United States v. Lee

District Court, District of Columbia

United States v. Lee

Opinion



81,7('67$7(6',675,&7&2857 )257+(',675,&72)&2/80%,$ BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB  81,7('67$7(62)$0(5,&$    Y  &ULP$FWLRQ1R $%-   %5(<21/((    'HIHQGDQW   BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB   0(025$1'8023,1,21 25'(5

2Q-XQHGHIHQGDQW%UH\RQ/HHZDVLQGLFWHGRQRQHFRXQWRILQWHUIHUHQFHZLWK

LQWHUVWDWHFRPPHUFHE\UREEHU\LQYLRODWLRQRI86&† DQGKHZDVDUUHVWHGRQ-XQH

,QGLFWPHQW>'NW@ $UUHVW:DUUDQW>'NW@2Q-XQHWKHJRYHUQPHQWILOHG

DPRWLRQIRUSUHWULDOGHWHQWLRQ*RY¶W0RWIRU3UHWULDO'HWHQWLRQ>'NW@ ³*RY¶W'HWHQWLRQ

0RW´ $KHDULQJZDVKHOGRQWKHPRWLRQRQ-XQHDQGWKH0DJLVWUDWH-XGJHRUGHUHG

WKDWWKHGHIHQGDQWEHUHOHDVHGLQWRWKH+LJK,QWHQVLW\6XSHUYLVLRQ3URJUDP ³+,63´ ZLWKKRPH

FRQILQHPHQW0LQ(QWU\ -XQH 3XUVXDQWWR86&† D WKH8QLWHG6WDWHVKDV

DSSHDOHG WKH 0DJLVWUDWH -XGJH¶V GHFLVLRQ WR UHOHDVH WKH GHIHQGDQW SHQGLQJ WULDO  0RW IRU

(PHUJHQF\5HYLHZ $SSHDORI5HOHDVH2UGHU>'NW@ ³*RY¶W$SSHDO0RW´ 7KHUHOHDVH

RUGHUZDVVWD\HGSHQGLQJWKHDSSHDOWRWKLV&RXUW0LQ(QWU\ -XQH 2Q-XQH

GHIHQGDQWILOHGKLVUHVSRQVHWRWKHJRYHUQPHQW¶VPRWLRQ'HI¶V5HVSLQ2SSWR*RY¶W$SSHDO

0RW>'NW@ ³'HI¶V2SS´ 7KH&RXUWKHOGKHDULQJVRQWKHPRWLRQVRQ-XQHDQG

-XQH0LQ(QWU\ -XQH 0LQ(QWU\ -XQH 

7KH&RXUWKDVFRQVLGHUHGWKHUHOHYDQWODZWKHIDFWVSUHVHQWHGLQWKHLQGLFWPHQWWKHPRWLRQ

DQGRSSRVLWLRQWKHHYLGHQFHSUHVHQWHGDWWKHKHDULQJVDQGWKHLQIRUPDWLRQSURYLGHGE\WKH3UHWULDO

6HUYLFHV$JHQF\DVZHOODVWKHVWDWHPHQWVDQGDUJXPHQWVRIFRXQVHO%DVHGRQWKHUHFRUGEHIRUH

LW DW WKLV WLPH WKH &RXUW ILQGV E\ FOHDU DQG FRQYLQFLQJ HYLGHQFH WKDW WKHUH LV QR FRQGLWLRQ RU

 

FRPELQDWLRQRIFRQGLWLRQVWKDWZLOOUHDVRQDEO\DVVXUHWKHVDIHW\RIWKHFRPPXQLW\LIGHIHQGDQWLV

UHOHDVHG7KHUHIRUHDIWHUFRQVLGHUDWLRQRIDOORIWKHIDFWRUVVHWIRUWKLQVHFWLRQ J WKH&RXUW

RUGHUVWKDWWKHGHIHQGDQWVKDOOEHGHWDLQHGSHQGLQJWULDO

%$&.*5281'

$WWKHKHDULQJDQGLQSOHDGLQJVILOHGEHIRUHWKH&RXUWWKHJRYHUQPHQWSURFHHGHGE\SURIIHU

EDVHG RQ WKH LQGLFWPHQW DQG LW SUHVHQWHG HYLGHQFH LQFOXGLQJ VXUYHLOODQFH IRRWDJH VWLOO

SKRWRJUDSKVDQGVRFLDOPHGLDSRVWLQJV'HIHQGDQWGLGQRWRIIHUHYLGHQFHEXWKLVIDWKHUDSSHDUHG

RQ -XQH  WR GLVFXVV SRWHQWLDO OLYLQJ DUUDQJHPHQWV DQG FRXQVHO PDGH DUJXPHQWV DERXW WKH

VLJQLILFDQFHRIWKHHYLGHQFH$FFRUGLQJO\WKH&RXUWPDNHVWKHIROORZLQJILQGLQJVRIIDFW 

 2Q 'HFHPEHU   DW   SP IRXU LQGLYLGXDOV HQWHUHG WKH 5LWH$LG SKDUPDF\

ORFDWHGDW6RXWK&DSLWRO6WUHHW6RXWKZHVWZLWKWKHLUIDFHVFRYHUHG*RY¶W'HWHQWLRQ0RW

DW6XUYHLOODQFHIRRWDJHVKRZVWKDWRQHRIWKHLQGLYLGXDOVKRSSHGWKHIURQWFRXQWHUDQGSRLQWHG

DJXQDWWKHFDVKLHUId.$FFRUGLQJWRDQH\HZLWQHVVWKHPDQWROGWKHFDVKLHUWRJLYHKLPWKH

PRQH\IURPWKHUHJLVWHURUKHZRXOGNLOOKLPId.$VHFRQGLQGLYLGXDOSRLQWHGDVHFRQGJXQDWD

GLIIHUHQWH\HZLWQHVVZKRZDVDWWKHFRXQWHUSXUFKDVLQJLWHPVDQGKHWROGKHUWRVWD\GRZQId.

$VWKLVZDVRFFXUULQJVHFXULW\FDPHUDIRRWDJHVKRZVDQLQGLYLGXDOWKHJRYHUQPHQWKDVLGHQWLILHG

DV GHIHQGDQW /HH KRSSLQJ RYHU WKH SKDUPDF\ FRXQWHU WDNLQJ VHYHUDO ERWWOHV RI PHGLFLQH IURP

EHKLQGWKHFRXQWHUDQGFURVVLQJEDFNRYHUWKHFRXQWHUId.7KHPHQWKHQOHIWWKHVWRUHId.

$Q H\HZLWQHVV DOHUWHG SDVVLQJ 0HWURSROLWDQ 3ROLFH 'HSDUWPHQW RIILFHUV WR ZKDW KDG

RFFXUUHGDQGGLUHFWHGWKHRIILFHUVWRDZKLWH%0:SDUNHGQHDUE\ZKLFKWKHVXVSHFWVKDGMXVW

HQWHUHG  *RY¶W 'HWHQWLRQ 0RW DW   7KH VXVSHFWV IOHG LQ WKH %0: LQWR WKH %DUU\ )DUPV

QHLJKERUKRRGLQ:DVKLQJWRQ'&ZKHUHWKH\EDLOHGRXWRIWKHFDUDQGIOHGRQIRRWId.2IILFHUV

HYHQWXDOO\DSSUHKHQGHG*UHJRU\+XOODQRWKHULQGLFWHGGHIHQGDQWLQWKLVPDWWHUEXWWKH\GLGQRW

ORFDWHDQ\RIWKHRWKHUVXVSHFWVId.,QVLGHWKH%0:SROLFHIRXQGWKUHHERWWOHVRIPHGLFLQHDW

 

OHDVW WZR RI ZKLFK DSSHDU WR KDYH RULJLQDWHG DW WKH 5LWH$LG  Id.  )LQJHUSULQWV EHORQJLQJ WR

GHIHQGDQW +XOO DQG WZRRWKHU LQGLFWHGGHIHQGDQWV$QWKRQ\%XUQV DQG %UDGOH\ /HH GHIHQGDQW

/HH¶VEURWKHU ZHUHIRXQGLQWKH%0:Id.

'HIHQGDQW%UH\RQ/HHZDVODWHUGHWHUPLQHGWREHWKHVRXUFHRIILQJHUSULQWVUHFRYHUHGIURP

WKHVSRWRQWKH5LWH$LGSKDUPDF\FRXQWHUZKHUHWKHUREEHUKDGSODFHGKLVKDQGDVKHYDXOWHGWKH

FRXQWHUGXULQJWKHRIIHQVH*RY¶W'HWHQWLRQ0RWDW±$GGLWLRQDOO\WKHFORWKLQJZRUQE\WKDW

LQGLYLGXDOGXULQJWKHUREEHU\LQFOXGLQJ³DGLVWLQFWLYHMDFNHWZLWKDQDQJOHG]LSSHUDQGSDGGHG

VKRXOGHU SDQHOV´ ULSSHG MHDQV DV ZHOO DV WKH LQGLYLGXDO¶V VKRHV PDWFKHG FORWKLQJ ZRUQ E\

GHIHQGDQW /HHLQYDULRXVSKRWRJUDSKVRQ VRFLDO PHGLD DQGSKRWRJUDSKVWDNHQ RIWKH GHIHQGDQW

GXULQJD-DQXDU\DUUHVWIRUSRVVHVVLRQRI3&3Id.DW

 7KH JRYHUQPHQW KDV DOVR SXW IRUWK HYLGHQFH LQFOXGLQJ VXUYHLOODQFH IRRWDJH DQG VRFLDO

PHGLD SRVWLQJV WKDW WLHV WKH GHIHQGDQW WR DW OHDVW WZR DGGLWLRQDO DUPHG UREEHULHV RI WZR 

FRQYHQLHQFHVWRUHVRQ'HFHPEHUDVZHOODVHYLGHQFHWKDWLQGLFDWHVWKDWDWDPLQLPXP

KHUHFHLYHGVWROHQSURSHUW\REWDLQHGGXULQJDIRXUWKDUPHGUREEHU\RIDVKRHVWRUH6HYHUDOVRFLDO

PHGLDSRVWVGHSLFWGHIHQGDQWDVVRFLDWLQJZLWKRWKHULQGLFWHGSDUWLFLSDQWVLQWKHVHULHVRIUREEHULHV

*RY¶W'HWHQWLRQ0RWDWDQGWKHJRYHUQPHQWLQWURGXFHGD'HFHPEHU SLFWXUHRIWKH

GHIHQGDQWKLVFRGHIHQGDQW$QWKRQ\%XUQV ZKRLVFKDUJHGZLWK\HWDQRWKHUDUPHGUREEHU\ DQG

WKUHH RWKHU LQGLYLGXDOV DOO VSRUWLQJ WKH GLVWLQFWLYH DQG RWKHUZLVH XQDYDLODEOH VQHDNHUV VWROHQ

GXULQJ WKH VKRH VWRUH UREEHU\  7KH VKRHV LQ TXHVWLRQ ZHUH QRW DYDLODEOH IRU SXEOLF VDOH XQWLO

-DQXDU\id.DQGWKHSKRWRZDVFDSWLRQHG³GH\GRQWFRPHRXWWLOOQH[W\HDU´ VLF ´Id.7KHUH

ZDVDOVRFDVKVWROHQGXULQJWKHUREEHU\DQGFRGHIHQGDQW%XUQVVWDQGLQJQH[WWRGHIHQGDQW/HH

LQWKHSKRWRLVKROGLQJXSDIDQRIFDVKIRUWKHFDPHUDId.

 'HIHQGDQW ZDV LQGLFWHG RQ -XQH    ,QGLFWPHQW  7KH LQGLFWPHQW FKDUJHV WKDW

GHIHQGDQWV%UH\RQ/HH*UHJRU\+XOODQG%UDGOH\/HHWRRNPHUFKDQGLVHEHORQJLQJWRD5LWH$LG

 

3KDUPDF\ORFDWHGDW6RXWK&DSLWRO6WUHHW6::DVKLQJWRQ'&³IURPWKHFXVWRG\DQG

SRVVHVVLRQRIHPSOR\HHVRIWKDWVWRUHDJDLQVWWKHLUZLOOE\PHDQVRIDFWXDODQGWKUHDWHQHGIRUFH

YLROHQFHDQGIHDURILQMXU\LPPHGLDWHDQGIXWXUHWRWKHLUSHUVRQV´Id.DW

 'HIHQGDQW ZDV DUUHVWHG RQ -XQH    $UUHVW :DUUDQW  2Q -XQH   WKH

JRYHUQPHQWILOHGDPRWLRQIRUSUHWULDOGHWHQWLRQ*RY¶W'HWHQWLRQ0RW$WWKHGHWHQWLRQKHDULQJ

KHOGRQ-XQHWKHJRYHUQPHQWPDGHDQRUDOPRWLRQWRFRPPLWGHIHQGDQWWRWKHFXVWRG\

RIWKH$WWRUQH\*HQHUDOZKLFKWKH0DJLVWUDWH-XGJHGHQLHG0LQ(QWU\ -XQH $WWKH

VDPHKHDULQJWKH0DJLVWUDWH-XGJHJUDQWHGWKHGHIHQGDQW¶VRUDOPRWLRQIRUUHOHDVHIURPFXVWRG\

EXWVWD\HGWKHUHOHDVHRUGHUSHQGLQJDSSHDOWRWKLV&RXUWId.'HIHQGDQWILOHGKLVUHVSRQVHWRWKH

JRYHUQPHQW¶VPRWLRQRQ-XQHDQGWKH&RXUWKHOGDKHDULQJRQWKHPRWLRQWKHIROORZLQJ

GD\'HI¶V2SS 0LQ(QWU\ -XQH $IWHUWKHKHDULQJWKH&RXUWVHWDGDWHE\ZKLFK

WKHGHIHQGDQWFRXOGVXEPLWDGGLWLRQDOHYLGHQFHLQVXSSRUWRIKLVRSSRVLWLRQDQGDGDWHIRUDKHDULQJ

DWZKLFKWKHIDPLO\PHPEHUVZLWKZKRPKHSURSRVHGWROLYHZLWKZKLOHRQKRPHGHWHQWLRQZHUH

RUGHUHGWRDSSHDUSee0LQ2UGHU -XQH 'HIHQGDQWILOHGDUHVSRQVHDQGVXJJHVWHGWKDW

KHFRXOGOLYHZLWKKLVIDWKHU5HVSWR2UGHURI&RXUW>'NW @$WDFRQWLQXHGERQGKHDULQJ

KHOGRQ-XQHWKH&RXUWKHDUGIURPGHIHQGDQW¶VIDWKHUDQGKHDUGDGGLWLRQDODUJXPHQW

IURP FRXQVHO  0LQ (QWU\ -XQH     ,Q DGGLWLRQ WKH JRYHUQPHQW KDV WZLFH SURYLGHG

DGGLWLRQDOOHJDODXWKRULW\LQVXSSRUWRILWVPRWLRQ*RY¶W6XSSO5HVS>'NW@ *RY¶W6XSSO

&DVH/DZRQ$SSOLFDELOLW\RI6HFWLRQ H  % >'NW@ ³*RY¶W†6XSSO´ 

  7KH LQGLFWPHQW DOVR FKDUJHV GHIHQGDQWV *UHJRU\ +XOO DQG $QWKRQ\ %XUQV ZLWK DQ DGGLWLRQDOFRXQWRIUREEHU\LQYLRODWLRQRI86&† DQGXVLQJFDUU\LQJDQGSRVVHVVLQJ DILUHDUPGXULQJDFULPHRIYLROHQFHLQYLRODWLRQRI86&†  F  $ ,QGLFWPHQW7KRVH FKDUJHVDULVHRXWRID1RYHPEHUUREEHU\RID&LW\%HDWV6KRH6WRUHLQ:DVKLQJWRQ'& Id.DW'HIHQGDQW%XUQVLVDOVRFKDUJHGZLWKXQODZIXOSRVVHVVLRQRIDILUHDUPDQGDPPXQLWLRQ E\DSHUVRQFRQYLFWHGRIDFULPHSXQLVKDEOHE\LPSULVRQPHQWIRUDWHUPH[FHHGLQJRQH\HDULQ YLRODWLRQRI86&†  J  Id.DW±%RWKRIWKRVHFRGHIHQGDQWVDUHEHLQJKHOGZLWKRXW ERQGSee0LQ(QWU\ )HE 

 

67$1'$5'2)5(9,(:

