United States v. Ennenga

U.S. Court of Appeals for the Sixth Circuit

United States v. Ennenga

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$SSHOOHH    1R Y  !  521$/' $/$1 (11(1*$  'HIHQGDQW$SSHOODQW  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH:HVWHUQ'LVWULFWRI0LFKLJDQDW*UDQG5DSLGV 1R  n5REHUW+ROPHV%HOO&KLHI'LVWULFWsXGJH $UJXHG sXQH 'HFLGHGDQG)LOHG $XJXVW %HIRUH *8<1255,6DQG*,/0$1&LUFXLWsXGJHV BBBBBBBBBBBBBBBBB &2816(/ $5*8('   6KDURQ $ 7XUHN )('(5$/ 38%/,& '()(1'(56 2)),&( *UDQG 5DSLGV 0LFKLJDQ IRU $SSHOODQWsRDQ(0H\HU$66,67$1781,7('67$7(6 $77251(< *UDQG 5DSLGV 0LFKLJDQ IRU $SSHOOHH 21 %5,()   6KDURQ $ 7XUHN )('(5$/ 38%/,& '()(1'(56 2)),&( *UDQG 5DSLGV 0LFKLJDQ IRU $SSHOODQWsRDQ(0H\HU$66,67$1781,7('67$7(6 $77251(<*UDQG5DSLGV0LFKLJDQIRU$SSHOOHH

  8QLWHG6WDWHVY(QQHQJD 1R

BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB 521$/' /(( *,/0$1 &LUFXLW sXGJH  5RQDOG $ODQ (QQHQJD SOHG JXLOW\ WR RQH FRXQW RI EHLQJ D IHORQ LQ SRVVHVVLRQRIDILUHDUPLQYLRODWLRQRI86&†  J   ,Q WKLV DSSHDO RI KLV VHQWHQFH (QQHQJD FKDOOHQJHV WKH DSSOLFDWLRQRI†. E  RIWKH8QLWHG6WDWHV6HQWHQFLQJ *XLGHOLQHVZKLFKSURYLGHVIRUDIRXUOHYHOLQFUHDVHLQWKH RIIHQVH OHYHO LI WKH GHIHQGDQW SRVVHVVHG D ILUHDUP LQ FRQQHFWLRQZLWKDQRWKHUIHORQ\RIIHQVH)RUWKHUHDVRQVVHW IRUWKEHORZZH$)),50(QQHQJDj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jVJDUEDJHRQWZRVHSDUDWHRFFDVLRQVLQODWH0D\DQG HDUO\sXQHRI 'XULQJWKHVHVHDUFKHVWKHDJHQWVIRXQG PDULMXDQD VHHGV PDULMXDQD SODQW VWHPV DQG PDULMXDQD FLJDUHWWHHQGV7KHDJHQWVWKHQREWDLQHGDVHDUFKZDUUDQWIRU (QQHQJDjVEDVHPHQWDSDUWPHQW7KH\H[HFXWHGWKHZDUUDQW RQsXQH  1R 8QLWHG6WDWHVY(QQHQJD 

$V D UHVXOW RI WKH VHDUFK WKH DJHQWV GLVFRYHUHG  PDULMXDQDSODQWVLQWKHIXUQDFHURRPDVZHOODVVHYHUDOJURZ OLJKWVDQGODUJHOLJKWEXOEV7ZHQW\VHYHQPRUHPDULMXDQD SODQWVZHUHIRXQGLQWKHEHGRIDSLFNXSWUXFNSDUNHGRXWVLGH 'HVSLWHWKHLQIRUPDQWjVWLSVWDWLQJRWKHUZLVHQRH[SORVLYH GHYLFHV ZHUH IRXQG LQ (QQHQJDj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jV EHGURRP DJHQWV GLVFRYHUHG D VPDOO DPRXQW RI PDULMXDQD LQ D EHGVLGH FDELQHW DV ZHOO DV RQ D GUHVVHUWRSDPDULMXDQDFLJDUHWWHLQDQDVKWUD\DJURZOLJKW DW OHDVW RQH ER[ RI  PDJQXP SLVWRO DPPXQLWLRQ DQG SDSHUZRUNIRUDKDQGJXQODVHUVLJKW % 3URFHGXUDOEDFNJURXQG 3XUVXDQW WR WKH VXSHUVHGLQJ LQGLFWPHQW (QQHQJD ZDV FKDUJHGZLWKRQHFRXQWRILOOHJDOO\PDQXIDFWXULQJPDULMXDQD SODQWVLQYLRODWLRQRI86&† D  DQGRQHFRXQWRI EHLQJ D IHORQ LQ SRVVHVVLRQ RI RQH RU PRUH ILUHDUPV LQ YLRODWLRQ RI  86& †  J    2Q $XJXVW    (QQHQJDDQGWKHJRYHUQPHQWHQWHUHGLQWRDSOHDDJUHHPHQWLQ  8QLWHG6WDWHVY(QQHQJD 1R 1R 8QLWHG6WDWHVY(QQHQJD

