United States v. Hayes

U.S. Court of Appeals for the Sixth Circuit

United States v. Hayes

Opinion

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

81,7(' 67$7(6 2) $0(5,&$ ; 3ODLQWLII$SSHOOHH    1R   Y  !  &+$/0(5 & +$<(6DOVR  NQRZQDV&KXFN+D\HVDOVR  NQRZQDV&KDUOHV+D\HV  'HIHQGDQW$SSHOODQW   1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH(DVWHUQ'LVWULFWRI.HQWXFN\DW/RQGRQ 1R nsHQQLIHU%&RIIPDQ'LVWULFWsXGJH $UJXHG 0D\ 'HFLGHGDQG)LOHG sXQH %HIRUH 0225(DQG*,/0$1&LUFXLWsXGJHV 0F.($*8( 'LVWULFWsXGJH

7KH +RQRUDEOH 'DYLG : 0F.HDJXH 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH :HVWHUQ 'LVWULFW RI 0LFKLJDQ VLWWLQJ E\ GHVLJQDWLRQ

  8QLWHG6WDWHVY+D\HV 1R  

BBBBBBBBBBBBBBBBB &2816(/ $5*8('   .HQQHWK 6 6LHJHO 7DPSD )ORULGD IRU $SSHOODQW&KDUOHV3:LVGRPsU$66,67$1781,7(' 67$7(6$77251(</H[LQJWRQ.HQWXFN\IRU$SSHOOHH 21 %5,()   .HQQHWK 6 6LHJHO 7DPSD )ORULGD IRU $SSHOODQW  &KDUOHV 3 :LVGRP sU 3DWULFN + 0ROOR\ $66,67$1781,7('67$7(6$77251(<6/H[LQJWRQ .HQWXFN\ 0DUWLQ / +DWILHOG $66,67$17 81,7(' 67$7(6$77251(</RQGRQ.HQWXFN\IRU$SSHOOHH BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB 521$/'/((*,/0$1&LUFXLWsXGJH,Q &KDOPHU +D\HV DJUHHG WR SD\ D PDQ  WR NLOO KLV VRQ 8QIRUWXQDWHO\IRU+D\HV EXWIRUWXQDWHO\IRUKLVVRQ WKHPDQ KH WULHG WR KLUH ZDV DQ XQGHUFRYHU )%, DJHQW  +D\HV ZDV VXEVHTXHQWO\DUUHVWHGLQGLFWHGDQGFRQYLFWHGRIPXUGHUIRU KLUHLQYLRODWLRQRI86&† )RUWKHUHDVRQVVHW IRUWKEHORZZH$)),50+D\HVjVFRQYLFWLRQ ,%$&.*5281' 0DGJH+D\HV%HFNHWW&KDOPHU+D\HVjVPRWKHUGLHGRQ 'HFHPEHU     6KH OHIW KHU JUDQGVRQ sRKQ +D\HV &KDOPHU +D\HVjV VRQ  QHDUO\ DOO RI DQ HVWDWH YDOXHG DW  7RKHUWZRVRQVVKHOHIWDOPRVWQRWKLQJ&KDOPHU +D\HVUHFHLYHGRQO\XQGHUWKHWHUPVRIKLVPRWKHUjV ZLOO  (YHQ VR KH PDGH RXW EHWWHU WKDQ KLV EURWKHU %UDG\ +D\HVZKRZDVOHIW 0DGJH+D\HV%HFNHWWH[HFXWHGKHUZLOOZKLFKQDPHGKHU JUDQGVRQDVWKHH[HFXWRURIKHUHVWDWHOHVVWKDQWZRPRQWKV EHIRUHVKHGLHG+HUZLOOZDVSUREDWHGRQsDQXDU\  7KH YHU\ QH[W GD\ &KDOPHU +D\HV ILOHG VXLW DJDLQVW sRKQ +D\HV LQ .HQWXFN\ VWDWH FRXUW DOOHJLQJ WKDW KLV VRQ KDG  8QLWHG6WDWHVY+D\HV 1R   1R   8QLWHG6WDWHVY+D\HV 

