United States v. Rodriguez
United States v. Rodriguez
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$SSHOOHH 1R Y ! ('8$/'2 52'5,*8(= 'HIHQGDQW$SSHOODQW 1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH(DVWHUQ'LVWULFWRI7HQQHVVHHDW*UHHQHYLOOH 1Rn7KRPDV*+XOO'LVWULFWsXGJH $UJXHG $XJXVW 'HFLGHGDQG)LOHG 6HSWHPEHU %HIRUH .(,7+0225(DQG*,/0$1&LUFXLWsXGJHV BBBBBBBBBBBBBBBBB &2816(/ $5*8(' s 5RQQLH *UHHU *UHHQHYLOOH 7HQQHVVHH IRU $SSHOODQW6DUDK56KXOWV$66,67$1781,7('67$7(6 $77251(< *UHHQHYLOOH 7HQQHVVHH IRU $SSHOOHH 21%5,() s5RQQLH*UHHU*UHHQHYLOOH7HQQHVVHHIRU $SSHOODQW6DUDK56KXOWV$66,67$1781,7('67$7(6 $77251(<*UHHQHYLOOH7HQQHVVHHIRU$SSHOOHH
8QLWHG6WDWHVY5RGULJXH] 1R 1R 8QLWHG6WDWHVY5RGULJXH]
BBBBBBBBBBBBBBBBB ,,,&21&/86,21 23,1,21 )RU DOO RI WKH UHDVRQV VHW IRUWK DERYH ZH $)),50 WKH BBBBBBBBBBBBBBBBB MXGJPHQWRIWKHGLVWULFWFRXUW 521$/' /(( *,/0$1 &LUFXLW sXGJH (GXDOGR 5RGULJXH]ZDVFRQYLFWHGRQRQHFRXQWRIEDQNUREEHU\DQG VHQWHQFHG WR PRQWKV LQ SULVRQ +H QRZ DSSHDOV KLV VHQWHQFHDUJXLQJWKDWWKHGLVWULFWFRXUWHUUHGLQLQFUHDVLQJKLV EDVH RIIHQVH OHYHO SXUVXDQW WR 8QLWHG 6WDWHV 6HQWHQFLQJ *XLGHOLQHV% E ( DSURYLVLRQWKDWLPSRVHVDWKUHH OHYHOVHQWHQFLQJHQKDQFHPHQWZKHUHDGHIHQGDQWSRVVHVVHVD GDQJHURXVZHDSRQGXULQJDUREEHU\)RUWKHUHDVRQVVHWIRUWK EHORZZH$)),50WKHMXGJPHQWRIWKHGLVWULFWFRXUW ,%$&.*5281' 2Q $SULO 5RGULJXH] HQWHUHG WKH %DQN RI 7HQQHVVHHEUDQFKLQs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jVZLQGRZDIHZPLQXWHVODWHU DVNLQJKHULIVKHZRXOGFDVKKLVLQFRPHWD[UHIXQG FKHFN$IWHU6WUHHWWROG5RGULJXH]WKDWVKHZRXOGQHHGWRJHW KHUVXSHUYLVRUjVSHUPLVVLRQWRFDVKDFKHFNLQVXFKDODUJH DPRXQW KH DJDLQ VWHSSHG DZD\ IURP KHU ZLQGRZ :KHQ 5RGULJXH]ZDONHGXSWR6WUHHWjVZLQGRZIRUDWKLUGWLPHKH KDQGHGKHUDQRWHWKDWUHDGDVIROORZV m,ZDQWLQFDVH >VLF@,KDYHDJXQDQGDERP>VLF@GRQjWGRDQ\WKLQJVWXSLG DQGQRDODUPVRUGLH>VLF@SDFNVWKHERPZLOOJRRIILIWKHUH 8QLWHG6WDWHVY5RGULJXH] 1R 1R 8QLWHG6WDWHVY5RGULJXH]