ZKLFKKHSOHGJXLOW\WRWKHILUHDUPVFRXQWDQGWKH 8QLWHG KLVSRVVHVVLRQVLQKLVEDVHPHQWDSDUWPHQWZKLFKLQFOXGHGKLV 6WDWHV GURSSHG WKH FRXQW DOOHJLQJ WKH PDQXIDFWXUH RI VL]HDEOHVWDVKRIPDULMXDQDSODQWVl FRQWUROOHG VXEVWDQFHV  7KH SUHVHQWHQFH UHSRUW 365 UHFRPPHQGHG D VSHFLDORIIHQVH DGMXVWPHQW RI IRXU OHYHOV )LQDOO\ (QQHQJD VXJJHVWV WKDW EHFDXVH WKHUH ZDV QR SXUVXDQW WR † . E   RI WKH 8QLWHG 6WDWHV 6HQWHQFLQJ HYLGHQFHWKDWKHZDVGLVWULEXWLQJGUXJVWKHIRUWUHVVWKHRU\KDV *XLGHOLQHV ZKLFK UHTXLUHV VXFK DQ LQFUHDVH ZKHQ D OHVVIRUFH$OWKRXJKWKHRWKHUIHORQ\RIIHQVHLQPRVW†. mGHIHQGDQW    SRVVHVVHG RU WUDQVIHUUHG DQ\ ILUHDUP RU FDVHV LQYROYHV GUXJ GLVWULEXWLRQ WKLV LV QRW DQ H[FOXVLYH DPPXQLWLRQZLWKNQRZOHGJHLQWHQWRUUHDVRQWREHOLHYHWKDW SUHUHTXLVLWH  :KHQ RQH LV LQ SRVVHVVLRQ RI D ODUJH DQG LW ZRXOG EH XVHG RU SRVVHVVHG LQ FRQQHFWLRQ ZLWK DQRWKHU YDOXDEOH VWDVK RI GUXJV WKH GHVLUH WR SURWHFW WKHVH LOOLFLW IHORQ\RIIHQVHl(QQHQJDREMHFWHGWRWKLVUHFRPPHQGDWLRQ VXEVWDQFHVFDQEHFRPSHOOLQJ+HQU\WKHFDVHLQZKLFKWKLV FRXUWH[SDQGHGXSRQWKHIRUWUHVVWKHRU\LQIDFWIRFXVHGRQ 7KH GLVWULFW FRXUW RYHUUXOHG (QQHQJDjV REMHFWLRQ DW WKH WKHXVHRIZHDSRQVmWRSURWHFWWKHGUXJVlDVDQDOWHUQDWLYHWR VHQWHQFLQJKHDULQJ+HZDVWKHQVHQWHQFHGWRPRQWKVRI WKHLUXVHLQIDFLOLWDWLQJDGUXJWUDQVDFWLRQ6HH8QLWHG6WDWHV LPSULVRQPHQW DQG  \HDUV RI VXSHUYLVHG UHOHDVH  (QQHQJD Y+HQU\)G   WK&LU  $FFRUGLQJO\ZH WLPHO\DSSHDOHGIURPWKHLPSRVLWLRQRIWKLVVHQWHQFH ILQGQRHUURULQWKHGLVWULFWFRXUWjVDSSOLFDWLRQRI†.WR WKHFDVHEHIRUHXV ,,$1$/<6,6 ,,,&21&/86,21 $ 6WDQGDUGRIUHYLHZ )RU DOO RI WKH UHDVRQV VHW IRUWK DERYH ZH $)),50 :KHQUHYLHZLQJDGLVWULFWFRXUWjVVHQWHQFLQJGHFLVLRQVZH (QQHQJDjVVHQWHQFH mZLOOGLVWXUEWKHXQGHUO\LQJIDFWXDOILQGLQJVRQO\LIWKH\DUH FOHDUO\HUURQHRXVl8QLWHG6WDWHVY+LOO )G WK&LU  $OWKRXJKWKHDSSOLFDWLRQRIDJXLGHOLQHWR IDFWXDO VLWXDWLRQV KDV LQ WKH SDVW EHHQ VXEMHFW WR GH QRYR UHYLHZVHHLGWKH6XSUHPH&RXUWjVUHFHQWGHFLVLRQLQ%XIRUG Y8QLWHG6WDWHV6&W  VXJJHVWVWKDW RXUVWDQGDUGRIUHYLHZHYHQZLWKUHJDUGWRWKHVHTXHVWLRQVRI ODZ VKRXOG LQVWHDG EH GHIHUHQWLDO  6HH 8QLWHG 6WDWHV Y +DUGLQ  )G     WK &LU   GHFOLQLQJ WR GHFLGHZKHWKHUWKHWHUPmLQFRQQHFWLRQZLWKlXQGHU†. ZDVVXEMHFWWRDGHIHUHQWLDOVWDQGDUGRIUHYLHZHYHQWKRXJK mZHZRXOGEHLQFOLQHGWRFRQFOXGHWKDWXQGHU%XIRUGlVXFK GHIHUHQFHLVUHTXLUHG  ,Q %XIRUG WKH GHIHQGDQW FKDOOHQJHG WKH GLVWULFW FRXUWjV DSSOLFDWLRQRI8QLWHG6WDWHV6HQWHQFLQJ*XLGHOLQHV†% LQ ZKLFK D FRXUW PXVW GHWHUPLQH ZKHWKHU D GHIHQGDQW LV D FDUHHU RIIHQGHU  :KHQ FRPSXWLQJ D GHIHQGDQWjV IHORQ\ KLVWRU\†$WHOOVWKHVHQWHQFLQJFRXUWWRFRXQWmUHODWHG RIIHQVHVl DV D VLQJOH RIIHQVH  7KH TXHVWLRQ RQ DSSHDO LQ  8QLWHG6WDWHVY(QQHQJD 1R 1R 8QLWHG6WDWHVY(QQHQJD 