QRWEHDXWKRUL]HGWRGLVWXUEWKHGLVWULFWFRXUWjVUXOLQJHYHQLI H[HUWHGXQGXHLQIOXHQFHRYHU0DGJH+D\HV%HFNHWWDQGKDG ZH ZHUH RI WKH RSLQLRQ WKDW LW ZDV HUURQHRXV  $ FRXUW RI FRHUFHGKHULQWRVLJQLQJWKHZLOO&KDOPHU+D\HVDVVHUWHG DSSHDOVFDQUHYHUVHDGLVWULFWFRXUWjVUXOLQJSXUVXDQWWR5XOH WKDWKHZDVHQWLWOHGWRDOORIKLVPRWKHUjVHVWDWH  E  RQO\ LI DPRQJ RWKHU WKLQJV WKH UXOLQJ mDIIHFW>HG@ VXEVWDQWLDOULJKWVl8QLWHG6WDWHVY2ODQR86 7KH ZLOO FRQWHVW EHFDPH KLJKO\ DFULPRQLRXV  $W sRKQ   :LWKWKHSRVVLEOHH[FHSWLRQRImVWUXFWXUDOGHIHFW>V@l +D\HVjV EHKHVW &KDOPHU +D\HV ZKR OLYHG RQ SURSHUW\ LQ WKDWDIIHFWmWKHIUDPHZRUNZLWKLQZKLFKWKHWULDOSURFHHGVl 1DQF\.HQWXFN\WKDWKDGEHORQJHGWRKLVPRWKHUnDQGQRZ $UL]RQDY)XOPLQDQWH 86     WKHSKUDVH EHORQJHGWRKLVVRQnZDVRUGHUHGE\WKHFRXUWWRSDFNXSKLV mDIIHFW VXEVWDQWLDO ULJKWVl PHDQV mSUHMXGLFLDOl LQ WKH VHQVH EHORQJLQJVDQGPRYH7KLVRIFRXUVHGLGQRWLPSURYHWKH WKDWWKHDVVHUWHGHUURUmPXVWKDYHDIIHFWHGWKHRXWFRPHRIWKH UHODWLRQVKLSEHWZHHQIDWKHUDQGVRQ2ULJLQDOO\WKHFRXUWKDG GLVWULFWFRXUWSURFHHGLQJVl2ODQR86DW%HFDXVH UHTXLUHGWKDW&KDOPHU+D\HVYDFDWHWKHSURSHUW\E\sXO\ WKHUH LV QR UHDVRQDEOH SRVVLELOLW\ WKDW WKH GLVWULFW FRXUWjV  $W&KDOPHU+D\HVjVUHTXHVWWKHFRXUWJUDQWHGKLPDQ UXOLQJDIIHFWHGWKHRXWFRPHRIWKLVFDVH5XOH E DIIRUGV H[WHQVLRQXQWLO1RYHPEHU WROHDYHDQGUHPRYHKLV &KDOPHU+D\HVQREDVLVIRUUHOLHIHYHQLIWKHGLVWULFWFRXUWjV EHORQJLQJV+HVXEVHTXHQWO\VRXJKWDGGLWLRQDOH[WHQVLRQVRI UXOLQJZDVHUURQHRXV WLPHEXWWKHFRXUWUHMHFWHGWKHUHTXHVWV )RUWKHVDPHUHDVRQHYHQLI&KDOPHU+D\HVjVDWWRUQH\KDG 6HYHUDOPRQWKVHDUOLHULQsXQHRI &KDOPHU+D\HV FOHDUO\ SUHVVHG KLV &RQIURQWDWLRQ &ODXVH DUJXPHQW LQ WKH ZDVLQWHUYLHZHGE\DMRXUQDOLVWDQGDXWKRUQDPHG/DZUHQFH GLVWULFWFRXUWWKHUXOLQJZRXOGKDYHWREHFRQVLGHUHGKDUPOHVV 0\HUV0\HUVjVLQWHUHVWLQ&KDOPHU+D\HVZDVDSSDUHQWO\ EH\RQG D UHDVRQDEOH GRXEW HYHQ LI LW ZDV HUURQHRXV  6HH GXHWRWKHODWWHUjVFODLPRIKDYLQJEHHQDFRQWUDFWDJHQWRIWKH 'HODZDUH Y 9DQ $UVGDOO  86     &HQWUDO,QWHOOLJHQFH$JHQF\ &,$ RYHUDSHULRGRIIRUW\WZR FRQFOXGLQJWKDWDYLRODWLRQRIWKH&RQIURQWDWLRQ&ODXVHGRHV \HDUV 7KHUHLVDSSDUHQWO\QRWUXWKWRWKLVFODLP WKH&,$ QRW UHTXLUH UHYHUVDO RI D FRQYLFWLRQ LI mDVVXPLQJ WKDW WKH GHQLHG HYHU KDYLQJ KHDUG RI &KDOPHU +D\HV   7KH GDPDJLQJ SRWHQWLDO RI WKH FURVVH[DPLQDWLRQ ZHUH IXOO\ UHODWLRQVKLS EHWZHHQ WKH WZR PHQ LV VLJQLILFDQW EHFDXVH UHDOL]HG D UHYLHZLQJ FRXUW PLJKW QRQHWKHOHVV VD\ WKDW WKH &KDOPHU+D\HVjVVROHDUJXPHQWRQDSSHDOUHYROYHVDURXQG HUURUZDVKDUPOHVVEH\RQGDUHDVRQDEOHGRXEWl  0\HUVjVLQYROYHPHQWLQWKLVFDVH ,QVXPPDU\EHFDXVH&KDOPHU+D\HVZRXOGQRWEHHQWLWOHG ,Q ODWH sXO\ RI   &KDOPHU +D\HV WHOHSKRQHG 0\HUV WRUHOLHIHYHQZHZHUHWRFRQFOXGHWKDWKLVULJKWVXQGHUWKH 6KRUWO\ WKHUHDIWHU 0\HUV UHWXUQHG WKH FDOO  'XULQJ WKH &RQIURQWDWLRQ&ODXVHZHUHYLRODWHGWKHTXHVWLRQRIZKHWKHU FRQYHUVDWLRQ&KDOPHU+D\HVDVNHG0\HUVLIKHNQHZZKDW WKHGLVWULFWFRXUWjVUXOLQJLQIDFWYLRODWHGWKH&RQIURQWDWLRQ WKHSKUDVHmZHWZRUNlPHDQW$IWHUFRQVXOWLQJDUHIHUHQFH &ODXVHLVRQHWKDWZHQHHGQRWDQGGRQRWDGGUHVV ERRN0\HUVUHSOLHGWKDWKHXQGHUVWRRGWKHSKUDVHWREHWKH (QJOLVKWUDQVODWLRQRID5XVVLDQHXSKHPLVPIRUDVVDVVLQDWLRQ ,,,&21&/86,21 &KDOPHU+D\HVWROG0\HUVWKDWKLVXQGHUVWDQGLQJZDVFRUUHFW DQGWKDWKHQHHGHGDmZHWER\lWRGRDMREIRUKLPLQ1DQF\ )RU DOO RI WKH UHDVRQV VHW IRUWK DERYH ZH $)),50 WKH EHFDXVH WKHUH ZDV D GUXJ GHDOHU IURP /RXLVYLOOH WKDW KH MXGJPHQWRIWKHGLVWULFWFRXUW ZDQWHGNLOOHG0\HUVVXJJHVWHGWR&KDOPHU+D\HVWKDWKH ZDVmWDONLQJRXWRIKLVKHDGlDQGTXLWHSRVVLEO\YLRODWLQJWKH ODZVLPSO\E\EURDFKLQJWKHWRSLF&KDOPHU+D\HVUHVSRQGHG WKDWKHZDVYHU\VHULRXVDERXWKLVSODQ  8QLWHG6WDWHVY+D\HV 1R   1R   8QLWHG6WDWHVY+D\HV 