WKHWHOOHURWKHUZLVHWKHER[GLGQRWUHDVRQDEO\DSSHDUWREH LVDGLHSDFNl5RGULJXH]WKHQYHUEDOO\VWDWHGWKDWKHKDGD DGDQJHURXVREMHFWWKHUHIRUHODFNVPHULW ERPEDQGQRGGHGKLVKHDGWRZDUGWKHVW\URIRDPVDQGZLFK ER[WKDWZDVVWLOOVLWWLQJRQWKHZULWLQJWDEOHLQWKHOREE\ 2XU FRQFOXVLRQ LV VXSSRUWHG E\ WKH 6HYHQWK &LUFXLWjV GHFLVLRQLQ8QLWHG6WDWHVY+DUW)G WK&LU 6WUHHWJDYH5RGULJXH]WKHPRQH\LQKHUFDVKGUDZHUDQG ZKHUH WKH FRXUW XSKHOG D % E ( WULJJHUHGWKHVLOHQWDODUP5RGULJXH]IOHGWKHEDQNOHDYLQJ HQKDQFHPHQWZKHQSUHVHQWHGZLWKVLPLODUIDFWV,Q+DUWWKH WKHVDQGZLFKER[RQWKHGHVN$IWHU5RGULJXH]OHIWWKHEDQN GHIHQGDQWUREEHGPXOWLSOHEDQNVE\FODLPLQJLQHDFKLQVWDQFH 6WUHHW FDOOHG m l DQG UHSRUWHG ERWK WKH UREEHU\ DQG WKDWKHZDVFDUU\LQJDERPELQDER[LQFOXGLQJDOXQFKER[ 5RGULJXH]jV ERPE WKUHDW 7KH EDQN ZDV HYDFXDWHG /DZ RQRQHRFFDVLRQDQGDVKRHER[WKDWZDVZUDSSHGLQVLGHDEDJ HQIRUFHPHQW DXWKRULWLHV ODWHU GLVFRYHUHG WKDW WKH ER[ RQDQRWKHU1RQHRIWKHER[HVLQIDFWFRQWDLQHGDQH[SORVLYH FRQWDLQHGQRWKLQJPRUHWKDQDWXUNH\VDQGZLFK GHYLFH,GDW7KHGHIHQGDQWLQ+DUWDUJXHGWKDWKLV VHQWHQFH VKRXOG QRW KDYH EHHQ HQKDQFHG XQGHU 5RGULJXH]ZDVDSSUHKHQGHGVKRUWO\DIWHUWKHUREEHU\+H % E ( EHFDXVH QR UHDVRQDEOH LQGLYLGXDO ZRXOG DGPLWWHGWRWKHSROLFHWKDWKHKDGUREEHGWKHEDQN%HFDXVH KDYHEHOLHYHGWKDWKHKDGDERPE%XWWKH6HYHQWK&LUFXLW WKHEDQNZDVIHGHUDOO\LQVXUHG5RGULJXH]ZDVFKDUJHGLQWKH UHMHFWHGWKLVDUJXPHQWUHDVRQLQJWKDWWKHmSDFNDJHVWKDW>WKH 8QLWHG 6WDWHV 'LVWULFW &RXUW IRU WKH (DVWHUQ 'LVWULFW RI GHIHQGDQW@ SRVVHVVHG ZHUH FHUWDLQO\ FDSDEOH RI KROGLQJ 7HQQHVVHHZLWKRQHFRXQWRIEDQNUREEHU\LQYLRODWLRQRI H[SORVLYHGHYLFHVDQGRIFRXUVHWKHWHOOHUVKDGQRZD\RI 86& D +HSOHGJXLOW\WRWKHRIIHQVH NQRZLQJZKDWWKH\DFWXDOO\FRQWDLQHGl,GDW 7KHSUHVHQWHQFHLQYHVWLJDWLRQUHSRUW 365 UHFRPPHQGHG /LNHZLVHLQWKHSUHVHQWFDVHWKHVW\URIRDPVDQGZLFKER[ WKDW 5RGULJXH]jV EDVH RIIHQVH OHYHO EH LQFUHDVHG E\ WKUHH WKDW5RGULJXH]EURXJKWLQWRWKHEDQNZDVFDSDEOHRIKROGLQJ SRLQWV SXUVXDQW WR 8QLWHG 6WDWHV 6HQWHQFLQJ *XLGHOLQHV DVPDOOH[SORVLYHGHYLFHVXFKDVDKDQGJUHQDGH5RGULJXH] % E ( 7KLV SURYLVLRQ PDQGDWHV VXFK DQ DVVHUWHGWKDWKHKDGDERPEDQGLQGLFDWHGWKDWLWZDVLQWKH HQKDQFHPHQW mLI D GDQJHURXV ZHDSRQ ZDV EUDQGLVKHG RU ER[+LVFODLPZDVSODXVLEOHDQG6WUHHWFRXOGQRWE\VLPSOH SRVVHVVHGlE\WKHGHIHQGDQWGXULQJDUREEHU\,G7RWULJJHU REVHUYDWLRQDVFHUWDLQLWVIDOVLW\:HWKHUHIRUHFRQFOXGHWKDW DQ HQKDQFHPHQW XQGHU