United States v. Fitch, Rhonda

U.S. Court of Appeals for the Sixth Circuit

United States v. Fitch, Rhonda

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$SSHOOHH    1RV Y   !  5+21'$ ),7&+  'HIHQGDQW$SSHOODQW  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH:HVWHUQ'LVWULFWRI7HQQHVVHHDW0HPSKLV 1RV      nsRQ3KLSSV0F&DOOD 'LVWULFWsXGJH $UJXHG 2FWREHU 'HFLGHGDQG)LOHG 0DUFK %HIRUH s21(6DQG&/$<&LUFXLWsXGJHV '2:' 'LVWULFWsXGJH BBBBBBBBBBBBBBBBB &2816(/ $5*8('   5REHUW & %URRNV 0HPSKLV 7HQQHVVHH IRU $SSHOODQW  3DXO 0 2j%ULHQ $66,67$17 81,7(' 67$7(6$77251(<0HPSKLV7HQQHVVHHIRU$SSHOOHH

7KH +RQRUDEOH 'DYLG ' 'RZG sU 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH 1RUWKHUQ 'LVWULFW RI 2KLR VLWWLQJ E\ GHVLJQDWLRQ

  8QLWHG6WDWHVY)LWFK 1RV 1RV 8QLWHG6WDWHVY)LWFK   

21 %5,()   3DXOD 6NDKDQ 0HPSKLV 7HQQHVVHH IRU FDQ EH VDLG WR EH SDUW RI WKH LQGXFHPHQW RU FRQVLGHUDWLRQ $SSHOODQW  3DXO 0 2j%ULHQ $66,67$17 81,7(' VXFKSURPLVHVPXVWEHIXOILOOHGl6DQWREHOORY1HZ<RUN 67$7(6$77251(<0HPSKLV7HQQHVVHHIRU$SSHOOHH 86   1RWRQO\GLGWKHJRYHUQPHQWIDLO WRUHFRPPHQGWKDWWKHGHIHQGDQWjVEDVHRIIHQVHOHYHOQRWEH BBBBBBBBBBBBBBBBB LQFUHDVHGE\KHUOHDGHUVKLSUROHLWYLJRURXVO\DGYRFDWHGIRU VXFKDQLQFUHDVH7KXVWKHGLVWULFWFRXUWHUUHGLQFRQFOXGLQJ 23,1,21 WKDWWKHJRYHUQPHQWGLGQRWEUHDFKWKHSOHDDJUHHPHQW BBBBBBBBBBBBBBBBB )LWFKDOVRDUJXHVWKDWWKHGLVWULFWFRXUWLQFUHDVHGKHUEDVH 1$7+$1,(/ 5 s21(6 &LUFXLW sXGJH  'HIHQGDQW RIIHQVH OHYHO LQ OLJKW RI KHU OHDGHUVKLS UROH LQ YLRODWLRQ RI DSSHOODQW5KRQGD')LWFKDSSHDOVIURPWKHVHQWHQFHRIWKH $SSUHQGLY1HZsHUVH\86  7KLVDUJXPHQW GLVWULFW FRXUW ZKLFK FRPPLWWHG KHU WR  PRQWKV LVZLWKRXWPHULW,Q$SSUHQGLWKH6XSUHPH&RXUWKHOGWKDW LPSULVRQPHQWXSRQKHUJXLOW\SOHDWRYDULRXVFKDUJHVDULVLQJ DQ\ IDFW RWKHU WKDQ D SULRU FRQYLFWLRQ WKDW LQFUHDVHV WKH RXW RI KHU SDUWLFLSDWLRQ LQ DQ LOOHJDO GUXJWUDIILFNLQJ DQG SHQDOW\IRUDFULPHEH\RQGWKHSUHVFULEHGVWDWXWRU\PD[LPXP PRQH\ODXQGHULQJVFKHPH)LWFKDOOHJHVWKDWWKHWHUPVRIKHU PXVWEHVXEPLWWHGWRDMXU\DQGSURYHGEH\RQGDUHDVRQDEOH SOHDDJUHHPHQWSUHFOXGHGWKHJRYHUQPHQWjVUHFRPPHQGDWLRQ GRXEW  $SSUHQGL  86 DW    :H KDYH KHOG WKDW WKDW VKH UHFHLYH D IRXUOHYHO VHQWHQFH HQKDQFHPHQW IRU KHU $SSUHQGLLVQRWWULJJHUHGZKHUHDGHIHQGDQWLVVHQWHQFHGWRD UROH LQ WKH RIIHQVH XQGHU 6HQWHQFLQJ *XLGHOLQHV † % WHUP RI LPSULVRQPHQW ZLWKLQ WKH VWDWXWRU\ PD[LPXP )LWFK DOVR FRQWHQGV WKDW VKH ZDV VHQWHQFHG LQ YLRODWLRQ RI SUHVFULEHG8QLWHG6WDWHVY&RUUDGR)G WK $SSUHQGLY1HZsHUVH\86  )RUUHDVRQV &LU )LWFKFDQQRWREWDLQDQ\EHQHILWXQGHU$SSUHQGL ZH VKDOO GLVFXVV ZH YDFDWH WKH GHIHQGDQWjV VHQWHQFH DQG EHFDXVH WKH VWDWXWHV XQGHU ZKLFK VKH ZDV VHQWHQFHG UHPDQGIRUUHVHQWHQFLQJ DXWKRUL]HG WKH LPSRVLWLRQ RI D VHQWHQFH EHWZHHQ  DQG  \HDUV86&† E  % YLL )LWFKZDVVHQWHQFHGWR ,%$&.*5281' D WHUP RI  PRQWKV ZKLFK LV QRW DERYH WKH SUHVFULEHG 2Q $SULO     D IHGHUDO JUDQG MXU\ UHWXUQHG D VWDWXWRU\ PD[LPXP RI  \HDUV  7KXV $SSUHQGL LV QRW VXSHUVHGLQJ LQGLFWPHQW FKDUJLQJ )LWFK ZLWK FRQVSLUDF\ WR LPSOLFDWHG SRVVHVVZLWKLQWHQWWRGLVWULEXWHPDULMXDQDDQGFRFDLQHDLGLQJ ,,,&21&/86,21 DQG DEHWWLQJ WKH SRVVHVVLRQ RI PDULMXDQD ZLWK LQWHQW WR GLVWULEXWHDQGDWWHPSWLQJWRSRVVHVVPDULMXDQDZLWKLQWHQWWR :H PXVW WKHUHIRUH YDFDWH WKH GHIHQGDQWjV VHQWHQFH DQG GLVWULEXWH)LWFKZDVDUUDLJQHGRQ0D\DQGHQWHUHGDSOHD UHPDQGIRUUHVHQWHQFLQJEHIRUHDGLIIHUHQWGLVWULFWFRXUWMXGJH RIQRWJXLOW\2Q6HSWHPEHU )LWFKZDVDOVRFKDUJHG 6HH 6DQWREHOOR  86 DW   VHH DOVR 8QLWHG 6WDWHV Y E\,QIRUPDWLRQZLWKFRQVSLUDF\WRFRPPLWPRQH\ODXQGHULQJ 0RQGUDJRQ)G   WK&LU  m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l  JRYHUQPHQWZRXOGDJUHHWRUHFRPPHQGWKDWmWKHGHIHQGDQWjV  8QLWHG6WDWHVY)LWFK 1RV 1RV 8QLWHG6WDWHVY)LWFK   