7KH%DLO5HIRUP$FWRI 86&†et seq.SURYLGHVWKDWLIDMXGLFLDORIILFHU

ILQGV E\ FOHDU DQG FRQYLQFLQJ HYLGHQFH WKDW ³QR FRQGLWLRQ RU FRPELQDWLRQ RI FRQGLWLRQV ZLOO

UHDVRQDEO\DVVXUHWKHDSSHDUDQFHRIWKHSHUVRQDVUHTXLUHGDQGWKHVDIHW\RIDQ\RWKHUSHUVRQDQG

WKHFRPPXQLW\VXFKMXGLFLDORIILFHUVKDOORUGHUWKHGHWHQWLRQRIWKHSHUVRQEHIRUHWULDO´86&

†† H   I  J (YHQLIGHIHQGDQWGRHVQRWSRVHDIOLJKWULVNGDQJHUWRWKHFRPPXQLW\

DORQHLVDVXIILFLHQWUHDVRQWRRUGHUSUHWULDOGHWHQWLRQUnited States v. Salerno86 

±   United States v. Simpkins)G   '&&LU  

&RQJUHVVDOVRVSHFLILHGLQWKH%DLO5HIRUP$FWWKDWDMXGLFLDOILQGLQJWKDWWKHUHLVSUREDEOH

FDXVHWREHOLHYHWKDWWKHGHIHQGDQWFRPPLWWHGFHUWDLQRIIHQVHV±LQFOXGLQJWKHRIIHQVHRIXVLQJRU

FDUU\LQJ D ILUHDUP GXULQJ DQG LQ UHODWLRQ WR D FULPH RI YLROHQFH RU SRVVHVVLQJ D ILUHDUP LQ

IXUWKHUDQFH RI D FULPH RI YLROHQFH  86& †  F  $  ± JLYHV ULVH WR D UHEXWWDEOH

SUHVXPSWLRQ WKDW D GHIHQGDQW LV D GDQJHU DQG WKDW QR SUHWULDO FRQGLWLRQ RU FRPELQDWLRQ RI

FRQGLWLRQVZLOOEHVXIILFLHQWWRSURWHFWWKHFRPPXQLW\86&† H  % 

2QFH D UHEXWWDEOH SUHVXPSWLRQ KDV EHHQ WULJJHUHG ³WKH SUHVXPSWLRQ RSHUDWH>V@ at a

minimum WR LPSRVH D EXUGHQ RI SURGXFWLRQ RQ WKH GHIHQGDQW WR RIIHU VRPH FUHGLEOH HYLGHQFH

FRQWUDU\WRWKHVWDWXWRU\SUHVXPSWLRQ´United States v. Alatishe)G '&&LU

   HPSKDVLVLQRULJLQDO Vee also United States v. Portes )G WK&LU  

WKHSUHVXPSWLRQVLQ† H ³DUHµUHEXWWHG¶ZKHQWKHGHIHQGDQWPHHWVDEXUGHQRISURGXFWLRQ

E\ FRPLQJ IRUZDUG ZLWK VRPH HYLGHQFH WKDW KH ZLOO QRW IOHH RU HQGDQJHU WKH FRPPXQLW\ LI

UHOHDVHG´ TXRWLQJUnited States v. Dominguez)G WK&LU  United States

v. Rodriguez  )G   G &LU    ³>$@ GHIHQGDQW PXVW LQWURGXFH VRPH HYLGHQFH

FRQWUDU\WRWKHSUHVXPHGIDFWLQRUGHUWRUHEXWWKHSUHVXPSWLRQ´ FLWLQJUnited States v. Matir

)G G&LU  :KLOHWKHEXUGHQRISURGXFWLRQPD\QRWEHKHDY\see United

 

States v. Stricklin )G WK&LU  WKHDSSOLFDEOHFDVHVDOOVSHDNLQWHUPVRI

DGHIHQGDQW¶VREOLJDWLRQWRLQWURGXFH³HYLGHQFH´

$QGDVWKHFRXUWH[SODLQHGLQUnited States v. Ali )6XSSG ''& 

HYHQ LI WKH GHIHQGDQW RIIHUV HYLGHQFH WR FRXQWHU WKH SUHVXPSWLRQ WKH SUHVXPSWLRQ GRHV QRW

GLVDSSHDUHQWLUHO\ 

$W RUDO DUJXPHQW GHIHQGDQW¶V FRXQVHO SRVLWHG WKDW WKH UHEXWWDEOH SUHVXPSWLRQ IXQFWLRQV DV D ³EXUVWLQJ EXEEOH´ WKDW FHDVHV WR H[LVW RQFH D GHIHQGDQWSURGXFHVDQ\FUHGLEOHHYLGHQFH$OWKRXJKWKH'&&LUFXLWKDV QRW H[SUHVVO\ UXOHG RQ WKLV LVVXH FLUFXLWV WKDW KDYH FRQVLGHUHG WKH LVVXH UHTXLUH XVLQJ WKH SUHVXPSWLRQ DV D IDFWRU HYHQ DIWHU WKH GHIHQGDQW KDV SURGXFHGFUHGLEOHHYLGHQFHDVGRMXGJHVRIWKLV&RXUW  Id. DW  Q LQWHUQDO FLWDWLRQV RPLWWHG  FLWLQJ United States v. Bess  ) 6XSS   

''&   ³>7KHSUHVXPSWLRQ@LVLQFRUSRUDWHGLQWRWKH† J IDFWRUVFRQVLGHUHGE\WKH

FRXUWZKHQGHWHUPLQLQJZKHWKHUFRQGLWLRQVRIUHOHDVHFDQEHIDVKLRQHGRUZKHWKHUWKHGHIHQGDQW

PXVWEHGHWDLQHGSUHWULDO´ seeUnited States v. Stone)G    WK&LU  ³(YHQ

ZKHQDGHIHQGDQWVDWLVILHVKLVEXUGHQRISURGXFWLRQKRZHYHUµWKHSUHVXPSWLRQIDYRULQJGHWHQWLRQ

GRHV QRW GLVDSSHDU HQWLUHO\ EXW UHPDLQVD IDFWRU WR EH FRQVLGHUHGDPRQJ WKRVH ZHLJKHG E\ WKH

GLVWULFWFRXUW¶´ TXRWLQJUnited States v. Mercedes)G G&LU Portes 

)GDW XVHRIWKHZRUGUHEXWWHG³LQWKLVFRQWH[WLVVRPHZKDWPLVOHDGLQJEHFDXVHWKHUHEXWWHG

SUHVXPSWLRQ LV QRW HUDVHG  ,QVWHDG LW UHPDLQV LQ WKH FDVH DV DQ HYLGHQWLDU\ ILQGLQJ PLOLWDWLQJ

DJDLQVWUHOHDVHWREHZHLJKWHGDORQJZLWKRWKHUHYLGHQFHUHOHYDQWWRIDFWRUVOLVWHGLQ† J ´ 

TXRWLQJDominguez)GDW

 $VWKH86&RXUWRI$SSHDOVIRUWKH6L[WK&LUFXLWKDVH[SODLQHG 

7KHSUHVXPSWLRQUHPDLQVDVDIDFWRUEHFDXVHLWLVQRWVLPSO\DQHYLGHQWLDU\ WRROGHVLJQHGIRUWKHFRXUWV,QVWHDGWKHSUHVXPSWLRQUHIOHFWV&RQJUHVV¶V VXEVWDQWLYHMXGJPHQWWKDWSDUWLFXODUFODVVHVRIRIIHQGHUVVKRXOGRUGLQDULO\ EH GHWDLQHG SULRU WR WULDO     7R UHEXW WKH SUHVXPSWLRQ WKHUHIRUH D GHIHQGDQWVKRXOG³SUHVHQWDOOWKHVSHFLDOIHDWXUHVRIKLVFDVH´WKDWWDNHLW ³RXWVLGHWKHFRQJUHVVLRQDOSDUDGLJP´ 

 

Stone )GDW ± LQWHUQDOFLWDWLRQVRPLWWHG TXRWLQJUnited States v. Jessup)G

 VW&LU  

%XWLQWKHHQGZKLOHWKHSUHVXPSWLRQRSHUDWHVWRVKLIWWKHEXUGHQRISURGXFWLRQLWGRHV

QRWDOWHUWKHJRYHUQPHQW¶VVWDWXWRU\EXUGHQRISHUVXDVLRQZKLFKLVFRQVLVWHQWZLWKWKHSUHVXPSWLRQ

RI LQQRFHQFH  Portes  )G DW   ³5HJDUGOHVV RI ZKHWKHU WKH SUHVXPSWLRQ DSSOLHV WKH

JRYHUQPHQW¶VXOWLPDWHEXUGHQLVWRSURYHWKDWQRFRQGLWLRQVRIUHOHDVHFDQDVVXUHWKDWWKHGHIHQGDQW

ZLOODSSHDUDQGWRDVVXUHWKHVDIHW\RIWKHFRPPXQLW\´Stone)GDW 

7RGHWHUPLQHZKHWKHUWKHJRYHUQPHQWKDVFDUULHGLWVEXUGHQWKH&RXUWPXVWFRQVLGHU   

³WKHQDWXUHDQGFLUFXPVWDQFHVRIWKHRIIHQVHFKDUJHGLQFOXGLQJZKHWKHUWKHRIIHQVHLVDFULPHRI

YLROHQFH´  WKHZHLJKWRIWKHHYLGHQFH  WKHKLVWRU\DQGFKDUDFWHULVWLFVRIWKHGHIHQGDQWDQG

 ³WKHQDWXUHDQGVHULRXVQHVVRIWKHGDQJHUWRDQ\SHUVRQRUWKHFRPPXQLW\WKDWZRXOGEHSRVHG

E\WKHSHUVRQ¶VUHOHDVH´86&† J 

)LQDOO\DOWKRXJKWKH'&&LUFXLWKDVQRW\HWDGGUHVVHGWKHLVVXHWKHPDQ\FLUFXLWVWKDW

KDYH DJUHH WKDW WKH GLVWULFW MXGJH VKRXOG UHYLHZ de novo D GHWHQWLRQ GHFLVLRQ UHQGHUHG E\ D

0DJLVWUDWH-XGJHSee, e.g.,United States v. Koenig )G   WK&LU   FLWLQJ

FDVHVIURPWKH6HFRQG7KLUG)LIWK(LJKWKDQG(OHYHQWK&LUFXLWVZKLFKDOOKROGWKDWWKHGLVWULFW

FRXUWVKRXOGFRQGXFWDde novoUHYLHZRIWKH0DJLVWUDWH-XGJH¶VGHWHQWLRQGHFLVLRQ United States