WKLV SURYLVLRQ KRZHYHU WKH WKH GLVWULFW FRXUW GLG QRW HUU LQ ILQGLQJ WKDW WKH ER[ FRXOG mGDQJHURXV ZHDSRQl QHHG RQO\ DSSHDU WR EH GDQJHURXV UHDVRQDEO\ EH UHJDUGHG DV D GDQJHURXV ZHDSRQ LQ OLJKW RI $SSOLFDWLRQ1RWHWR%DVVHWIRUWKLQWKH 86 5RGULJXH]jVFRQYLQFLQJFRQGXFWWKDWFDXVHGWKHEDQNWHOOHUWR 6HQWHQFLQJ *XLGHOLQHV 0DQXDO VSHFLILFDOO\ SURYLGHV WKDW EHOLHYHWKDWVXFKZDVWKHFDVH m>Z@KHQDQREMHFWWKDWDSSHDUHGWREHDGDQJHURXVZHDSRQ ZDVEUDQGLVKHGGLVSOD\HGRUSRVVHVVHGWUHDWWKHREMHFWDVD ,Q VXP D EDQN UREEHU FDQQRW SXW RQ DQ 2VFDUFDOLEHU GDQJHURXVZHDSRQIRUWKHSXUSRVHRIVXEVHFWLRQ E ( l SHUIRUPDQFHZLWKWKHLQWHQWLRQ RIFRQYLQFLQJKLVDXGLHQFH (PSKDVLVDGGHG 7KH365UHOLHGXSRQ$SSOLFDWLRQ1RWH WKHWHOOHU WKDWDQRSDTXHSDFNDJHFRQWDLQVDERPEZLQWKH LQ UHFRPPHQGLQJ WKDW 5RGULJXH] UHFHLYH DQ HQKDQFHPHQW WURSK\ WKH LOOJRWWHQ FDVK DQG VXEVHTXHQWO\ FODLP ZKHQ SXUVXDQWWR% E ( FDXJKWWKDWKLVDFWVKRXOGKDYHLQVWHDGEHHQSDQQHG7KHODZ VLPSO\GRHVQRWWROHUDWHVXFKDQRSSRUWXQLVWLFSUHVHQWDWLRQ 5RGULJXH] REMHFWHG WR WKH 365jV VHQWHQFLQJ UHFRPPHQGDWLRQ +H DUJXHG WKDW DQ HQKDQFHPHQW XQGHU % E ( ZDVXQZDUUDQWHGEHFDXVHLQKLVYLHZQR UHDVRQDEOH LQGLYLGXDO ZRXOG KDYH FRQFOXGHG WKDW WKH 8QLWHG6WDWHVY5RGULJXH] 1R 1R 8QLWHG6WDWHVY5RGULJXH]
VW\URIRDP VDQGZLFK ER[ LQ IDFW FRQWDLQHG D ERPE 7KH HPSOR\LQJ DQ REMHFWLYH VWDQGDUG LQ XSKROGLQJ D GLVWULFWFRXUWGLVDJUHHGH[SODLQLQJLWVUHDVRQLQJDVIROORZV % E ( HQKDQFHPHQWZKHUHWKHGHIHQGDQWXVHGD UHDOLVWLFORRNLQJ WR\ JXQ GXULQJ D UREEHU\ 7KH XOWLPDWH %DVHG XSRQ WKH GHIHQGDQWjV ZULWWHQ DQG YHUEDO LQTXLU\LVZKHWKHUDUHDVRQDEOHLQGLYLGXDOZRXOGEHOLHYHWKDW UHSUHVHQWDWLRQVWRWKHEDQNWHOOHUWKDWKHKDGDJXQDQGD WKHREMHFWLVDGDQJHURXVZHDSRQXQGHUWKHFLUFXPVWDQFHV ERPEDQGEDVHGXSRQKLVJHVWXUHWRWKH>V@W\URIRDPER[ 8QLWHG6WDWHVY+DUW)G WK&LU m:H ZKHQKHSDVVHGWKHQRWHWRWKHWHOOHUDQGYHUEDOO\WROGKHU EHOLHYH WKDW WKH UHOHYDQW TXHVWLRQ LV ZKHWKHU D UHDVRQDEOH WKDWKHKDGDERPEDVZHOODVDJXQWKH&RXUWILQGVWKDW SHUVRQXQGHUWKHFLUFXPVWDQFHVRIWKHUREEHU\ZRXOGKDYH WKH >V@W\URIRDP ER[ FDUULHG LQWR WKH EDQN E\ WKH UHJDUGHGWKHREMHFWWKDWWKHGHIHQGDQWEUDQGLVKHGGLVSOD\HG GHIHQGDQW DSSHDUHG WR EH D GDQJHURXV ZHDSRQ IRU