2Q$XJXVW &KDOPHU+D\HVPHW0\HUVLQ1DQF\ DGGLWLRQDO LPSHDFKPHQW TXHVWLRQV FRXOG KDYH DIIHFWHG WKH 2YHUFRIIHH&KDOPHU+D\HVSDVVHGWR0\HUVDSLHFHRISDSHU RXWFRPHRIWKLVFDVH ZLWK sRKQ +D\HVjV QDPH DGGUHVV DQG WHOHSKRQH QXPEHU &KDOPHU+D\HVGHVFULEHGsRKQ+D\HV DOWKRXJKKHWROG0\HUV ,QIDFWHYHQRQDSSHDO&KDOPHU+D\HVVWUXJJOHVWRH[SODLQ WKDWKHDQGsRKQ+D\HVZHUHQRWUHODWHG DVDWKLUW\VL[\HDU ZK\WKHDGGLWLRQDOTXHVWLRQVKLVDWWRUQH\ZDVSUHFOXGHGIURP ROGZKLWHPDOHZKRXVHGDQGVROGFRFDLQHDQGGURYHDEHLJH DVNLQJ 0\HUV ZHUH VLJQLILFDQW  +H DUJXHV WKDW DGGLWLRQDO *0&PLQL%OD]HU+HUHSHDWHGWKDWsRKQ+D\HVZDVDGUXJ LPSHDFKPHQWPLJKWKDYHPDGH0\HUVVHHPOHVVWUXWKIXODQG GHDOHUZKRZDVmJRLQJWRGLHlEHFDXVH&KDOPHU+D\HVZDV PRUHOLNHO\ELDVHGDJDLQVW&KDOPHU+D\HVWKXVPDNLQJWKH JRLQJWRKDYHKLPNLOOHG MXU\OHVVZLOOLQJWRFUHGLWKLVWHVWLPRQ\%XWHYHQLIWKHMXU\ KDGGHFLGHGWRGLVUHJDUGDOORI0\HUVjVWHVWLPRQ\WKDWVWLOO (LWKHUWKDWGD\RUWKHQH[W&KDOPHU+D\HVID[HG0\HUVD OHIW &KDOPHU +D\HV ZLWK WKH YHU\ VLJQLILFDQW SUREOHP RI QRWH UHTXHVWLQJ WKDW 0\HUV FDOO KLP EDFN  :KHQ 0\HUV KDYLQJEHHQWDSHUHFRUGHGDWWHPSWLQJWRKLUHDQXQGHUFRYHU UHWXUQHGWKHFDOO&KDOPHU+D\HVVDLGWKDWKHZDVYHU\XSVHW )%,DJHQWWRPXUGHUKLVVRQ EHFDXVHsRKQ+D\HVKDGMXVWSDLGKLPDQXQZDQWHGYLVLWDQG UHLWHUDWHGWKDWKHZDQWHG0\HUVWRDUUDQJHWRFRQWDFWVRPHRQH 7KHDXGLRWDSHVVSRNHIRUWKHPVHOYHV&KDOPHU+D\HVGLG ZKRFRXOGNLOOsRKQ+D\HV0\HUVVXJJHVWHGWKDW&KDOPHU QRWDUJXHWKDWKLVFRGHGFRQYHUVDWLRQVZLWK$JHQW<DUEURXJK +D\HVVLPSO\FDOOWKHSROLFHLIsRKQ+D\HVZDVERWKHULQJKLP ZHUHDPELJXRXVDQGWKDW0\HUVjVWHVWLPRQ\ZDVD5RVHWWD EXWWKLVVXJJHVWLRQZDVUHMHFWHG&KDOPHU+D\HVWKHQWROG 6WRQHZLWKRXWZKLFKWKHMXU\PLJKWKDYHKDGGRXEWVDERXW 0\HUV WKDW LI KH ZRXOG QRW KHOS +D\HV ZRXOG KLUH DQ ZKDW&KDOPHU+D\HVDQG$JHQW<DUEURXJKZHUHGLVFXVVLQJ LQGLYLGXDO QDPHG 5R\ ZKR KDG SXUSRUWHGO\ DJUHHG WR NLOO ,QVWHDGKHUHVWHGKLVGHIHQVH RQWKHFRPSOHWHO\LQFUHGLEOH sRKQ +D\HV  $W WKDW SRLQW 0\HUV WHOHSKRQHG 6WHSKHQ DUJXPHQWWKDWKHVXVSHFWHGDOODORQJWKDW$JHQW<DUEURXJK %UDQQDQ D VSHFLDO DJHQW RI WKH )HGHUDO %XUHDX RI ZDVDQ)%,DJHQWDQGWKDWKHZDVVLPSO\SOD\LQJDORQJLQDQ ,QYHVWLJDWLRQ )%,  EDVHG LQ %LUPLQJKDP $ODEDPD ZLWK DWWHPSWWRHPEDUUDVVWKH)%, ZKRP 0\HUV ZDV DFTXDLQWHG WR LQIRUP KLP WKDW &KDOPHU +D\HVZDVSORWWLQJWRKDYHsRKQ+D\HVNLOOHG %XWHYHQLIWKHMXU\KDGDGGLWLRQDOUHDVRQVWRGLVEHOLHYH 0\HUVjVWHVWLPRQ\WKHUHLVQREDVLVLQWKHUHFRUGRULQORJLF ,Q HDUO\ 6HSWHPEHU RI   0\HUV DJDLQ VSRNH ZLWK WRILQGWKDWWKRVHDGGLWLRQDOUHDVRQVZRXOGVXSSRUW&KDOPHU &KDOPHU +D\HV ZKR WROG 0\HUV WKDW KH mVWLOO KDG WKLV +D\HVjVmSOD\LQJDORQJlDUJXPHQW,QVKRUWHYHQLIWKHMXU\ SUREOHP DQG VWLOO ZDQWHG VRPHERG\ WR KHOS KLPl  0\HUV KDGDGGLWLRQDOUHDVRQVWRFRQFOXGHWKDW0\HUVZDVQRWWREH LQIRUPHG $JHQW %UDQQDQ RI WKLV FRQYHUVDWLRQ  $W $JHQW EHOLHYHG&KDOPHU+D\HVQHYHUH[SODLQVZK\WKRVHUHDVRQV %UDQQDQjV GLUHFWLRQ 0\HUV WROG &KDOPHU +D\HV WKDW KH PLJKWKDYHPDGHWKHMXU\DQ\PRUHDSWWREHOLHYH&KDOPHU mPLJKW NQRZl VRPHRQH ZKR FRXOG KHOS DQG WKDW LI WKLV +D\HVZKHQKHWHVWLILHGWKDWKHVXVSHFWHGDOODORQJWKDW0\HUV SHUVRQZDVWRFDOO&KDOPHU+D\HVKHZRXOGLGHQWLI\KLPVHOI ZDVVHWWLQJKLPXS&KDOPHU+D\HVGRHVQRWDUJXHWKDWKH E\ VD\LQJ WKDW KH mMXVW WDONHG WR WKH JX\ WKDW \RX JDYH D NQHZWKDW0\HUVZDVEHLQJ LQYHVWLJDWHGIRUSHUMXU\PXFK FRXSOHRIWREDFFRSLSHVl OHVVWKDWKHZDVDZDUHRIDQ\FRQFHUQWKDW0\HUVPLJKWKDYH KDG DERXW EHLQJ LQYHVWLJDWHG DQG WKDW ZRXOG EH WKH RQO\ 6RRQWKHUHDIWHU$JHQW%UDQQDQDUUDQJHGIRU)%,6SHFLDO FRQFHLYDEOHZD\IRUWKHGLVWULFWFRXUWjVUXOLQJWRKDYHDIIHFWHG $JHQW 'RQ <DUEURXJK WR SUHWHQG WR EH D KLW PDQ DQG WR WKHMXU\jVYHUGLFW FRQGXFW DQ XQGHUFRYHU LQYHVWLJDWLRQ  2Q 6HSWHPEHU    $JHQW <DUEURXJK WHOHSKRQHG &KDOPHU +D\HV  7KH )RUWKLVUHDVRQDVVXPLQJWKDWWKHDSSURSULDWHVWDQGDUGRI UHYLHZLVWKHmSODLQHUURUlVWDQGDUGRI5XOH E ZHZRXOG  8QLWHG6WDWHVY+D\HV 1R   1R   8QLWHG6WDWHVY+D\HV 