v. Stewart )$SS¶[ WK&LU United States v. Gonzales )G DW 

WK&LU  United States v. Hazime)G WK&LU  Portes)GDW

7KH&RXUWZLOOIROORZWKDWSURFHGXUHLQWKLVFDVH

$1$/<6,6

7KHJRYHUQPHQWPDLQWDLQVWKDWGHIHQGDQW/HHLVVXEMHFWWRSUHWULDOGHWHQWLRQSXUVXDQWWR

 86& †† I  $  DQG I  $  EHFDXVH WKH FKDUJHG RIIHQVH TXDOLILHV DV D FULPH RI

YLROHQFHDQGEHFDXVHWKHUHLVDVHULRXVULVNWKDWWKHGHIHQGDQWZLOOIOHH*RY¶W$SSHDO0RWDW

 

7KHUHDSSHDUVWREHQRGLVSXWHLQWKLVFDVHWKDWDUPHGUREEHU\LQYLRODWLRQRI86&† 

TXDOLILHVDVD³FULPHRIYLROHQFH´IRUSXUSRVHVRIVHFWLRQ I  $ 

'HIHQGDQWDGPLWVWKDW³WKHRIIHQVHLQTXHVWLRQLVVHULRXV´EXWKHRSSRVHVWKHPRWLRQRQ

WKHJURXQGVWKDWWKHUHLVQRDOOHJDWLRQWKDWKHZDVRQHRIWKHLQGLYLGXDOVXVLQJDZHDSRQGXULQJ

WKH 5LWH$LG UREEHU\ DQG WKDW WKHUH LV QR IRUHQVLF HYLGHQFH OLQNLQJ KLP WR DQ\ RI WKH RWKHU

UREEHULHV'HI¶V2SSDW±+HDOVRSRLQWVRXWWKDWKLVODVWDOOHJHGLQYROYHPHQWLQWKHVWULQJ

RI UREEHULHVZDVLQ'HFHPEHUDQGWKDWKHKDVQRWEHHQLQYROYHGLQDQ\IXUWKHUFULPLQDO

DFWLYLW\Id.DW±+HDVNVWREHUHOHDVHGLQWRWKH+,63SURJUDPDQGWREHSHUPLWWHGWRUHVLGHDW

KLVFXUUHQWUHVLGHQFHZLWKWKHPRWKHURIKLVVRQRUZLWKKLVIDWKHU'HI¶V2SSDW

7KHJRYHUQPHQWKDVDOVRWDNHQWKHSRVLWLRQWKDWWKHGHIHQGDQWLVVXEMHFWWRWKHUHEXWWDEOH

SUHVXPSWLRQLQWKLVFDVHEHFDXVHWKHUHLVSUREDEOHFDXVHWREHOLHYHWKDWGHIHQGDQWFRPPLWWHGWKH

DUPHG5LWH$LGUREEHU\ZLWKRWKHUVLQYLRODWLRQRIERWKWKH+REEV$FWDQG86&†  F 

ZKLFKWULJJHUVWKHVWDWXWRU\SUHVXPSWLRQXQGHUWKH%DLO5HIRUP$FW*RY¶W6XSSO5HVSDW7KH

&RXUWDJUHHVWKDWWKHUHLVSUREDEOHFDXVHWREHOLHYHWKDWWKHGHIHQGDQWFRPPLWWHGDQRIIHQVHWKDW

WULJJHUVWKHSUHVXPSWLRQDQGLWILQGVWKDWGHIHQGDQWKDVIDLOHGWRFRPHIRUZDUGZLWKVXIILFLHQW

HYLGHQFHWRUHEXWWKHSUHVXPSWLRQLILWDSSOLHV%XWHYHQLIWKHSUHVXPSWLRQRIGDQJHURXVQHVVGRHV

QRWDSSO\LQFRQVLGHUDWLRQRIWKHIRXUIDFWRUVVHWIRUWKLQVHFWLRQ J WKH&RXUWILQGVWKDWWKHUH

LVFOHDUDQGFRQYLQFLQJHYLGHQFHWKDW³QRFRQGLWLRQRUFRPELQDWLRQRIFRQGLWLRQVZLOOUHDVRQDEO\

DVVXUHWKHDSSHDUDQFHRIWKH>GHIHQGDQW@DVUHTXLUHGDQGWKHVDIHW\RIDQ\RWKHUSHUVRQDQGWKH

FRPPXQLW\´86&† H  $FFRUGLQJO\WKHJRYHUQPHQW¶VPRWLRQZLOOEHJUDQWHG

  :LWKUHVSHFWWRZKHWKHUD+REEV$FWUREEHU\FRQVWLWXWHVD³FULPHRIYLROHQFH´DVWKDWWHUP LVGHILQHGLQ86&†  F  see United States v. McCallister1R&5 $%-  :/DW  ''&0D\  FROOHFWLQJFDVHV  

 

, 7KHGHIHQGDQWLVSUHVXPHGWREHGDQJHURXVDQGKHKDVQRWUHEXWWHGWKHSUHVXPSWLRQ LQWKLVFDVH 7KH%DLO5HIRUP$FWFUHDWHVDUHEXWWDEOHSUHVXPSWLRQ³WKDWQRFRQGLWLRQRUFRPELQDWLRQ

RIFRQGLWLRQVZLOOUHDVRQDEO\DVVXUHWKHVDIHW\RIWKHFRPPXQLW\LIWKHMXGLFLDORIILFHUILQGV

WKDWWKHUHLVSUREDEOHFDXVHWREHOLHYHWKDWWKH>GHIHQGDQW@FRPPLWWHGDQRIIHQVHXQGHUVHFWLRQ

 F RIWKLVWLWOH´86&† G  % 7KHJRYHUQPHQWFRQWHQGVWKDW³WKHIDFWVDQG

FLUFXPVWDQFHVRIWKHFKDUJHGUREEHU\RIWKH5LWH$LGZKLFKLQYROYHGWKHXVHRIWZRILUHDUPVWKDW

HQGDQJHUHG VHYHUDO FXVWRPHUV DQG VWRUH HPSOR\HHV JLYH ULVH WR D UHEXWWDEOH SUHVXPSWLRQ WKDW

'HIHQGDQW/HHVKRXOGEHGHWDLQHG´*RY¶W6XSSO5HVSDW

,WLVWUXHWKDWWKLVGHIHQGDQWLVQRWFXUUHQWO\FKDUJHGZLWKDYLRODWLRQRIVHFWLRQ  F DW

WKLVWLPHKHLVRQO\FKDUJHGZLWKWKHUREEHU\LQYLRODWLRQRIWKH+REEV$FW,QGLFWPHQWDW%XW

DVWKHFRXUWUHDVRQHGLQUnited States v. Bess )6XSS    ''&  

>7@KHIDFWVIRXQGE\WKHMXGLFLDORIILFHUDWWKHGHWHQWLRQKHDULQJGHWHUPLQH ZKHWKHUWKHVWDWXWRU\SUHVXPSWLRQLVLPSOLFDWHG WKHFRPSODLQWQHHGQRW DOOHJH D YLRODWLRQ RI RQH RI WKH SDUWLFXODU SUHGLFDWH RIIHQVHV IRU WKH SUHVXPSWLRQWRFRPHLQWRSOD\,IWKHIDFWVHVWDEOLVKSUREDEOHFDXVHWKDWWKH GHIHQGDQWKDVYLRODWHG86&†  F WKHMXGLFLDORIILFHUVKRXOGJLYH SURSHUZHLJKWWR&RQJUHVV¶VJHQHUDOIDFWXDOYLHZWKDWWKHGHIHQGDQWSRVHV DQ XQUHDVRQDEOH ULVN RI GDQJHU WR WKH FRPPXQLW\ ZKHQ DSSO\LQJ WKH † J IDFWRUV 6R WKH TXHVWLRQ LV ZKHWKHU WKLV &RXUW FDQ PDNH D ILQGLQJ RQ WKLV UHFRUG WKDW WKHUH LV