NHHSLQJWKHGRRUORFNHGDQGWKHDODUPVHWIXUWKHUVXSSRUWHG %XIRUG ZDV QRW mDQ\ UHOHYDQW XQGHUO\LQJ LVVXH RI IDFW DFFRUGLQJ WR WKH GLVWULFW FRXUW WKH FRQFOXVLRQ WKDW KH ZDV >%XIRUG@ GLVDJUHHG RQO\ ZLWK WKH 'LVWULFW &RXUW V OHJDO mKROHGXSlLQKLVEDVHPHQWmIRUWUHVVlWKHSURWHFWLRQRIZKLFK FRQFOXVLRQ WKDW D OHJDO ODEHO o µIXQFWLRQDO FRQVROLGDWLRQjo ZDVPDLQWDLQHGE\ZHDSRQVDQGDQDODUP,QDGGLWLRQWKH IDLOHGWRILWWKHXQGLVSXWHGIDFWVl%XIRUG6&WDW  GLVWULFW FRXUWjV FRQFOXVLRQ LV VXSSRUWHG E\ WKH ODFN RI HYLGHQFHVKRZLQJDQ\RWKHUUHDVRQIRU(QQHQJDKDYLQJWKHVH 7KH6XSUHPH&RXUWFRQFOXGHGWKDWWKLVQDUURZTXHVWLRQRQ ILUHDUPVVXFKDVIRUWDUJHWSUDFWLFHRUKXQWLQJ DSSHDOUHTXLUHVDmGHIHUHQWLDOVWDQGDUGRIUHYLHZlEDVHGLQ SDUW RQ WKH ZRUGLQJ RI WKH IHGHUDO VHQWHQFLQJ VWDWXWH  (QQHQJDjV DSSHDO UHOLHV SULPDULO\ RQ WKH KROGLQJ RI DQ 86&†7KLVVWDWXWHFRPPDQGVDUHYLHZLQJFRXUWWR XQSXEOLVKHGRSLQLRQIURPWKLVFRXUW8QLWHG6WDWHVY*UDJJ mµJLYHGXHGHIHUHQFHWRWKHGLVWULFWFRXUWjVDSSOLFDWLRQRIWKH 1R    :/  WK &LU $SU    JXLGHOLQHVWRWKHIDFWVjl%XIRUG6&WDW  TXRWLQJ XQSXEOLVKHG WDEOH GHFLVLRQ  LQ ZKLFK WKH GLVWULFW FRXUWjV 86&† H  HPSKDVLVLQRULJLQDO  DSSOLFDWLRQRI†.ZDVUHYHUVHGXQGHUWKHFLUFXPVWDQFHV RIWKDWFDVH,Q*UDJJWKHSROLFHVHDUFKHGWKHGHIHQGDQWjV 7KHGHIHUHQFHUHTXLUHGE\%XIRUGZDVDOVREDVHGRQmWKH SUHPLVHVDQGGLVFRYHUHGDQDWWLFIXOORIPDULMXDQDSODQWV IDFWERXQG QDWXUH RI WKH OHJDO GHFLVLRQ WKH FRPSDUDWLYHO\ WZRJXQVLQDGRZQVWDLUVOLYLQJURRPPDULMXDQDVHHGVDQG