$JHQW%UDQQDQLQWKHKRSHWKDWWKH)%,PLJKWWU\WRLQWHUFHGH FRQYHUVDWLRQZDVVHFUHWO\DXGLRWDSHGE\$JHQW<DUEURXJK ZLWK WKH 7HQQHVVHH VWDWH RIILFLDOV RQ 0\HUVjV EHKDOI  7KH $JHQW<DUEURXJKLGHQWLILHGKLPVHOIE\XVLQJWKHOLQHDERXW GLVWULFWFRXUWDJDLQDVNHGFRXQVHOZKDWHOVHLIDQ\WKLQJKH WKH WREDFFR SLSHV  &KDOPHU +D\HV VDLG KH NQHZ ZKR KRSHGWRHOLFLWIURP0\HUV&RXQVHOUHVSRQGHGmWKDWPD\ <DUEURXJK ZDV WDONLQJ DERXW DQG DVNHG <DUEURXJK IRU QRWEHWKHH[FOXVLYHOLVWEXWKRSHIXOO\WKLQJVZLOORFFXUWR mKHOSl6SHFLILFDOO\KHLGHQWLILHGDQGGHVFULEHGsRKQ+D\HV PHl DQGWKHEHLJHPLQL%OD]HUKHGURYHDQGH[SUHVVHGDGHVLUHWR PHHWLQSHUVRQWRGLVFXVVWKHSDUWLFXODUVRIWKHmKHOSlKHZDV ,QFRQWH[WZHFDQQRWDJUHHZLWK&KDOPHU+D\HVjVDVVHUWLRQ DVNLQJ<DUEURXJKWRSURYLGH$W$JHQW<DUEURXJKjVUHTXHVW RQ DSSHDO WKDW KLV DWWRUQH\ PDGH D mSDUWLFXODUL]HG LQTXLU\ &KDOPHU+D\HVVXEVHTXHQWO\PDLOHG<DUEURXJKDSKRWRJUDSK >WKDW@XQPLVWDNDEO\ZRXOGKDYHHVWDEOLVKHGVWURQJPRWLYDWLRQ RIsRKQ+D\HVWRDSRVWRIILFHER[DGGUHVVWKDW<DUEURXJKKDG IRU FXUU\LQJ IDYRU ZLWK WKH *RYHUQPHQWl  4XLWH WR WKH SURYLGHG$URXQGWKLVWLPHWKH)%,GHWHUPLQHGWKDWsRKQ FRQWUDU\  &RXQVHOjV VWDWHPHQW WKDW mKRSHIXOO\ WKLQJV ZLOO +D\HVZDV&KDOPHU+D\HVjVVRQ RFFXUWRPHlQRGRXEWJDYHWKHGLVWULFWFRXUWWKH MXVWLILHG LPSUHVVLRQWKDWFRXQVHOZDVVHHNLQJDOLFHQVHWRFRQGXFWD 2Q 6HSWHPEHU    &KDOPHU +D\HV DQG $JHQW ILVKLQJH[SHGLWLRQ:HUHFRJQL]HWKDWFRXQVHOPD\QRWKDYH <DUEURXJKKDGDQRWKHUWHOHSKRQHFRQYHUVDWLRQ/LNH WKHLU NQRZQDERXW0\HUVjVKLVWRU\XQWLODIWHUWKHWULDOEHJDQDQG ILUVW GLVFXVVLRQ WKLV FRQYHUVDWLRQ ZDV DXGLRWDSHG ZLWKRXW WKDWWKHGLVWULFWFRXUWFRQWLQXHGWKHWULDOIRUWKLVYHU\UHDVRQ &KDOPHU +D\HVjV NQRZOHGJH  $JHQW <DUEURXJK DVNHG 1HYHUWKHOHVV &KDOPHU +D\HV GRHV QRW DUJXH WKDW WKH &KDOPHU +D\HV WR FODULI\ ZKHWKHU KH ZDQWHG mWKH IXOO JRYHUQPHQWIDLOHGWRGLVFORVHDQ\GRFXPHQWVRULQIRUPDWLRQ WUHDWPHQWl RU VLPSO\ ZDQWHG mWKH ER\ VFDUHGl  &KDOPHU WKDW LW ZDV REOLJDWHG WR GLVFORVH RU WKDW KH ZDV DIIRUGHG +D\HV UHSOLHG WKDW KH ZDQWHG mWKH IXOO WUHDWPHQWl DQG LQDGHTXDWHWLPHWRSUHSDUHKLVGHIHQVHLQFOXGLQJKLVUHQHZHG HPSKDVL]HGWKDWKHmZDQW>HG@KLPRXWRIWKHZD\l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jVVHUYLFHVDVDFRQWUDFWNLOOHU$JHQW<DUEURXJK WKHSURVHFXWRUZDUQHGWKHMXU\WKDWEDVHGRQKHUH[SHULHQFH QHJRWLDWHGDSULFHRIZLWKDGHSRVLWSD\DEOHLQ ZLWK0\HUVLHKHULQYROYHPHQWZLWKWKH7HQQHVVHHPXUGHU DGYDQFH DQG WKH UHPDLQGHU SD\DEOH VHYHQ GD\V DIWHU WKH IRUKLUH FDVH 0\HUV ZDV D mSURIHVVLRQDO SDWKRORJLFDO OLDUl PXUGHU  7KH WZR DJUHHG WKDW <DUEURXJK ZRXOG UHWXUQ WR ZKRZDVmQRWWREHEHOLHYHGl:HUHFRJQL]HWKDWRQHPLJKW %LUPLQJKDP DQG IURP WKHUH WHOHSKRQH &KDOPHU +D\HV WR GUDZ D GLVWLQFWLRQ EHWZHHQ D SHUVRQ ZKRVH WHVWLPRQ\ LV H[SODLQZKHWKHUWKHMREKDGEHHQFRPSOHWHGE\VD\LQJLIWKH JHQHUDOO\ XQUHOLDEOH EHFDXVH KH OLHV SDWKRORJLFDOO\ DQG D ZHDWKHUZDVmJRRGlRUmEDGlLQ%LUPLQJKDP SHUVRQ ZKR KDV D SDUWLFXODU PRWLYDWLRQ WR WHOO D VSHFLILF IDOVHKRRG LQ RUGHU WR EULQJ DERXW D FDOFXODWHG UHVXOW $ZHHNODWHURQ2FWREHU $JHQW<DUEURXJKPHW 1HYHUWKHOHVVLWLVGLIILFXOWWRLPDJLQHWKDWFRXQVHOjVSURSRVHG ZLWK&KDOPHU+D\HVDJDLQ$JHQW<DUEURXJKWROG&KDOPHU  8QLWHG6WDWHVY+D\HV 1R   1R   8QLWHG6WDWHVY+D\HV 

