWWKHFRXUWPXVW
GHWHUPLQH ZKHWKHUWKHUHLVDVWDWHSURFHGXUDOUXOHWKDWLV
DSSOLFDEOH WR WKH SHWLWLRQHU¶V FODLP DQG WKDW WKH SHWLWLRQHU
IDLOHGWRFRPSO\ZLWKWKHUXOH ZKHWKHUWKHVWDWHFRXUWV
DFWXDOO\HQIRUFHGWKHVWDWHSURFHGXUDOVDQFWLRQ ZKHWKHU
WKH VWDWH SURFHGXUDO IRUIHLWXUH LV DQ ³DGHTXDWH DQG
LQGHSHQGHQW´ VWDWH JURXQG RQ ZKLFK WKH VWDWH FDQ UHO\ WR
IRUHFORVH UHYLHZ RI D IHGHUDO FRQVWLWXWLRQDO FODLP ,I WKH
DQVZHUWRWKHVHTXHVWLRQVLV\HVWKHQWKHFRXUWPXVWLQTXLUH
LQWR ZKHWKHU WKH SHWLWLRQHU FDQ REWDLQ KDEHDV UHOLHI E\
GHPRQVWUDWLQJXQGHU6\NHV³WKDWWKHUHZDVFDXVHIRUKLPQRW
WR IROORZ WKH SURFHGXUDO UXOH DQG WKDW KH ZDV DFWXDOO\
SUHMXGLFHG E\ WKH FRQVWLWXWLRQDO HUURU´ ,G DW FLWLQJ
:DLQZULJKWY6\NHV86
,QWKLVFDVHLWLVHYLGHQWWKDWWKHILUVWWHVWKDVEHHQVDWLVILHG
8QGHU2KLRODZ0DQQLQJZDLYHGKLVULJKWWREULQJDFODLP
IRULQHIIHFWLYHDVVLVWDQFHRIWULDOFRXQVHOE\IDLOLQJWRDVVHUW
WKLVFODLPRQGLUHFWDSSHDO+RZHYHUWKHVHFRQGWHVWWKDWWKH
VWDWHFRXUWVDFWXDOO\HQIRUFHGWKHVWDWHSURFHGXUDOVDQFWLRQ
KDVQRWEHHQVDWLVILHG$VQRWHGDERYHWKH2KLR&RXUWRI
$SSHDOVUHRSHQHG0DQQLQJ¶VFDVHWRH[DPLQHKLVFODLPRI
LQHIIHFWLYH DVVLVWDQFH RI DSSHOODWH FRXQVHO 7KH FRXUW RI
DSSHDOV SRLQWHG RXW WKDW LQ RUGHU IRU WKH DSSHOODQW WR
GHPRQVWUDWHLQHIIHFWLYHDVVLVWDQFHRIDSSHOODWHFRXQVHOKH
PXVW VKRZ WKDW ³FRXQVHO¶V SHUIRUPDQFH IHOO EHORZ DQ
REMHFWLYH VWDQGDUG RI UHDVRQDEOH UHSUHVHQWDWLRQ ³ DQG WKDW
³SUHMXGLFHDULVHVIURPWKHFRXQVHO¶VSHUIRUPDQFH´-$
DW FLWLQJ6WDWHY%UDGOH\1(G 2KLR
FHUWGHQLHG866&W
7KH FRXUW QRWHG WKDW LQ RUGHU IRU 0DQQLQJ WR VDWLVI\ WKH
SUHMXGLFHSURQJRIWKLVWHVWKHPXVWSURYHWKDWKLVWULDOODZ\HU
UHQGHUHGLQHIIHFWLYHDVVLVWDQFH
1R 0DQQLQJY+XIIPDQ
7XUQLQJWRWKLVTXHVWLRQWKHFRXUWIRXQGWKDW0DQQLQJ¶V
WULDOFRXQVHOZDVQRWFRQVWLWXWLRQDOO\LQHIIHFWLYH$OWKRXJK