VWDUWLQJ SRLQW LQ WKH VHQWHQFLQJ DQDO\VLV  $ GHIHQGDQWjV EDVH RIIHQVH OHYHO EH FDOFXODWHG XVLQJ  SRXQGV RI OHDGHUVKLS UROH LV DQ DGMXVWPHQW WR WKH EDVH RIIHQVH OHYHO PDULMXDQD DQG  NLORJUDP RI FRFDLQH DQG WKDW QR RWKHU DOORZDEOHSXUVXDQWWR866*†% D 7KHEDVHRIIHQVH UHOHYDQW FRQGXFW EH XVHG WR LQFUHDVH WKH GHIHQGDQWjV EDVH OHYHO WKHUHIRUH FDQ EH LQFUHDVHG E\ WKH VSHFLILF RIIHQVH RIIHQVH OHYHOl  s$ DW   2Q 6HSWHPEHU  WKH GLVWULFW FKDUDFWHULVWLFVLQ&KDSWHU7ZRDQGRUDGMXVWPHQWVLQ&KDSWHU FRXUW HQWHUHG RUGHUV UHIOHFWLQJ WKH JXLOW\ SOHDV DV WR WKH 7KUHH7KHVHQWHQFLQJJXLGHOLQHVGHILQHDOORIWKHVHIDFWRUV FKDUJHVLQWKHLQGLFWPHQWDQG,QIRUPDWLRQ2Q'HFHPEHU DVmUHOHYDQWFRQGXFWl7KHUHIRUHZHFRQFOXGHWKDW LW ZDV  )LWFKZDVFKDUJHGE\,QIRUPDWLRQZLWKRQHFRXQWRI HPLQHQWO\ UHDVRQDEOH IRU )LWFK WR EHOLHYH WKDW ZKHQ WKH PRQH\ODXQGHULQJ7KHQH[WGD\VKHSOHGJXLOW\WRWKDWFKDUJH JRYHUQPHQW DJUHHG WR UHFRPPHQG WKDW  QR RWKHU mUHOHYDQW DVZHOO FRQGXFWl EH XVHG WR LQFUHDVH KHU EDVH RIIHQVH OHYHO WKH JRYHUQPHQWIRUHFORVHGDQ\IXUWKHURSSRUWXQLW\WRLQFUHDVHKHU 7KHGHIHQGDQWjVVHQWHQFLQJKHDULQJZDVKHOGRQ$XJXVW VHQWHQFHE\PHDQVRIWKHOHDGHUVKLSUROHHQKDQFHPHQWXQGHU   $W VHQWHQFLQJ WKH JRYHUQPHQW UHTXHVWHG WKDW )LWFK †% D  UHFHLYHDIRXUSRLQWHQKDQFHPHQWIRUKHUUROHLQWKHRIIHQVH DV DQ RUJDQL]HU DQG OHDGHU XQGHU 6HQWHQFLQJ *XLGHOLQHV $PELJXLWLHVLQDSOHDDJUHHPHQWPXVWEHFRQVWUXHGDJDLQVW † % D   )LWFK GLG QRW GLVSXWH WKDW VKH ZDV LQ IDFW DQ WKHJRYHUQPHQW8QLWHG6WDWHVY5DQGROSK)G RUJDQL]HU DQG OHDGHU RI FULPLQDO DFWLYLW\  )LWFK FODLPHG  WK&LU ,Q8QLWHG6WDWHVYsRKQVRQ  )G LQVWHDGWKDWVKHXQGHUVWRRGWKHSOHDDJUHHPHQWWRPHDQWKDW   WK&LU  ZHKHOGWKDWm>E@RWKFRQVWLWXWLRQDODQG QRFRQGXFWRWKHUWKDQWKHTXDQWLW\RIGUXJVVSHFLILHGLQWKH VXSHUYLVRU\ FRQFHUQV UHTXLUH KROGLQJ WKH JRYHUQPHQW WR D SOHDDJUHHPHQWZRXOGEHXVHGWRLQFUHDVHKHUVHQWHQFH7KH JUHDWHU GHJUHH RI UHVSRQVLELOLW\ WKDQ WKH GHIHQGDQW    IRU GLVWULFWFRXUWKRZHYHUDJUHHGZLWKWKHJRYHUQPHQWWKDWWKH LPSUHFLVLRQVRUDPELJXLWLHVLQSOHDDJUHHPHQWVl,GDW SOHDDJUHHPHQWGHDOWRQO\ZLWKWKHDPRXQWRIPDULMXDQDDQG   FLWLQJ8QLWHG6WDWHVY+DUYH\ )G  WK FRFDLQHWKDWZRXOGEHXVHGWRFDOFXODWHWKHGHIHQGDQWjVEDVH &LU  :HEHOLHYHWKDWLWLVSDUWLFXODUO\DSSURSULDWHWR RIIHQVHOHYHODQGWKDWQRWKLQJLQWKHDJUHHPHQWSUHYHQWHGWKH FRQVWUXHWKHDPELJXLW\DJDLQVWWKHJRYHUQPHQWLQWKLVFDVH DSSOLFDWLRQRI†%7KHUHDIWHUWKHFKDUJHVZHUHJURXSHG ZKHUH WKH JRYHUQPHQW FRXOG KDYH WDNHQ VWHSV WR DYRLG SXUVXDQWWR6HQWHQFLQJ*XLGHOLQHV†' E  F DQG)LWFK LPSUHFLVLRQ7KHDPELJXLW\ZHKDYHLGHQWLILHGPLJKWKDYH ZDVVHQWHQFHGIRUYLRODWLRQVRI86&††DQG EHHQ DYRLGHG KDG WKH SURYLVLRQ UHDG m>W@KH *RYHUQPHQW 86&† WRPRQWKVLPSULVRQPHQWIROORZHGE\IRXU DJUHHVWRUHFRPPHQGWKDWWKHGHIHQGDQWjVEDVHRIIHQVHOHYHO \HDUVRIVXSHUYLVHGUHOHDVH EHFDOFXODWHGXVLQJSRXQGVRIPDULMXDQDDQGNLORJUDP RIFRFDLQHDQGWKDWQRRWKHUW\SHRUTXDQWLW\RIGUXJVEHXVHG WR LQFUHDVH WKH GHIHQGDQWjV EDVH RIIHQVH OHYHOl  :H WKHUHIRUH FRQVWUXH WKH SOHD DJUHHPHQW DFFRUGLQJ WR WKH  6HFWLRQ % D SURYLGHV GHIHQGDQWjVXQGHUVWDQGLQJWKDWDVXEVHTXHQWDGMXVWPHQWXQGHU †% D ZDVLPSHUPLVVLEOH m%DVHG RQ WKH GHIHQGDQWjV UROH LQ WKH RIIHQVH LQFUHDVH WKH RIIHQVH OHYHO DV IROORZV