+D\HV WKDW KH ZDV RQ KLV ZD\ WR /RXLVYLOOH WR GR WKH MRE m>7@KH&RQIURQWDWLRQ&ODXVHJXDUDQWHHVDQRSSRUWXQLW\IRU &KDOPHU+D\HVFRQILUPHGWKDWKHZDQWHGsRKQ+D\HVGHDG HIIHFWLYH FURVVH[DPLQDWLRQ QRW FURVVH[DPLQDWLRQ WKDW LV DQGSUHIHUUHGWKDWKLVERG\QRWEHIRXQG  2Q2FWREHU HIIHFWLYHLQZKDWHYHUZD\DQGWRZKDWHYHUH[WHQWWKHGHIHQVH  $JHQW<DUEURXJKWHOHSKRQHG&KDOPHU+D\HVDQGWROG PLJKWZLVKl  KLPWKDWKHZDVLQ%LUPLQJKDPDQGWKDWmWKHZHDWKHUGRZQ KHUH LV DEVROXWHO\ GURS GHDG JRUJHRXVl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jVZRUN6HH6WDWHY6KXFN WKH GHIHQGDQW GLG QRW DUJXH LQ WKH GLVWULFW FRXUW WKDW KLV 6:G 7HQQ  3ROLWLFLDQ6HQWHQFHG)RU SURSRVHG FURVVH[DPLQDWLRQ WR ZKLFK WKH JRYHUQPHQW 7U\LQJ7R+LUH+LW0DQ7R.LOO5HSRUWHU7+( 7(11(66($1 REMHFWHGRQUHOHYDQF\JURXQGVZDVLQWHQGHGWRGHPRQVWUDWH sXO\ DW%'XULQJWKHHQVXLQJ7HQQHVVHHPXUGHU ELDVSUHMXGLFHRUPRWLYH %XWDVQRWHGDERYHWKLVJHQHUDO IRUKLUHWULDORIWKHLQGLYLGXDOZKRZDQWHG0\HUVNLOOHGWKH UXOHLVRQHRISUXGHQFHUDWKHUWKDQDOLPLWDWLRQRQWKLVFRXUWjV 7HQQHVVHHVWDWHSURVHFXWRUFDOOHG0\HUVDVDZLWQHVV7RWKH MXULVGLFWLRQ SURVHFXWRUjV FKDJULQ 0\HUV WHVWLILHG LQ D PDQQHU WKDW ZDV XQIDYRUDEOHWRWKHSURVHFXWLRQIDYRUDEOH WRWKHGHIHQGDQW  &KDOPHU+D\HVFRQFHGHVWKDWKLVDWWRUQH\mGLGQRWOLWHUDOO\ DQGPRUHRYHUFRQWUDGLFWHGZKDWKHKDGZULWWHQDERXWWKH XVHWKHZRUGVµELDVSUHMXGLFH>RU@PRWLYHjlLQUHVSRQGLQJWR LQGLYLGXDOLQWKHQHZVVWRULHVWKDWSUHFLSLWDWHGWKHPXUGHUIRU WKHJRYHUQPHQWjVPRWLRQLQOLPLQHEXWDUJXHVWKDWWKHGLVWULFW KLUHVFKHPH7KHSURVHFXWRULQWKH7HQQHVVHHFDVHEHOLHYHG FRXUWmUHDGLO\VKRXOGKDYHUHFRJQL]HGWKDW>&KDOPHU@+D\HV WKDW 0\HUV KDG OLHG RQ WKH VWDQG DOWKRXJK 0\HUV ZDV ZDQWHGWRLQIRUPWKHMXU\RIDIRUPLGDEOHLQFHQWLYHIRU0\HUV DSSDUHQWO\QHYHUFKDUJHGZLWKSHUMXU\RUDQ\RWKHURIIHQVHDV WREHSDUWLDOWRWKHJRYHUQPHQWl:HGLVDJUHH DUHVXOWRIKLVWHVWLPRQ\ 7KH GLVWULFW FRXUW VSHFLILFDOO\ DVNHG &KDOPHU +D\HVjV 6KRUWO\ DIWHU 0\HUVjV WHVWLPRQ\ DV D ZLWQHVV IRU WKH DWWRUQH\ZKDWHOVHKHZLVKHGWRHOLFLWIURP0\HUVRWKHUWKDQ JRYHUQPHQWLQWKHSUHVHQWFDVHFRXQVHOIRU&KDOPHU+D\HV WKHIDFWWKDW0\HUVKDGWHVWLILHGLQDQRWKHUPXUGHUIRUKLUH OHDUQHGDERXWWKH7HQQHVVHHPXUGHUIRUKLUHFDVHLQZKLFK FDVH  &RXQVHO UHVSRQGHG m:HOO , ZDV JRLQJ WR ILQG RXW 0\HUVZDVLQYROYHG+HVRXJKWWRUHFDOO0\HUVWRWHVWLI\DV ZKHWKHUKHNQHZKHZDVXQGHULQYHVWLJDWLRQIRUKLVWHVWLPRQ\ DKRVWLOHZLWQHVVLQRUGHUWRDVNKLPDERXWKLVWHVWLPRQ\LQ LQWKDWFDVHl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