SUREDEOHFDXVHWREHOLHYHWKDWWKHGHIHQGDQWYLRODWHGVHFWLRQ  F ZKHQ   WKHUHLVSUREDEOH

FDXVHWREHOLHYHEDVHGXSRQWKHILQJHUSULQWHYLGHQFHWKDWKHZDVDQDFWLYHSDUWLFLSDQWLQDWKUHH

FRGHIHQGDQW+REEV$FWUREEHU\DWD5LWH$LGRQ'HFHPEHU DQG  WKHUHLVSUREDEOH

FDXVH WR EHOLHYH EDVHG RQ WKH H\HZLWQHVV DFFRXQWV DQG WKH VXUYHLOODQFH YLGHR WKDW WZR RI WKH

SDUWLFLSDQWVHLWKHUXVHGRUFDUULHGDILUHDUPGXULQJWKHFRPPLVVLRQRIWKDWFULPHRIYLROHQFHRU

SRVVHVVHGDILUHDUPLQIXUWKHUDQFHRIWKDWFULPHLQYLRODWLRQRIVHFWLRQ  F EXW  GHIHQGDQW

/HHZDVQRWRQHRIWKHJXQPHQ,QRWKHUZRUGVFDQDGHIHQGDQWEHOLDEOHDVDQDLGHUDQGDEHWWRU

 

RUDFRFRQVSLUDWRUIRUDQDOOHJHGYLRODWLRQRIVHFWLRQ  F ZKLFKLPSRVHVHQKDQFHGSHQDOWLHV

IRU³DQ\SHUVRQZKRGXULQJDQGLQUHODWLRQWRDQ\FULPHRIYLROHQFHXVHVRUFDUULHVDILUHDUP

RUZKRLQIXUWKHUDQFHRIDQ\VXFKFULPHSRVVHVVHVDILUHDUP´"86&  F  $ $QGLI

VRZRXOGWKHSUHVXPSWLRQRIGDQJHURXVQHVVDWWDFK"

7KH6XSUHPH&RXUWKDVKHOGWKDWWKHJRYHUQPHQWFDQ³PDNHLWVFDVH´RIDLGLQJDQGDEHWWLQJ

DVHFWLRQ  F YLRODWLRQ³E\SURYLQJWKDWWKHGHIHQGDQWDFWLYHO\SDUWLFLSDWHGLQWKHXQGHUO\LQJ

GUXJWUDIILFNLQJRUYLROHQWFULPHZLWKDGYDQFHNQRZOHGJHWKDWDFRQIHGHUDWHZRXOGXVHRUFDUU\D

JXQGXULQJWKHFULPH¶VFRPPLVVLRQ´Rosemond v. United States6&W  

$QGWKH'&&LUFXLWKDVFRQFOXGHGWKDWDGHIHQGDQWZKRGLGQRWDFWXDOO\RUFRQVWUXFWLYHO\SRVVHVV

DILUHDUPPD\EHSXQLVKHGDVDSULQFLSDOLIWKHJRYHUQPHQWFDQVKRZWKDWWKHGHIHQGDQWFRQVSLUHG

LQRUDLGHGDQGDEHWWHGDVHFWLRQ  F  RIIHQVHUnited States v. Long )G

'&&LU  see alsoUnited States v. Washington)G ± '&&LU  

+DYLQJYLHZHGWKHYLGHRWDSHRIWKLVDUPHGUREEHU\LQSURJUHVVWKH&RXUWILQGVWKDWWKHUH

LVSUREDEOHFDXVHWRFRQFOXGHWKDWGHIHQGDQWHLWKHUDLGHGDQGDEHWWHGRUFRQVSLUHGLQWKHXVHRID

ILUHDUP GXULQJ DQG LQ UHODWLRQ WR RU WKH SRVVHVVLRQ RI D ILUHDUP LQ IXUWKHUDQFH RI D FULPH RI

YLROHQFHSee86&†  F 7KHHYLGHQFHSUHVHQWHGDWWKH-XQHKHDULQJVKRZHG

DQHIILFLHQWZHOORUFKHVWUDWHGUREEHU\RIWKH5LWH$LGSKDUPDF\7KHWKUHHPHQZKRFRPPLWWHG

WKHRIIHQVHHQWHUHGWKHVWRUHWRJHWKHUDQGRQHRIWKHPYLVLEO\GUHZKLVZHDSRQMXVWDVKHSDVVHG

WKURXJKWKHGRRUV7KHWKUHHLPPHGLDWHO\PRYHGGLUHFWO\WRYDULRXVSDUWVRIWKHVWRUHDQGWKH

LQGLYLGXDO ZKRVH ILQJHUSULQWV ZHUH LGHQWLILHG DV WKRVH RI GHIHQGDQW /HH SURPSWO\ DQG FDOPO\

FDUULHGRXWKLVUROHDQGWKHQOHIWZLWKWKHRWKHUVZKRLQWKHPHDQWLPHKDGSRLQWHGJXQVDWWKH

VWRUH FOHUN DQG D FXVWRPHU  1RWKLQJ VKRZQ RQ WKH WDSH JDYH ULVH WR WKH LPSUHVVLRQ WKDW WKH

LQGLYLGXDODOOHJHGWREHGHIHQGDQW/HHZDVVXUSULVHGRUFRQFHUQHGLQDQ\ZD\DERXWWKHXVHRIWKH

 

ILUHDUPVDQGWKHWKUHHSHUSHWUDWRUVIOHGLQDVLQJOHFDU6RWKHUHLVSUREDEOHFDXVHWREHOLHYHWKDW

WKLVGHIHQGDQWFRPPLWWHGWKHXQFKDUJHGILUHDUPVRIIHQVH

 7KHJRYHUQPHQWKDVQRWSRLQWHGWKH&RXUWWRDXWKRULW\IRUWKHSURSRVLWLRQWKDWXQGHUWKH

%DLO5HIRUP$FWLWPD\UHO\XSRQDYLFDULRXVOLDELOLW\WKHRU\WRHVWDEOLVKWKHFRPPLVVLRQRIDQ

RIIHQVHWKDWJLYHVULVHWRWKHUHEXWWDEOHSUHVXPSWLRQXQGHUVHFWLRQ86&† H  *RY¶W

†6XSSODW%XWLQLQWHUSUHWLQJDQRWKHUVHFWLRQRIWKH%DLO5HIRUP$FWWKH)LUVW&LUFXLW

VWDWHGWKDW³DFRQVSLUDF\WRFRPPLWDFULPHRIYLROHQFHLVLWVHOIDFULPHRIYLROHQFH´XQGHUWKH$FW

United States v. Mitchell)G VW&LU  ,QRWKHUZRUGVWKH%DLO5HIRUP$FW³GRHV

QRWUHTXLUHWKDWWKHGHIHQGDQWKLPVHOIFRPPLWDFWVRISK\VLFDOYLROHQFHDVDFRQGLWLRQSUHFHGHQW

WRDGHWHQWLRQRUGHU´United States v. Ciccone)G G&LU %HFDXVHWKH

JRYHUQPHQWKDVHVWDEOLVKHGSUREDEOHFDXVHWREHOLHYHWKDWWKDWGHIHQGDQWYLRODWHGVHFWLRQ  F 

E\DLGLQJDQGDEHWWLQJRUFRQVSLULQJWRFRPPLWWKDWRIIHQVHWKH&RXUWFRXOGILQGWKDWWKHUHEXWWDEOH

SUHVXPSWLRQSUHVFULEHGLQ† H  % DSSOLHVLQWKLVFDVH

,IWKHSUHVXPSWLRQDSSOLHVWKHGHIHQGDQWEHDUVWKHEXUGHQWRFRPHIRUZDUGZLWKFUHGLEOH

HYLGHQFHWKDWKHGRHVQRWSRVHDGDQJHUWRWKHFRPPXQLW\Alatishe)GDW'HIHQGDQW

SRLQWV WR KLV ODFN RI DQ\ VHULRXV SULRU FULPLQDOKLVWRU\ EH\RQG FHUWDLQPDWWHUV GLVFXVVHG LQ WKH

3UHWULDO6HUYLFH$JHQF\UHSRUWDQGLQSULYDWHDWWKHEHQFKWKHIDFWWKDWWKHHYLGHQFHFRQQHFWLQJ

WKHGHIHQGDQWWRWKHDV\HWXQFKDUJHGDGGLWLRQDODUPHGUREEHULHVLVODUJHO\FLUFXPVWDQWLDODWWKLV

WLPHDQGWKHIDFWWKDWRWKHUWKDQDQDUUHVWIRUSRVVHVVLRQRI3&3WKDWZDVQRSDSHUHGWKHUHLVQR

DOOHJDWLRQWKDWWKHGHIHQGDQWZDVLQYROYHGLQDQ\DGGLWLRQDOFULPLQDODFWLYLW\VLQFHWKHGDWHRIWKH

ODVWUREEHU\±'HFHPEHU'HI¶V2SSDW±,IKHLVUHOHDVHGWRWKH+,63SURJUDP

GHIHQGDQWSURSRVHVWROLYHHLWKHUZLWKKLVIDWKHUDQGJUDQGPRWKHURUZLWKKLVJLUOIULHQGDQGWKH

FRXSOH¶VWKUHH\HDUROGFKLOGId.

 

7KH3UHWULDO6HUYLFHV$JHQF\KDVXSGDWHGLWVUHSRUWLQWKLVFDVHVHYHUDOWLPHV,WVPRVW

UHFHQW UHSRUW GDWHG -XQH   VSHFLILFDOO\ UHFRPPHQGV GHWHQWLRQ DOWKRXJK LW ILQGV WKH

GHIHQGDQWWREHWHFKQLFDOO\HOLJLEOHWREHSODFHGLQWKH+,63SURJUDP7KH&RXUWILQGVGHIHQGDQW¶V

RULJLQDO SURSRVDO ± UHVLGLQJ ZLWK KLV JLUOIULHQG DQG WKH FRXSOH¶V WKUHH \HDU ROG FKLOG ± WR EH

XQVDWLVIDFWRU\JLYHQWKHODFNRIDQ\UHDOVXSHUYLVLRQ7KH&RXUWLVDOVRQRWSHUVXDGHGWKDWKRPH

GHWHQWLRQZLWKGHIHQGDQW¶VIDWKHU%ULDQ'DYLV6UDQGKLVJUDQGPRWKHUZRXOGEHDGHTXDWH$W

WKHKHDULQJ0U'DYLVZDVTXLWHYDJXHDERXWZKHWKHUDQGZKHQHLWKHUWKHGHIHQGDQWRUKLVEURWKHU

DFRGHIHQGDQWOLYHGDWWKHKRXVHDQGKLVWHVWLPRQ\OHIWRSHQWKHSRVVLELOLW\WKDWWKHGHIHQGDQW

ZDVOLYLQJWKHUHDWWKHWLPHRIWKHUREEHULHVLQTXHVWLRQ7KH&RXUWKDVFRQFHUQVWKDWGHIHQGDQW¶V

UHOHDVH WR WKH SURSRVHG DGGUHVV ZRXOG SXW KLP EDFN LQWR WKH YHU\ QHLJKERUKRRG WR ZKLFK WKH

SHUSHWUDWRUV IOHG DIWHU WKH 5LWH$LG UREEHU\ DQG ZKHUH WKH DOOHJHG SDUWLFLSDQWV ZHUH NQRZQ WR

JDWKHU7KHUHZDVDOVRLQIRUPDWLRQSURYLGHGWRWKH&RXUWDQGWKHSDUWLHVLQWKHIRUPRID3UHWULDO

6HUYLFHV$JHQF\3ULRU&RQWDFWV5HSRUWWKDWGLGQRWUHIOHFWZHOORQ0U'DYLV¶VVXLWDELOLW\DVD

FXVWRGLDQDQGWKDWLVRISDUWLFXODUFRQFHUQJLYHQWKHIDFWWKDWWKHGHIHQGDQW/HH¶VEURWKHUZKR

ZDVDOVRLQGLFWHGLQFRQQHFWLRQZLWKWKLVUREEHU\UHPDLQVDWODUJH

 )RUWKRVHUHDVRQVWKH&RXUWFRQFOXGHVWKDWGHIHQGDQWKDVQRWUHEXWWHGWKHSUHVXPSWLRQRI

GDQJHURXVQHVVLQWKLVFDVH 

%XWHYHQLIWKH&RXUWZHUHWRFRQFOXGHWKDWWKHGHIHQGDQWKDVFRPHIRUZDUGZLWKDWOHDVW

VRPHFUHGLEOHHYLGHQFHWRFRXQWHUWKHSUHVXPSWLRQDQGVKRZWKDWKHGRHVQRWSRVHDGDQJHUWRWKH

FRPPXQLW\ LW ZRXOG EH ERXQG WR JR RQ DQG FRQVLGHU WKH DOO RI WKH IDFWRUV VHW IRUWK LQ VHFWLRQ

 J $QGZLWKRUZLWKRXWWKHSUHVXPSWLRQWKH&RXUWILQGVWKDWDFRQVLGHUDWLRQRIWKRVHIDFWRUV

ZHLJKVLQIDYRURIGHWHQWLRQ

 

, 3XWWLQJDVLGHWKHSUHVXPSWLRQRIGDQJHURXVQHVVDQGFRQVLGHULQJRQO\WKHIDFWRUVVHW RXWLQWKH%DLO5HIRUP$FWWKH&RXUWILQGVWKDWWKHGHIHQGDQWVKRXOGEHGHWDLQHG  $ 7KH1DWXUHDQG&LUFXPVWDQFHVRIWKH2IIHQVH&KDUJHG

 ,Q GHWHUPLQLQJ ZKHWKHU WKHUH DUH FRQGLWLRQV RI UHOHDVH WKDW ZLOO DVVXUH WKH GHIHQGDQW¶V

DSSHDUDQFH DQG WKH VDIHW\ RI WKH FRPPXQLW\ WKH &RXUW PXVW ILUVW FRQVLGHU ³WKH QDWXUH DQG

FLUFXPVWDQFHVRIWKHRIIHQVHFKDUJHG´86&† J  6HFWLRQ J  VSHFLILFDOO\

GLUHFWV WKH &RXUW WR FRQVLGHU ³ZKHWKHU WKH RIIHQVH LV D FULPH RI YLROHQFHRU LQYROYHV

DILUHDUP´LQPDNLQJWKDWDVVHVVPHQWId.

+HUHERWKDUHWUXH$UPHGUREEHU\LQYLRODWLRQRI86&† TXDOLILHVDVDFULPH

RIYLROHQFHsee McCallister:/DW DQGGHIHQGDQWGRHVQRWFRQWHVWWKDWWZR

KDQGJXQVZHUHLQYROYHG7KHVXUYHLOODQFHFDPHUDFDSWXUHGDFOHDUYLHZRIRQHRIWKHUREEHUV

YLROHQWO\MHUNLQJWKHFDVKLHUEDFNE\KLVFROODUDQGSRLQWLQJDJXQGLUHFWO\DWKLVKHDG7KHIDFW

WKDWWKHGHIHQGDQWGLGQRWSHUVRQDOO\EUDQGLVKRQHRIWKHWZRZHDSRQVXVHGLQWKHRIIHQVHLVRIQR

PRPHQW WKHLQGLYLGXDODOOHJHGWREHGHIHQGDQW/HHZDVSODLQO\DQDFWLYHPHPEHURIWKHWHDP

7KH EHVW RXWFRPHLIHYHU\WKLQJJRHVDVSODQQHGGXULQJDQDUPHGUREEHU\LQYROYHVDYLFWLP¶V

EHLQJSODFHGDWULVNDQGIHHOLQJWHUULILHGIRUKLVVDIHW\SRVVLEO\IRU\HDUVWRFRPHDQGLIWKLQJVJR

ZURQJVRPHRQH±RUPXOWLSOHSHRSOH±FRXOGEHNLOOHGRUVHULRXVO\LQMXUHG$VGHIHQGDQWKLPVHOI

FRQFHGHV³WKHRIIHQVHLQTXHVWLRQLVDVHULRXVRQH´'HI¶V2SSDW)RUWKRVHUHDVRQVWKH&RXUW

ILQGVWKDWWKHQDWXUHDQGFLUFXPVWDQFHVRIWKHRIIHQVHZHLJKKHDYLO\LQIDYRURIGHWHQWLRQ

% 7KH:HLJKWRIWKH(YLGHQFHRI'HIHQGDQW¶V'DQJHURXVQHVV

 7KH&RXUWPXVWQH[WFRQVLGHUWKHZHLJKWRIWKHHYLGHQFHDJDLQVWWKHGHIHQGDQW86&

† J  DQGWKHILQJHUSULQWHYLGHQFHW\LQJWKLVGHIHQGDQWWRWKHRIIHQVHLVVLJQLILFDQW&RXUWV

LQRWKHUFLUFXLWVWKRXJKKDYHFDXWLRQHGWKDWDGLVWULFWFRXUWDVVHVVLQJWKHZHLJKWRIWKHHYLGHQFH

PXVWQRWFRQVLGHUWKHHYLGHQFHRIGHIHQGDQW¶VJXLOWEXWUDWKHUPXVWFRQVLGHURQO\WKHZHLJKWRI

WKH HYLGHQFH RI GHIHQGDQW¶V GDQJHURXVQHVV  Stone  )G DW   see also United States v.