+DYLQJ GRQH VR ZH PXVW QHFHVVDULO\ FRQFOXGH WKDW WKH D ,I WKH GHIHQGDQW ZDV RQ RUJDQL]HU RU OHDGHU RI D FULPLQDO DFWLYLW\ JRYHUQPHQW EUHDFKHG WKH SOHD DJUHHPHQW  7KH 6XSUHPH WKDW LQYROYHG ILYH RU PRUH SDUWLFLSDQWV RU ZDV RWKHUZLVH &RXUW KDV KHOG WKDW mZKHQ D SOHD UHVWV LQ DQ\ VLJQLILFDQW H[WHQVLYH LQFUHDVH E\  OHYHOVl GHJUHHRQDSURPLVHRUDJUHHPHQWRIWKHSURVHFXWRUVRWKDWLW 866* † % D   8QLWHG6WDWHVY)LWFK 1RV 1RV 8QLWHG6WDWHVY)LWFK   

,,',6&866,21 WKHGHIHQGDQWjVEDVHRIIHQVHOHYHOLVWKHVWDUWLQJSRLQWLQWKH VHQWHQFLQJFRPSXWDWLRQmEDVHRIIHQVHOHYHOlLVDWHUPRIDUW 7KHUHVROXWLRQRIWKLVDSSHDOWXUQVRQWKHLQWHUSUHWDWLRQRI VHSDUDWH DQG GLVWLQFW IURP WKH VXEVHTXHQW DGMXVWPHQWV RU WKHGHIHQGDQWjVSOHDDJUHHPHQW%HFDXVHm>S@OHDDJUHHPHQWV HQKDQFHPHQWVWKDWDUHDSSOLHGLQOLJKWRIWKHVSHFLILFRIIHQVH DUHFRQWUDFWXDOLQQDWXUHl8QLWHG6WDWHVY5RELVRQ )G FKDUDFWHULVWLFVRUVSHFLDOIDFWRUVXQGHU&KDSWHU7KUHHRIWKH      D GLVWULFW FRXUWjV FRQVWUXFWLRQ RI D SOHD 6HQWHQFLQJ *XLGHOLQHV  7KH IROORZLQJ H[FKDQJH RFFXUUHG DJUHHPHQWSUHVHQWVDTXHVWLRQRIODZZKLFKWKLVFRXUWUHYLHZV GXULQJWKHVHQWHQFLQJKHDULQJ GHQRYR/DQFDVWHU*ODVV&RUSY3KLOOLSV(&*,QF )G WK&LU  ,Q/DQFDVWHUZHREVHUYHGWKDW 052j%5,(1>IRUWKHJRYHUQPHQW@ 7KHEDVHRIIHQVH m>Z@KHQ UHYLHZLQJ WKH GLVWULFW FRXUWjV LQWHUSUHWDWLRQ RI D OHYHOLVH[DFWO\ZKDWLWVD\V,WLVWKHEDVHRIIHQVHOHYHO FRQWUDFWDQDSSHOODWHFRXUWLVQRWOLPLWHGE\WKHµFOHDUO\ HUURQHRXVj UXOH  7KH LQWHUSUHWDWLRQ DQG FRQVWUXFWLRQ RI D 7+(&2857 ,WLV,WLVDWHUPWKDWLVGHILQHGLQRXU ZULWWHQ FRQWUDFW    DUH PDWWHUV RI ODZ WKXV DOORZLQJ GH SURFHVV QRYRUHYLHZl,G FLWDWLRQVRPLWWHG )XUWKHUZKHWKHUWKH JRYHUQPHQWjVFRQGXFWLQWKLVFDVHZDVLQEUHDFKRIWKHSOHD 052j%5,(1 5LJKW DJUHHPHQWLVOLNHZLVHUHYLHZDEOHGHQRYR8QLWHG6WDWHVY :HOOV)G   WK&LU  7+(&2857 ,WLVDOVRGHILQHGZHOOLWDOVRKDVD SDUWLFXODU HQWU\ SRLQW RQ RXU   LQ RXU UHSRUW  %DVH :HEHOLHYHWKDWWKHGHIHQGDQWjVVHQWHQFHFDQQRWVWDQGLQ RIIHQVHOHYHOSDUDJUDSKRIWKHLWjVQRWWKHVDPH OLJKW RI D PDWHULDO DPELJXLW\ LQ WKH SOHD DJUHHPHQW  7KH WKLQJDVWKHWRWDORIIHQVHOHYHO SURYLVLRQ DW LVVXH VWDWHV m>W@KH JRYHUQPHQW DJUHHV WR UHFRPPHQG WKDW WKH GHIHQGDQWjV EDVH RIIHQVH OHYHO EH 052j%5,(1 5LJKW$QGIURPWKHEDVHRIIHQVHOHYHO FDOFXODWHGXVLQJSRXQGVRIPDULMXDQDDQGNLORJUDPRI \RXKDYHDGMXVWPHQWVXSDQGDGMXVWPHQWVGRZQ FRFDLQHDQGWKDWQRRWKHUUHOHYDQWFRQGXFWEHXVHGWRLQFUHDVH WKH GHIHQGDQWjV EDVH RIIHQVH OHYHOl  )LWFK DUJXHG DW 7+(&2857 ([DFWO\ VHQWHQFLQJ WKDW DFFRUGLQJ WR WKH SOHD DJUHHPHQW QRWKLQJ o LQFOXGLQJKHUOHDGHUVKLSUROHLQWKHRIIHQVHoZRXOGEHXVHG s$DW WRHQKDQFHKHUVHQWHQFH7KHJRYHUQPHQWDUJXHGEHIRUHWKH ,Q UHDFKLQJ WKLV FRQFOXVLRQ KRZHYHU WKH GLVWULFW FRXUW GLVWULFWFRXUWDVLWDUJXHVKHUHWKDWWKHGHIHQGDQWjVUHDGLQJRI RYHUORRNHGWKHWHUPmUHOHYDQWFRQGXFWlLQWKHSOHDDJUHHPHQW WKHSOHDDJUHHPHQWLVVWUDLQHG7KHJRYHUQPHQWFRQWHQGVWKDW DQGIDLOHGWRFRQVLGHUWKHIDFWWKDWmUHOHYDQWFRQGXFWlOLNH WKH GLVSXWHG ODQJXDJH UHODWHV VROHO\ WR WKH DPRXQW RI mEDVH RIIHQVH OHYHOl LV D WHUP ZLWK D VSHFLDOL]HG PHDQLQJ PDULMXDQD DQG FRFDLQH WKDW ZRXOG EH XVHG WR FDOFXODWH WKH XQGHUWKHJXLGHOLQHV8QGHU6HQWHQFLQJ*XLGHOLQHV†% GHIHQGDQWjVEDVHRIIHQVHOHYHODQGWKDWWKHDJUHHPHQWGLGQRW WKHWHUPmUHOHYDQWFRQGXFWlPHDQVm)DFWRUVWKDW'HWHUPLQH SUHFOXGH WKH JRYHUQPHQW IURP UHTXHVWLQJ DQ XSZDUG *XLGHOLQH5DQJHl7KHVHFWLRQLQFOXGHVDVUHOHYDQWFRQGXFW DGMXVWPHQWXQGHU†% WKRVH IDFWRUV WKDW FRQWULEXWH WR DGMXVWLQJ WKH RIIHQVH OHYHO 7KHFUX[RIWKHJRYHUQPHQWjVDUJXPHQWDFFHSWHGE\WKH XSZDUG  7KXV mUHOHYDQW FRQGXFWl LQFRUSRUDWHV mWKH EDVH GLVWULFW FRXUW LV WKDW mEDVH RIIHQVH OHYHOl LV D WHUP ZLWK D RIIHQVH OHYHO    VSHFLILF RIIHQVH FKDUDFWHULVWLFV    DQG WHFKQLFDOPHDQLQJXQGHUWKH6HQWHQFLQJ*XLGHOLQHV:KLOH DGMXVWPHQWVLQ&KDSWHU7KUHHl866*†% D L  LL  LY $VDOUHDG\H[SODLQHGWKHEDVHRIIHQVHOHYHOLVWKH

Reference

Status
Published