WKHFRXUWKHOGWKDW³LWZDVHUURUWRDFTXLHVFHWRWKHDOWHUQDWH
MXURUVEHLQJLQWKHMXU\URRP´LWIRXQGWKDWWULDOFRXQVHO¶V
HUURU GLG QRW SUHMXGLFH 0DQQLQJ 7KH FRXUW VWDWHG ³WKH
UHFRUGGRHVQRWHVWDEOLVKDQ\SUHMXGLFHZKLFKLQXUHGWRWKH
DSSHOODQW ,W LV LPSRVVLEOH WR GHWHUPLQH LI DQ\ MXURU RU
DOWHUQDWHMXURUYLRODWHGWKHFRXUW¶VRUGHUVRULIWKHUHZDVDQ\
SDUWLFLSDWLRQE\WKHDOWHUQDWHMXURUV´,G*LYHQWKDWWKHFRXUW
RI DSSHDOV GLUHFWO\ DGGUHVVHG WKH TXHVWLRQ RI ZKHWKHU
0DQQLQJ¶VWULDOFRXQVHOUHQGHUHGLQHIIHFWLYHDVVLVWDQFHLWLV
FOHDU WKDW WKLV LVVXH ZDV QRW GLVSRVHG RI RQ SURFHGXUDO
JURXQGV DQG WKDW LW LV ULSH IRU IHGHUDO KDEHDV UHYLHZ 6HH
0HHNVY%HUJHQ)G WK&LU ³:KHUH
DVWDWHDSSHOODWHFRXUWGLGQRWUHO\RQWKHSURFHGXUDOGHIDXOW
EXW UHDFKHG WKH PHULWV RI D FODLP WKH 6\NHV EDU LV
LQDSSOLFDEOH´ $FFRUGLQJO\ZHWXUQWRWKHTXHVWLRQWKDWKDV
EHHQFHUWLILHGIRUDSSHDO
,,,3UHMXGLFH
$VQRWHGDERYHWKHGLVWULFWFRXUWFHUWLILHGWKHTXHVWLRQRI
³ZKHWKHUWKHUHLVSUHMXGLFHSHUVHZKHUHDOWHUQDWHMXURUVZHUH
QRWGLVPLVVHGEHIRUHWKHFDVHZDVVXEPLWWHGWRWKHMXU\EXW
LQVWHDG ZHUH SHUPLWWHG WR UHPDLQ LQ WKH MXU\ URRP DQG
LQVWUXFWHGWRSDUWLFLSDWHLQWKHGHOLEHUDWLRQV´
2XUFRQVLGHUDWLRQRIWKLVLVVXHLVJXLGHGE\WKH6XSUHPH
&RXUW¶VGHFLVLRQLQ8QLWHG6WDWHVY2ODQR86
6&W ,Q 2ODQR SHWLWLRQHUV 2ODQR DQG *UD\
DSSHDOHG WKHLU IHGHUDO FRQYLFWLRQV RQ WKH JURXQGV WKDW WKH
GLVWULFW FRXUW DOORZHG DOWHUQDWH MXURUV WR REVHUYH MXU\
GHOLEHUDWLRQVLQYLRODWLRQRI5XOH & RIWKH)HGHUDO5XOHV
RI &ULPLQDO 3URFHGXUH 5HFRJQL]LQJ WKDW 5XOH & KDG
FOHDUO\ EHHQ YLRODWHG WKH 6XSUHPH &RXUW IRFXVHG RQ WKH
TXHVWLRQRIZKHWKHUWKHWULDOFRXUW¶VHUURUDIIHFWHG³VXEVWDQWLDO
ULJKWV´ XQGHU 5XOH E RI WKH )HGHUDO 5XOHV RI &ULPLQDO
-- 6 of 6 --
Conecte o Omnilex para pesquisar o corpus jurídico pelo seu assistente de IA.