JUHDWHUH[SHUWLVHRIWKH'LVWULFW&RXUWDQGWKHOLPLWHGYDOXH SDUDSKHUQDOLDLQDVHFRQGIORRUURRPDQGDUHYROYHULQWKH RIXQLIRUPFRXUWRIDSSHDOVSUHFHGHQWl+DUGLQ)GDW GHIHQGDQWjVEDUQ$GMDFHQWWRWKHEDUQZDVDILHOGZLWKPRUH   TXRWLQJ%XIRUG6&WDW +DUGLQFRQFOXGHG PDULMXDQDSODQWV%DVHGRQWKHODFNRISUR[LPLW\EHWZHHQWKH WKDW ILUHDUPV DQG WKH PDULMXDQD SODQWV WKLV FRXUW KHOG WKDW WKH ILUHDUPV ZHUH QRW SRVVHVVHG mLQ FRQQHFWLRQ ZLWKl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jURI6RF6HF SUHFHGHQWl RQ WKH VSHFLILF IDFWXDO VFHQDULR  >WKDW D )G   WK &LU    )XUWKHUPRUH *UDJJ ZDV ILUHDUP LV mLQ FRQQHFWLRQ ZLWKl WKH GUXJV XWLOL]HG LQ LVVXHGEHIRUHWKH6XSUHPH&RXUWjVUXOLQJLQ%XIRUGZKLFK DQRWKHUGUXJRIIHQVH@ LPSRVHGDQHZOHYHORIGHIHUHQFHXSRQDSSHOODWHFRXUWVZKHQ UHYLHZLQJWKHDSSOLFDWLRQRIWKH6HQWHQFLQJ*XLGHOLQHVE\D +DUGLQ)GDW :HFRQFOXGHWKDWWKHUDWLRQDOHRI GLVWULFW FRXUW  )LQDOO\ WKH LQVWDQW FDVH LV GLVWLQJXLVKDEOH %XIRUGFRPELQHGZLWK+DUGLQjVDQDO\VLVLQWKHFRQWH[WRI EDVHGXSRQRQHNH\IDFWUHOLHGXSRQE\WKHGLVWULFWFRXUW WKH † . FDOOV IRU D GHIHUHQWLDO VWDQGDUG RI UHYLHZ LQ WKH H[LVWHQFH RI WKH DODUP V\VWHP  7KLV DODUP V\VWHP LQ SUHVHQWFDVH$FFRUGLQJO\ZHZLOOUHYLHZWKHGLVWULFWFRXUWjV FRQMXQFWLRQ ZLWK WKH H[LVWHQFH RI (QQHQJDjV FDFKH RI DSSOLFDWLRQRI†.XQGHUWKLVVWDQGDUG ZHDSRQU\VXSSRUWVWKHDSSOLFDWLRQRIWKHIRUWUHVVWKHRU\7KH GLVWULFW FRXUW UHDVRQDEO\ FRQFOXGHG WKDW (QQHQJD KDG mHVWDEOLVKHGDV\VWHPE\ZKLFKKHFRXOGSURWHFWKLPVHOIDQG  8QLWHG6WDWHVY(QQHQJD 1R 1R 8QLWHG6WDWHVY(QQHQJD 