 

Gebro )G WK&LU   KROGLQJWKDWVHFWLRQ J ³QHLWKHUUHTXLUHVQRU

SHUPLWVDSUHWULDOGHWHUPLQDWLRQRIJXLOW´  

7KHZHLJKWRIWKHHYLGHQFHRIGHIHQGDQW¶VGDQJHURXVQHVVLVVWURQJ2QWKHLQGLFWHGRIIHQVH

LWVHOIWKHHYLGHQFHSURIIHUHGE\WKHJRYHUQPHQWLQGLFDWHVWKDWGHIHQGDQWZDVDIXOOSDUWLFLSDQWLQ

DYLROHQWDQGGDQJHURXVDUPHGUREEHU\ZKLFKSODFHGVHYHUDOLQQRFHQWYLFWLPVDWULVNDQGLQYROYHG

WZR ZHDSRQV  :KHQ WKH &RXUW DOVR FRQVLGHUV WKH HYLGHQFH OLQNLQJ GHIHQGDQW WR WKH WZR 

UREEHULHVZKLFKDOVRLQYROYHGKDQGJXQVDQGWKHYLROHQWXVHRIIRUFHDJDLQVWYLFWLPVFRXSOHG

ZLWKKLVFRQQHFWLRQWRWKHVKRHVWRUHUREEHU\RUDWOHDVWLWVSHUSHWUDWRUVDQGSURFHHGVWKHHYLGHQFH

RI GHIHQGDQW¶V GDQJHURXV EHFRPHV HYHQ VWURQJHU  $FFRUGLQJO\ WKLV IDFWRU DOVR IDYRUV SUHWULDO

GHWHQWLRQ

& 7KH+LVWRU\DQG&KDUDFWHULVWLFVRIWKH'HIHQGDQW

 7KH &RXUW LV DOVR UHTXLUHG WR FRQVLGHU WKH KLVWRU\ DQG FKDUDFWHULVWLFV RI WKH GHIHQGDQW

LQFOXGLQJKLVFKDUDFWHUIDPLO\HPSOR\PHQWDQGFULPLQDOKLVWRU\ILQDQFLDOUHVRXUFHVFRPPXQLW\

WLHV DQG UHFRUG FRQFHUQLQJ DSSHDUDQFH DW FRXUW SURFHHGLQJV DPRQJ RWKHU IDFWRUV   86&

† J  $ 

,WLVWUXHDVGHIHQGDQWSRLQWVRXWWKDWKHGRHVQRWKDYHDVLJQLILFDQWKLVWRU\RIFRQWDFWZLWK

WKHFULPLQDOMXVWLFHV\VWHPEHIRUHRUDIWHUWKH'HFHPEHUFULPHVSUHHSee 'HI¶V2SSDW7KHUH

ZDVFHUWDLQLQIRUPDWLRQSUHVHQWHGWRWKH&RXUWDWWKHEHQFKRQ-XQHWKDWZDVQRWHVSHFLDOO\

JUDYHEXWLWZDVQRWLQDQ\ZD\SRVLWLYHHLWKHU7KHDGXOWKLVWRU\RIWUDIILFLQIUDFWLRQVWKDWZDV

PDGHDSDUWRIWKHSXEOLFUHFRUGVKRZVDWDPLQLPXPDVSRWW\UHFRUGLQWHUPVRIDSSHDULQJIRU

FRXUW GDWHV  7KH JRYHUQPHQW KDV GHPRQVWUDWHG WKDW GHIHQGDQW WZLFH IDLOHG WR DSSHDU IRU WZR

VHSDUDWHWUDIILFPDWWHUVSURPSWLQJEHQFKZDUUDQWVWREHLVVXHGZKLFKKHDYRLGHGIRUWKUHHPRQWKV

*RY¶W'HWHQWLRQ0RWDW:KLOHGHIHQGDQWGRHVQRWKDYHDUHFRUGRIVXEVWDQFHDEXVHWKH&RXUW

 

WDNHV QRWH RI KLV -DQXDU\  DUUHVW IRU SRVVHVVLRQ RI 3&3 $QG WKH &RXUW FDQQRW KHOS EXW

REVHUYHWKDWRQHFDQQRWWDONDERXWWKHGHIHQGDQW¶VODFNRIFULPLQDOKLVWRU\ZLWKRXWILUVWSXWWLQJ

DVLGH WKH HYLGHQFH RI KLV DOOHJHG FRQQHFWLRQ WR WKUHH RU IRXU DUPHG UREEHULHV  'HIHQGDQW¶V

FRQQHFWLRQZLWKYLROHQFHPD\KDYHEHHQVKRUWOLYHGEXWLWZDVVLJQLILFDQWHQRXJKWRPDNHKLP

GDQJHURXV

,QWHUPVRIWLHVWRWKHFRPPXQLW\GHIHQGDQWKDVRQO\EHHQUHVLGLQJDWKLVSUHVHQWDGGUHVV

ZKHUHKHOLYHVZLWKKLVFXUUHQWJLUOIULHQGWKHPRWKHURIRQHRIKLVWZRVRQVIRUWKUHHPRQWKV+H

KDV IDPLO\ LQ WKH DUHD EXW KLV IDWKHU LQGLFDWHG WKDW WKH GHIHQGDQW GLG QRW UHVLGH ZLWK KLP

FRQVLVWHQWO\ EXW VLPSO\ VWD\HG DW WKH KRXVH RII DQG RQ RQ DQ RFFDVLRQDO EDVLV SRVVLEO\ HYHQ

GXULQJWKHSHULRGZKHQWKHDUPHGUREEHULHVWRRNSODFH'HIHQGDQWLVQRWFXUUHQWO\HPSOR\HGDQG

WKH3UHWULDO6HUYLFHVUHSRUWUHIOHFWVWKDWKHKDVEHHQXQHPSOR\HGIRUWKUHH\HDUV'HIHQGDQWKDV

QRWFRPSOHWHGKLJKVFKRROQRUKDVKHREWDLQHGKLV*('DQGWKHDEVHQFHRIDQ\OHJDOPHDQVRI

VXSSRUWFRXSOHGZLWKWKHSULRUIDLOXUHVWRDSSHDUDQGWKHHYLGHQFHRIWKHH[WUHPHO\SRRUMXGJPHQW

RQ GLVSOD\ LQ WKH XQIRUWXQDWH SKRWRJUDSK JLYH WKH &RXUW OLWWOHWR JR RQ  6R ZKLOHGHIHQGDQW¶V

FULPLQDO KLVWRU\ GRHV QRW ZHLJK KHDYLO\ LQ IDYRU RI GHWHQWLRQ WKLV IDFWRU GRHV QRW UHEXW WKH

SUHVXPSWLRQLILWDSSOLHVRUVXSSO\DQ\JURXQGVWREHSDUWLFXODUO\FRPIRUWDEOHDERXWKLVUHOHDVH

' 7KH1DWXUHDQG6HULRXVQHVVRIWKH'DQJHUWR$Q\3HUVRQRUWKH&RPPXQLW\ 7KDW:RXOG%H3RVHGE\WKH'HIHQGDQW¶V5HOHDVH  )LQDOO\WKH&RXUWFRQVLGHUV³WKHQDWXUHDQGVHULRXVQHVVRIWKHGDQJHUWRDQ\SHUVRQRUWKH

FRPPXQLW\ WKDW ZRXOG EH SRVHG´ E\ GHIHQGDQW¶V UHOHDVH   86& † J    $QG LW

FRQFOXGHVWKDWWKHILQDOIDFWRUZHLJKVVWURQJO\LQIDYRURIGHWHQWLRQ

  7KHGerstein DIILGDYLWLQWKDWFDVHLQGLFDWHVWKDWWKHGHIHQGDQWZDVGLVFRYHUHGVOHHSLQJLQ DFDULQDQDOOH\QHDU6WHYHQV5RDG6(DQGWKDWZKHQKHZDVURXVHGE\SROLFHKHIOHG :KHQWKHRIILFHUVVHDUFKHGWKHFDUZLWKWKHFRQVHQWRILWVRZQHUGHIHQGDQW¶VEURWKHUWKH\IRXQG DERWWOHFRQWDLQLQJ3&3([WR*RY¶W6XSSO5HVS>'NW@7KHGHIHQGDQWGHFOLQHGWR VXEPLWWRDGUXJWHVWDIWHUKLVDUUHVWDQGXOWLPDWHO\WKHFKDUJHZDV³QRSDSHUHG´*RY¶W'HWHQWLRQ 0RWDWQ

 