RU SRVVHVVHG DV D GDQJHURXV ZHDSRQ FDSDEOH RI LQIOLFWLQJ SXUSRVHVRIWKHHQKDQFHPHQW7KHUHIRUHWKHSURYLVLRQV GHDWK RU VHULRXV ERGLO\ LQMXU\l LQWHUQDO TXRWDWLRQ PDUNV RI% E ( GRDSSO\ WKHSRLQWHQKDQFHPHQW RPLWWHG VHH DOVR 86 6HQWHQFLQJ *XLGHOLQHV 0DQXDO WKHGHIHQGDQWUHFHLYHGLVVXSSRUWHGE\WKHHYLGHQFHLQ % DSSOLFDWLRQ QRWH DPHQGLQJ WKH SULRU WKLVUHFRUG DQGWKHGHIHQGDQWjVREMHFWLRQLQWKLVUHJDUG YHUVLRQRIWKHDSSOLFDWLRQQRWHWRPDNHFOHDUWKDWDQREMHFW LV'(1,(' VKDOO EH FRQVLGHUHG D GDQJHURXV ZHDSRQ LI WKH GHIHQGDQW FUHDWHG WKH LPSUHVVLRQ WKDW WKH REMHFW ZDV FDSDEOH RI 5RGULJXH]ZDVVHQWHQFHGWR PRQWKVLQSULVRQIROORZHGE\ LQIOLFWLQJ GHDWK RU VHULRXV ERGLO\ LQMXU\ VXFK DV ZKHUH mD \HDUVRIVXSHUYLVHGUHOHDVH7KLVWLPHO\DSSHDOIROORZHG GHIHQGDQWZUDSSHGDKDQGLQDWRZHOGXULQJDEDQNUREEHU\WR FUHDWHWKHDSSHDUDQFHRIDJXQl ,,$1$/<6,6 $SSO\LQJWKLVVWDQGDUGWRWKHSUHVHQWFDVHWKHGLVWULFWFRXUW 5RGULJXH]FKDOOHQJHVWKHGLVWULFWFRXUWj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jVGHWHUPLQDWLRQWKDWDQREMHFWDSSHDUHGWREH %XW5RGULJXH]ZDVDFRQYLQFLQJDFWRU%HIRUHFRPPHQFLQJ DGDQJHURXVZHDSRQIRUWKHSXUSRVHRI% E ( LVD WKHUREEHU\KHHQWHUHGWKHEDQNFDUU\LQJWKHVPDOOVW\URIRDP IDFWXDOILQGLQJ VXEMHFWWRWKHFOHDUO\HUURQHRXVVWDQGDUGRI ER[LQERWKRIKLVKDQGV+HVHWWKHER[GRZQRQDZULWLQJ UHYLHZ $ IDFWXDO ILQGLQJ LV FOHDUO\ HUURQHRXV ZKHUH WDEOH LQ WKH OREE\ DQG DSSURDFKHG 6WUHHW 5RGULJXH] DOWKRXJK WKHUH LV HYLGHQFH WR VXSSRUW WKDW ILQGLQJ mWKH HYHQWXDOO\WROG6WUHHWWKDWKHKDGDERPEPRWLRQLQJWRZDUG UHYLHZLQJFRXUWRQWKHHQWLUHHYLGHQFHLVOHIWZLWKWKHGHILQLWH WKHER[DVKHGLGVR%HFDXVHWKHER[ZDVRSDTXH6WUHHW DQG ILUP FRQYLFWLRQ WKDW D PLVWDNH KDV EHHQ FRPPLWWHGl FRXOGQRWVHHWKDWLWFRQWDLQHGRQO\DVDQGZLFKUDWKHUWKDQDQ 8QLWHG6WDWHVY8QLWHG6WDWHV*\SVXP&R86 H[SORVLYHGHYLFH8QGHUWKHVHFLUFXPVWDQFHVZHILQGWKDWD EDQNWHOOHULQ6WUHHWjVSRVLWLRQZRXOGKDYHDUHDVRQDEOHEDVLV WR EHOLHYH WKDW WKH ER[ FRQWDLQHG D ERPE 5RGULJXH]jV 7KLV FRXUW DSSOLHV DQ REMHFWLYH VWDQGDUG LQ GHWHUPLQLQJ GLVLQJHQXRXVFODLPWKDWGHVSLWHKLVEHVWHIIRUWVWRFRQYLQFH ZKHWKHUDQREMHFWPD\EHFRQVLGHUHGDGDQJHURXVZHDSRQIRU WKHSXUSRVHRI% E ( :RRGDUG)GDW
Reference
- Status
- Published