VKRXOGEHJUDQWHG +RUPHOY+HOYHULQJ86 7KHJRYHUQPHQWPDGHDQRUDOPRWLRQLQOLPLQHWRSUHYHQW    m$ULJLGDQGXQGHYLDWLQJMXGLFLDOO\GHFODUHGSUDFWLFH FRXQVHOIRU&KDOPHU+D\HVIURPPDNLQJWKHH[DPLQDWLRQRI XQGHUZKLFKFRXUWVRIUHYLHZZRXOGLQYDULDEO\DQGXQGHUDOO 0\HUVDOHQJWK\UHKDVKRIWKHIDFWVRIWKH7HQQHVVHHPXUGHU FLUFXPVWDQFHVGHFOLQHWRFRQVLGHUDOOTXHVWLRQVZKLFKKDGQRW IRUKLUHWULDO$IWHUILUVWVXJJHVWLQJWKDW0\HUVjVWHVWLPRQ\LQ SUHYLRXVO\EHHQVSHFLILFDOO\XUJHGZRXOGEHRXWRIKDUPRQ\ WKH 7HQQHVVHH FDVH ZDV DQ DSSURSULDWH VXEMHFW IRU ZLWKWKHUXOHVRIIXQGDPHQWDOMXVWLFHl  H[DPLQDWLRQ EHFDXVH LW mVKRZ>HG@ D FRXUVH RI FRQGXFW RU EHKDYLRUZKLFKFRXOGEHXVHGWRLPSHDFKKLPlFRXQVHOIRU ,QGHHG6FDUERURXJKLWVHOIDSSDUHQWO\LQYROYHG DOWKRXJK &KDOPHU +D\HV H[SODLQHG WKDW KH ZDQWHG WR DVN 0\HUV LWQHYHUVD\VVR DVXSSUHVVLRQLVVXHWKDW5XOHUHTXLUHGEH mZKHWKHU KH NQHZ KH ZDV XQGHU LQYHVWLJDWLRQ IRU KLV DVVHUWHG EHIRUH WULDO  3XWWLQJ WR RQH VLGH WKH IDFW WKDW WHVWLPRQ\ LQ >WKH 7HQQHVVHH FDVH@l  $FWXDOO\ DSDUW IURP 6FDUERURXJKDQG&ULVPRQFDQQRWHDVLO\EHUHFRQFLOHGZLWK UHSUHVHQWDWLRQVE\&KDOPHU+D\HVjVDWWRUQH\WRWKHGLVWULFW 5XOH  E  RU SULRU SXEOLVKHG GHFLVLRQV RI WKLV FRXUW VHH FRXUWLQWKLVFDVHWKHUHLVQRLQGLFDWLRQLQWKHUHFRUGWKDWWKH 6RZDUGVY/RXGRQ&RXQW\)GQ WK&LU 7HQQHVVHH VWDWH SURVHFXWRUV KDG HYHU FRQVLGHUHG FKDUJLQJ   QRWLQJWKHJHQHUDOUXOHWKDWZKHQDGHFLVLRQE\RQH 0\HUVZLWKSHUMXU\PXFKOHVVWKDW0\HUVNQHZDERXWLW  SDQHO RI WKLV FRXUW LV LQFRQVLVWHQW ZLWK D SULRU SXEOLVKHG RSLQLRQ E\ DQRWKHU SDQHO RI WKLV FRXUW WKH HDUOLHU FDVH 7KHGLVWULFWFRXUWJUDQWHGWKHJRYHUQPHQWjVPRWLRQLQSDUW FRQWUROV WKHVKRUWDQVZHULVWKDWWKHSUHVHQWFDVHVLPSO\GRHV KROGLQJ WKDW GHIHQVH FRXQVHO ZRXOG QRW EH SHUPLWWHG WR QRW LQYROYH WKH 5XOH  IRUIHLWXUH SURYLVLRQ DW LVVXH LQ LQTXLUHLQWRWKHXQGHUO\LQJIDFWVRIWKH7HQQHVVHHFDVHEH\RQG 6FDUERURXJKZKHWKHURUQRWWKDWSURYLVLRQjVEDUULHUWRUHYLHZ WKH IDFW WKDW LW ZDV DQRWKHU PXUGHUIRUKLUH FDVH LQ ZKLFK LVMXULVGLFWLRQDO:HWKHUHIRUHKDYHMXULVGLFWLRQWRFRQVLGHU 0\HUV KDG WHVWLILHG  %XW WKH GLVWULFW FRXUW DOVR KHOG WKDW WKHPHULWVRI&KDOPHU+D\HVjV&RQIURQWDWLRQ&ODXVHFODLP &KDOPHU+D\HVFRXOGFDOODVDZLWQHVVRQHRIWKH7HQQHVVHH HYHQWKRXJKLWZDVQRWSURSHUO\UDLVHGEHORZ VWDWHSURVHFXWRUVDQGWKDWFRXQVHOFRXOGDVNWKHSURVHFXWRU DERXW0\HUVjVUHSXWDWLRQIRUWUXWKIXOQHVV&KDOPHU+D\HVjV % 0HULWV DWWRUQH\ GLG LQGHHG FDOO RQH RI WKH 7HQQHVVHH VWDWH SURVHFXWRUV DV D ZLWQHVV DQG VKH WHVWLILHG WKDW IURP KHU 7KH 6XSUHPH &RXUW KDV UHFRJQL]HG WKDW WKH ULJKW WR GHDOLQJVZLWK0\HUVLQWKH7HQQHVVHHPXUGHUIRUKLUHFDVH FRQIURQWDWLRQmPHDQVPRUHWKDQEHLQJDOORZHGWRFRQIURQWWKH VKHKDGIRUPHGWKHRSLQLRQWKDW0\HUVZDVDmSURIHVVLRQDO ZLWQHVVSK\VLFDOO\l'HODZDUHY9DQ$UVGDOO86 SDWKRORJLFDOOLDUDQGQRWWREHEHOLHYHGl 7HFKQLFDOO\WKLV     FLWDWLRQDQGTXRWDWLRQVRPLWWHG DQGWKDWm>W@KH DQVZHU ZDV QRW GLUHFWO\ UHVSRQVLYH WR WKH TXHVWLRQ DVNHG PDLQDQGHVVHQWLDOSXUSRVHRIFRQIURQWDWLRQLVWRVHFXUHIRU DOWKRXJKRSLQLRQHYLGHQFHDERXWDZLWQHVVjVWUXWKIXOQHVVLV WKH RSSRQHQW WKH RSSRUWXQLW\ RI FURVVH[DPLQDWLRQl  LG DOVR DQ DFFHSWDEOH PHWKRG RI ZLWQHVV LPSHDFKPHQW XQGHU FLWDWLRQVDQGTXRWDWLRQVRPLWWHG  DOWHUDWLRQLQRULJLQDO 7KH 5XOHRIWKH)HGHUDO5XOHVRI(YLGHQFH 6XSUHPH&RXUWKDVDOVRUHFRJQL]HGWKDWH[SRVLQJDZLWQHVVjV PRWLYDWLRQ IRU WHVWLI\LQJ LV DQ LPSRUWDQW SDUW RI WKH ULJKW &KDOPHU+D\HVDOVRWHVWLILHG+HGHQLHGWKDWKHKDGDVNHG JXDUDQWHHGE\WKH&RQIURQWDWLRQ&ODXVHDOWKRXJKGHIHQGDQWV 0\HUVWRDUUDQJHIRUWKHPXUGHURIsRKQ+D\HV2QWKHRWKHU GR QRW KDYH D FRQVWLWXWLRQDO ULJKW WR LPSHDFK ZLWQHVVHV KDQGKHDGPLWWHGWKDWWKHYRLFHRQWKHUHFRUGLQJVZLWK$JHQW HQGOHVVO\HYHQIRUELDV6HHLGDW  m>7@ULDOMXGJHVUHWDLQ <DUEURXJK ZDV KLV DQG DOVR DGPLWWHG WKDW ZKDW KH KDG ZLGHODWLWXGHLQVRIDUDVWKH&RQIURQWDWLRQ&ODXVHLVFRQFHUQHG GLVFXVVHGZLWK$JHQW<DUEURXJKZDVPXUGHUIRUKLUH+LV WRLPSRVHUHDVRQDEOHOLPLWVRQFURVVH[DPLQDWLRQl H[SODQDWLRQ ZDV WKDW KH ZDV QRW VHULRXV  6SHFLILFDOO\ KH 'HODZDUHY)HQVWHUHU86    SHUFXULDP DUJXHGWKDWWKH)%,KDGEHHQWU\LQJWRVHWKLPXSEHFDXVHRI  8QLWHG6WDWHVY+D\HV 1R   1R   8QLWHG6WDWHVY+D\HV