:LWKUHVSHFWWRWKHFKDUJHGRIIHQVHDVGLVFXVVHGDERYHWKHHYLGHQFHVKRZVWKDWGHIHQGDQW

ZDVSDUWRIDJURXSWKDWDOOHJHGO\SODQQHGDQGH[HFXWHGDYLROHQWDUPHGUREEHU\7KHUREEHU\ZDV

ERWKDVHULRXVDQGYLROHQWRIIHQVHLQYROYLQJWKHXVHRIWZRZHDSRQVDJDLQVWVHYHUDOYLFWLPVDQG

LWLQGLFDWHVWKDWGHIHQGDQWZRXOGSRVHDWKUHDWWRWKHFRPPXQLW\ZHUHKHWREHUHOHDVHG

%H\RQGWKHFKDUJHGRIIHQVHWKHUHLVRWKHUHYLGHQFHRIGHIHQGDQW¶VGDQJHURXVQHVV:KLOH

WKH'&&LUFXLWGRHVQRWDSSHDUWRKDYHDGGUHVVHGWKHLVVXHRWKHUFRXUWVKDYHIRXQGWKDWDFRXUW

PD\FRQVLGHUDYDULHW\RIVRXUFHVRIHYLGHQFHRIWKHGHIHQGDQW¶VGDQJHUWRWKHFRPPXQLW\VHSDUDWH

DQGDSDUWIURPHYLGHQFHUHODWLQJWRWKHFULPHFKDUJHGSee, e.g.Stone)GDW  United

States v. Rodriguez )G G&LU  United States v. Quartermaine )G 

 WK &LU     ,QGHHG DV RQH FRXUW LQ WKLV GLVWULFW KDV REVHUYHG ³>H@YLGHQFH RI D

GHIHQGDQW¶VGDQJHURXVQHVVLVLQQRZD\OLPLWHGWRHYLGHQFHRIWKHHOHPHQWVRIWKHFULPHZLWKZKLFK

KHLVFKDUJHG´±UDWKHU³HYLGHQFHRIDGHIHQGDQW¶VGDQJHURXVQHVVFDQEHYLUWXDOO\XQUHODWHGWRWKH

FKDUJHG RIIHQVH´ HVSHFLDOO\ ³ZKHUH WKH HYLGHQFH RI GHIHQGDQW¶V GDQJHURXVQHVV UHODWHV WR SULRU

RIIHQVHV´Bess)6XSSDW 

 ,QWKLVFDVHWKH&RXUWKDVVHHQHYLGHQFHWKDWFRQQHFWVWKLVGHIHQGDQWWRDVHULHVRIDUPHG

UREEHULHVDQGRUDFRQVSLUDF\WRFRPPLWDVHULHVRIDUPHGUREEHULHV±HYLGHQFHWKDWWHQGVWRVKRZ

WKDWKHZDVDSDUWLFLSDQWLQWZRDUPHGUREEHULHVLQDGGLWLRQWRWKHRQHFKDUJHGLQWKHLQGLFWPHQW

DQGWKDWKHZDVDWWKHYHU\OHDVWWKHUHFLSLHQWRIWKHSURFHHGVRIDIRXUWK,QRWKHUZRUGVWKH

JRYHUQPHQWKDVSUHVHQWHGHYLGHQFHWRVKRZDQGWKH&RXUWKDVVLJQLILFDQWUHDVRQWREHOLHYHWKDW

WKHFKDUJHGRIIHQVHZDVQRWDQLVRODWHGHYHQWEXWUDWKHUSDUWRIDVWULQJRIRUJDQL]HGSODQQHG

DUPHGUREEHULHVWKDWLQYROYHGRQHRUPRUHZHDSRQVDQGSXWLQQRFHQWSHRSOHLQVLJQLILFDQWGDQJHU

7KH &RXUW QRWHV WKDW LWV ILQGLQJ WKDW WKHUH LV UHDVRQ WR EHOLHYH WKDW WKLV GHIHQGDQW

SDUWLFLSDWHGLQDVWULQJRIUREEHULHVLVQRWVLPSO\EDVHGRQWKHIDFWWKDWDQLQGLYLGXDOSHUSHWUDWRU

RIRQHFULPHZDVZHDULQJFORWKLQJVLPLODUWRWKDWZRUQE\DQLQGLYLGXDOSHUSHWUDWRURIDQRWKHU

 

FULPH1RWRQO\ZDVRQHRIWKHSHUSHWUDWRUV ³VXVSHFW´ RIWKHWZRUREEHULHVRIVLPLODUVL]H

DQGEXLOGDQGZHDULQJWKHVDPHFORWKHVDVWKHLQGLYLGXDOLGHQWLILHGWREHWKHGHIHQGDQWLQWKH5LWH

$LGUREEHU\EXWWKHUHDUHRWKHUFRQQHFWLRQVWRR)LUVWVXVSHFWLQWKHUREEHULHVZDVZLWK

DQRWKHUSHUVRQZKRDSSHDUVWREHWKHVDPHSHUVRQDVKLVDOOHJHGFRKRUWLQWKH5LWH$LGUREEHU\ 

VHFRQGWKH\ZHUHZLWKDWKLUGSHUVRQZKRZDVZHDULQJFORWKHVFRQQHFWHGWRWKHGHIHQGDQW WKLUG

DOOWKUHHIROORZHGWKHVDPHmodus operandiDVZDVXVHGLQWKH5LWH$LGUREEHU\ DQGIRXUWKWKH\

OHIWLQDYHKLFOHVLPLODUWRWKHRQHFRQQHFWHGWRWKH5LWH$LGUREEHU\7KHGHIHQGDQW¶VEUD]HQ

SDUWLFLSDWLRQLQSXEOLFL]LQJKLVFRQQHFWLRQWRWKHVKRHVWRUHUREEHU\RQVRFLDOPHGLDDOVRVXSSRUWV

DILQGLQJRIGDQJHURXVQHVVDVGRHVWKHJRYHUQPHQW¶VUHSUHVHQWDWLRQWKDWWKLVDOOHJHGDQGWREH

LQGLFWHGFRQVSLUDF\LQYROYHGQLQHDUPHGUREEHULHVLQDOO

 7KH &RXUW DOVR QRWHV WKDW WKH SURSRVHG FLUFXPVWDQFHV RI GHIHQGDQW¶V UHOHDVH ± KRPH

FRQILQHPHQWDWWKHUHVLGHQFHKHVKDUHVZLWKWKHPRWKHURIKLVFKLOGRUDWKLVIDWKHU¶VUHVLGHQFH

±GR QRW LQVWLOO FRQILGHQFH LQ WKH &RXUW WKDW WKH FRPPXQLW\ ZRXOG EH DGHTXDWHO\ VDIHJXDUGHG

DJDLQVW IXUWKHU YLROHQFH DW WKH KDQGV RI GHIHQGDQW  $V WKH 3UHWULDO 6HUYLFHV 5HSUHVHQWDWLYH

LQGLFDWHG DW WKH KHDULQJ ZKLOH GHIHQGDQW ZRXOG EH VXEMHFW WR KRXU *36 PRQLWRULQJ E\ D

FRPSXWHU WKHUH LV QR KXPDQ EHLQJ PRQLWRULQJ WKDW GDWD DQG VR 3UHWULDO 6HUYLFHV ZRXOG RQO\

EHFRPHDZDUHRIDQLQIUDFWLRQE\WKHGHIHQGDQWRQWKHQH[WEXVLQHVVGD\$QGWKH$JHQF\LVQRW

UHFRPPHQGLQJUHOHDVH

 )RUDOOWKRVHUHDVRQVWKH&RXUWILQGVWKDWWKHIRXUWKVWDWXWRU\IDFWRUZHLJKVKHDYLO\LQIDYRU

RIGHWHQWLRQ

&21&/86,21

%RWKEHFDXVHGHIHQGDQWKDVIDLOHGWRUHEXWWKHSUHVXPSWLRQRIGDQJHURXVQHVVDQGEHFDXVH

SXWWLQJ WKH SUHVXPSWLRQ DVLGH WKH IDFWRUV VHW IRUWK LQ WKH %DLO 5HIRUP $FW FRXQVHO LQ IDYRU RI

GHWHQWLRQ WKH &RXUW ILQGV WKDW WKHUH LV FOHDU DQG FRQYLQFLQJ HYLGHQFH WKDW QR FRQGLWLRQ RU

 

FRPELQDWLRQ RI FRQGLWLRQV ZLOO UHDVRQDEO\ DVVXUH WKH VDIHW\ RI WKH FRPPXQLW\  ,W LV WKHUHIRUH

KHUHE\

25'(5('WKDWWKHJRYHUQPHQW¶V0RWLRQIRU3UHWULDO'HWHQWLRQ>'NW@DQGLWV0RWLRQ

IRU (PHUJHQF\ 5HYLHZ DQG $SSHDO RI D 5HOHDVH 2UGHU >'NW @ DUH *5$17(' DQG WKH

GHIHQGDQWZLOOEHKHOGZLWKRXWERQG

6225'(5('





  $0<%(50$1-$&.621 8QLWHG6WDWHV'LVWULFW-XGJH  '$7( -XO\



Reference

Status
Published