% 7KH GLVWULFW FRXUW GLG QRW HUU ZKHQ LW LQFUHDVHG )XUWKHUPRUH(QQHQJDGRHVQRWFKDOOHQJHDQ\RIWKHGLVWULFW (QQHQJDjVRIIHQVHOHYHOSXUVXDQWWR†. FRXUWjV ILQGLQJV RI IDFW  7KH VROH TXHVWLRQ RQ DSSHDO WKXV ERLOVGRZQWRZKHWKHU†.ZDVSURSHUO\DSSOLHGWRWKH 6HFWLRQ . E   RI WKH 8QLWHG 6WDWHV 6HQWHQFLQJ XQGLVSXWHGIDFWVRIWKLVFDVH *XLGHOLQHVLQVWUXFWVDFRXUWWRLQFUHDVHDGHIHQGDQWjVIHORQ\ RIIHQVHE\IRXUOHYHOVm>L@IWKHGHIHQGDQWXVHGRUSRVVHVVHG (QQHQJDLVFRUUHFWLQSRLQWLQJRXWWKDWWKHJRYHUQPHQWPXVW DQ\ILUHDUPRUDPPXQLWLRQLQFRQQHFWLRQZLWKDQRWKHUIHORQ\ SURYHWKDWWKHUHZDVDQH[XVEHWZHHQWKHILUHDUPVDQGWKH RIIHQVHl%HFDXVH(QQHQJDREMHFWHGWRWKHUHFRPPHQGDWLRQ RWKHUIHORQ\RIIHQVHDQGWKDWSRVVHVVLRQRIILUHDUPVWKDWLV RIWKH365WKDW†.DSSO\WKHGLVWULFWFRXUWZDVUHTXLUHG PHUHO\ FRLQFLGHQWDO WR WKH XQGHUO\LQJ IHORQ\ RIIHQVH LV WRPDNHILQGLQJVRIIDFWLQRUGHUWRGHWHUPLQHZKHWKHURUQRW LQVXIILFLHQWWRVXSSRUWWKHDSSOLFDWLRQRI†.6HH8QLWHG WKLVJXLGHOLQHLVDSSOLFDEOHWRKLVVHQWHQFH6HH)HG5&ULP 6WDWHV Y +DUGLQ  )G     WK &LU   3 F   1HYHUWKHOHVV WKLV FRXUW LQ LWV LQWHUSUHWDWLRQ RI WKH mLQ FRQQHFWLRQZLWKlFODXVHKDVDGRSWHGWKHmIRUWUHVVWKHRU\l $IWHU KHDULQJ (QQHQJDjV DUJXPHQW FRQWHVWLQJ WKH ZKLFKFRQFOXGHVWKDWDVXIILFLHQWFRQQHFWLRQLVHVWDEOLVKHGmLI DSSOLFDWLRQ RI † . WKH GLVWULFW FRXUW RYHUUXOHG  KLV LWUHDVRQDEO\DSSHDUVWKDWWKHILUHDUPVIRXQGRQWKHSUHPLVHV REMHFWLRQV7KHFRXUWEDVHGLWVGHFLVLRQRQVHYHUDOIDFWRUV FRQWUROOHG RU RZQHG E\ D GHIHQGDQW DQG LQ KLV DFWXDO RU )LUVWWKHGLVWULFWFRXUW SRLQWHGWRWKHXQFRQWHVWHGIDFWWKDW FRQVWUXFWLYHSRVVHVVLRQDUHWREHXVHGWRSURWHFWWKHGUXJVRU 6XGJHQ KDG QR DFFHVV WR WKH JXQV GXH WR WKH ORFNV RQ WKH RWKHUZLVH