KLV RXWVSRNHQ FULWLFLVP RI FRUUXSWLRQ LQ WKH 8QLWHG 6WDWHV JHQHUDOO\ DYRLGFRQVLGHULQJLVVXHVQRWSDVVHGXSRQEHORZ JRYHUQPHQW DQG DOVR VR WKDW WKH JRYHUQPHQW FRXOG DYRLG mWKLVUXOHLVRQHRISUXGHQFH DQGGRHVQRWOLPLW>WKHDSSHOODWH FRPSHQVDWLQJKLPIRUKLVVXSSRVHG&,$VHUYLFH+HWHVWLILHG FRXUWjV@MXULVGLFWLRQ lDQGOHDYHVWKHFRXUWVRIDSSHDOVZLWK WKDWKHKDGLQIDFWNQRZQDOODORQJWKDW<DUEURXJKZDVDQ mFRQVLGHUDEOH GLVFUHWLRQ WR GHFLGH TXHVWLRQV QRW UDLVHG )%,DJHQWEXWZDVMXVWSOD\LQJDORQJLQRUGHUWRHPEDUUDVV LQLWLDOO\ LQ WKH GLVWULFW FRXUWl 8QLWHG 6WDWHV Y )LQFK  WKH)%,$SSDUHQWO\XQLPSUHVVHGZLWKWKLVH[SODQDWLRQWKH )G  WK&LU   QRWLQJWKDWFRQVLVWHQWZLWK MXU\ FRQYLFWHG KLP  +H ZDV VHQWHQFHG WR  PRQWKV RI 5XOH E RIWKH)HGHUDO5XOHVRI&ULPLQDO3URFHGXUHWKLV LPSULVRQPHQW FRXUWmPD\WDNHQRWLFHRIDQHUURURQLWVRZQPRWLRQWKRXJK LWLVQHYHUSXWIRUZDUGE\FRXQVHOl  2Q DSSHDO &KDOPHU +D\HVj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mFRQFOXVLYHO\GHHPHGWREHZDLYHGlLV GHULYHGIURPFDVHVDSSO\LQJ5XOHRIWKH)HGHUDO5XOHVRI $ sXULVGLFWLRQ &ULPLQDO 3URFHGXUH  5XOH  UHTXLUHV FHUWDLQ FODLPV DQG GHIHQVHV QRQHRIZKLFKDUHDWLVVXHLQWKLVFDVH WREHUDLVHG 5HO\LQJ RQ WKLV FRXUWjV GHFLVLRQ LQ 8QLWHG 6WDWHV Y EHIRUHWULDODQGSURYLGHVWKDWWKRVHFODLPVDQGGHIHQVHVDUH 6FDUERURXJK)G WK&LU  WKHJRYHUQPHQW IRUIHLWHG LI WKH\ DUH QRW WLPHO\ DVVHUWHG  6HH HJ 8QLWHG DVVHUWVWKDWm>F@RQVWLWXWLRQDOFODLPVWKDWZHUHQRWUDLVHGLQWKH 6WDWHVY&ULVPRQ )G    WK&LU   SHU GLVWULFWFRXUWDUHZDLYHGlZLWKWKHHIIHFWWKDWWKLVFRXUWODFNV FXULDP  VWDWLQJ WKDW WKLV FRXUW LV mFDWHJRULFDOO\ ZLWKRXW MXULVGLFWLRQWRFRQVLGHUWKHP7KLVDVVHUWLRQLVLQFRUUHFWDQG MXULVGLFWLRQWRKHDUDSSHDOVRIVXSSUHVVLRQLVVXHVUDLVHGIRU EHFDXVHLWFRQFHUQVRXUSRZHUWRDGMXGLFDWHWKHPHULWVRIWKLV WKHILUVWWLPHRQDSSHDOlEXWWKHQVXJJHVWLQJFU\SWLFDOO\WKDW DSSHDOZHDGGUHVVLWDWWKHRXWVHW WKLVFRXUWZDVGHSULYHGRImMXULVGLFWLRQlE\WKHGHIHQGDQWVj IDLOXUH WR PDNH DQ\ IDFLDO VKRZLQJ WKDW WKHLU GHIDXOW ZDV 2UGLQDULO\WKHFRXUWVRIDSSHDOVGRQRWFRQVLGHUFODLPVRU H[FXVHGE\mJRRGFDXVHl &I8QLWHG6WDWHVY2ODQR DUJXPHQWVWKDWZHUHQRWUDLVHGLQWKHGLVWULFWFRXUW%XWWKLV 86    FRQFOXGLQJWKDWDFRXUWRIDSSHDOVPD\ LV D SUXGHQWLDO UXOH QRW D MXULVGLFWLRQDO RQH  6HH )(' 5 FRUUHFW mSODLQl EXW IRUIHLWHG HUURUV SXUVXDQW WR 5XOH  E &5,0 3 E  m3ODLQHUURUVRUGHIHFWVDIIHFWLQJVXEVWDQWLDO RQO\LIWKHUHTXLUHPHQWVRI5XOH E DUHPHWEXWWKDWLWPXVW ULJKWVPD\EHQRWLFHGDOWKRXJKWKH\ZHUHQRWEURXJKWWRWKH FRQVLGHU ZKHWKHU WKH DVVHUWHG HUURU PHHWV WKH UXOHjV DWWHQWLRQRIWKHFRXUWl $XVWLQY+HDOH\)G  G UHTXLUHPHQWVVRWKDWLWFDQGHWHUPLQHZKHWKHUUHOLHIFDQDQG &LU    QRWLQJ WKDW DOWKRXJK WKH FRXUWV RI DSSHDOV

Reference

Status
Published