IDFLOLWDWH D GUXJ WUDQVDFWLRQl  8QLWHG 6WDWHV Y EDVHPHQWGRRUDQGWKHORFNHU6HFRQGWKHFRXUWQRWHGWKDW +HQU\)G   WK&LU  VHHDOVR8QLWHG (QQHQJD ZDV D SDUDQRLG PDQ LQIDWXDWHG ZLWK JXQV DQG 6WDWHV Y &RYHUW  )G    WK &LU   ERPEVZKRKDGmKROHGlKLPVHOIXSLQDEDVHPHQWDSDUWPHQW KROGLQJWKDWWKHIRUWUHVVWKHRU\VWLOODSSOLHVWR†. 3XW ZLWKDQDODUPV\VWHPDFWLYDWHGDWDOOWLPHV)LQDOO\JLYHQWKH GLIIHUHQWO\ † . DSSOLHV LI mWKH ILUHDUP KDG VRPH IDFWWKDWSDSHUZRUNIRUDKDQGJXQ ODVHUVLJKWDVZHOODVDW HPEROGHQLQJUROHLQGHIHQGDQWjVIHORQLRXVFRQGXFWl8QLWHG OHDVW RQH ER[ RI SRZHUIXO DPPXQLWLRQ ZHUH IRXQG LQ KLV 6WDWHVY3RODQFR )G WK&LU   LQWHUQDO EHGURRP WKH FRXUW SHUFHLYHG (QQHQJDj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o DQG WKH IDFWV DQG FLUFXPVWDQFHV RI 0U (QQHQJDjV HYLGHQFH WKDW KH HYHU VROG PDULMXDQD  (QQHQJD KRZHYHU PHQWDOFRQGLWLRQDOOJLYHVWKLV&RXUWUHDVRQWREHOLHYH LJQRUHVWZRNH\IDFWVUHOLHGXSRQE\WKHGLVWULFWFRXUW)LUVW WKDWWKRVHJXQVZRXOGKDYHEHHQXVHGVKRXOGVRPHRQH † . LV QRW RQO\ FRQFHUQHG ZLWK JXQV EXW ZLWK KDYHFRPHLQIRUSXUSRVHVRIGHDOLQJZLWKWKHPDULMXDQD DPPXQLWLRQ DV ZHOO  7KH GLVWULFW FRXUW QRWHG WKDW mKLJK SRZHUHG DPPXQLWLRQl IRU WKH UHYROYHU ZDV IRXQG LQ ,WLVWKLVFRQFOXVLRQWKDW(QQHQJDQRZFKDOOHQJHVRQDSSHDO (QQHQJDjVEHGURRP7KHSURKLELWHGFRQWUDEDQGWKHQZDV QRW FRQILQHG VROHO\ WR WKH ORFNHU  6HFRQG DQG PRVW :HILUVWQRWHWKDW(QQHQJDGRHVQRWFRQWHVWWKDWWKHUHZDV LPSRUWDQWWKHGLVWULFWFRXUWUHOLHGXSRQWKHDODUPV\VWHPWKDW DQRWKHUIHORQ\RIIHQVH+HUHDGLO\FRQFHGHVWKDWWKHJURZWK (QQHQJDKDGULJJHGXSWRWKHEDVHPHQWGRRU+LVSUDFWLFHRI RI PDULMXDQD SODQWV VDWLVILHG WKLV HOHPHQW RI † .

Reference

Status
Published