United States v. Gawthrop
United States v. Gawthrop
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 ! '$9,' *$5< *$:7+523 'HIHQGDQW$SSHOODQW 1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW 1Rn5REHUW+&OHODQG'LVWULFWsXGJH $UJXHG $XJXVW 'HFLGHGDQG)LOHG 1RYHPEHU %HIRUH 0225(DQG&2/(&LUFXLWsXGJHV 0$5%/(< 'LVWULFWsXGJH BBBBBBBBBBBBBBBBB &2816(/ $5*8(' sDPHV 5 *HURPHWWD )('(5$/ 38%/,& '()(1'(56 2)),&( 'HWURLW 0LFKLJDQ IRU $SSHOODQW .DWKOHHQ 0RUR 1HVL $66,67$17 81,7(' 67$7(6
7KH +RQRUDEOH $OJHQRQ / 0DUEOH\ 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH 6RXWKHUQ 'LVWULFW RI 2KLR VLWWLQJ E\ GHVLJQDWLRQ
8QLWHG6WDWHVY*DZWKURS 1R 1R 8QLWHG6WDWHVY*DZWKURS
$77251(<'HWURLW0LFKLJDQIRU$SSHOOHH21%5,() 6(17(1&,1* *8,'(/,1(6$33(1',; & $0(1' sDPHV5*HURPHWWD5LFKDUGs2j1HLOO)('(5$/38%/,& HPSKDVLVDGGHG '()(1'(56 2)),&( 'HWURLW 0LFKLJDQ IRU $SSHOODQW .DWKOHHQ 0RUR 1HVL $66,67$17 81,7(' 67$7(6 7KH IDFW WKDW *DZWKURSjV FRQYLFWLRQ FRXOG QRW EH $77251(<'HWURLW0LFKLJDQIRU$SSHOOHH FRQVLGHUHGDVSDUWRIKLVFULPLQDOKLVWRU\XQGHU$LVRI QR FRQVHTXHQFH 1RWKLQJ LQ * E RU LWV FXUUHQW BBBBBBBBBBBBBBBBB FRPPHQWDU\UHTXLUHVDWHPSRUDOQH[XVEHWZHHQDQ\LQVWDQFHV RI VH[XDO DEXVH RU H[SORLWDWLRQ ,Q WKH PDWWHU VXE MXGLFH 23,1,21 *DZWKURSKDVGLVSOD\HGDUHSXJQDQWSURFOLYLW\IRUDEXVLQJ BBBBBBBBBBBBBBBBB IHPDOHV LQ KLV IDPLO\ 6XFK DEXVH RI KLV GDXJKWHU DQG JUDQGGDXJKWHU n HYHQ WKRXJK WKH HYHQWV RFFXUUHG HOHYHQ $/*(121 / 0$5%/(< 'LVWULFW sXGJH 'HIHQGDQW \HDUV DSDUW n FOHDUO\ FRQVWLWXWHV D mSDWWHUQ RI DFWLYLW\ $SSHOODQW'DYLG*DU\*DZWKURS m*DZWKURSl DSSHDOVKLV LQYROYLQJ WKH VH[XDO DEXVH RU H[SORLWDWLRQ RI D PLQRUl VHQWHQFHUHFHLYHGIRUFRQYLFWLRQRQRQHFRXQWRIUHFHLYLQJ VXIILFLHQW WR MXVWLI\ WKH GLVWULFW FRXUWjV DGMXVWPHQW RI KLV FKLOGSRUQRJUDSK\RYHUWKH,QWHUQHWLQYLRODWLRQRI86& RIIHQVHOHYHO D *DZWKURSDVVLJQVHUURUWRWKHGLVWULFWFRXUWjV LPSRVLWLRQRIDILYHOHYHOHQKDQFHPHQWSXUVXDQWWR866* 7KLV &RXUW WKHUHIRUH $)),506 WKH ILYHOHYHO * E IRUHQJDJLQJLQDSDWWHUQRIDFWLYLW\LQYROYLQJ HQKDQFHPHQWSXUVXDQWWR* E WKHVH[XDODEXVHRIDPLQRUDQGWRWKHFRXUWjVDSSOLFDWLRQRI D WZROHYHO HQKDQFHPHQW SXUVXDQW WR 866* $ 9&21&/86,21 EDVHG XSRQ D YXOQHUDEOH YLFWLP 7KLV &RXUWjV DSSHOODWH MXULVGLFWLRQLVSURSHUXQGHU86&DQG86& )RU WKH IRUHJRLQJ UHDVRQV ZH $)),50 'HIHQGDQW )RU WKH IROORZLQJ UHDVRQV WKLV &RXUW $)),506 $SSHOODQWjVVHQWHQFH 'HIHQGDQW$SSHOODQWjVVHQWHQFH ,%$&.*5281' 7KLV FDVH DURVH IURP 'HIHQGDQW$SSHOODQWjV DUUHVW DQG FRQYLFWLRQ RQ VWDWH FKDUJHV IRU VH[XDOO\ DEXVLQJ KLV JUDQGGDXJKWHU )URP sDQXDU\ WKURXJK $SULO *DZWKURS NQRZLQJO\ SRVVHVVHG YLVXDO GHSLFWLRQV RI PLQRUV HQJDJHG LQ VH[XDO DFWLYLW\ 6RPHWLPH EHWZHHQ sDQXDU\ DQG0DUFK KHPROHVWHGKLVWKUHH\HDUROG JUDQGGDXJKWHUZKRZDVYLVLWLQJKLVUHVLGHQFH'XULQJWKDW LQFLGHQW *DZWKURS ZDV YLHZLQJ FKLOG SRUQRJUDSK\ RQ KLV KRPH FRPSXWHU LQ KLV EHGURRP ZKHQ KLV JUDQGGDXJKWHU HQWHUHGWKHURRPDQGVDZWKHLOOLFLWLPDJHV$WWKDWSRLQW *DZWKURSSXOOHGRXWKLVSHQLVDQGKDGKHUWRXFKLW+HWKHQ KDGWKHFKLOGSHUIRUPRUDOVH[DVVXULQJKHUWKDWLWZDVDOULJKW EHFDXVHWKDWZDVZKDWWKHFKLOGUHQLQWKHSLFWXUHVZHUHGRLQJ 8QLWHG6WDWHVY*DZWKURS 1R 1R 8QLWHG6WDWHVY*DZWKURS
:HILQGWKDWWKHGLVWULFWFRXUWGLGQRWHUULQDSSO\LQJWKH *DZWKURSWROGKLVJUDQGGDXJKWHUQRWWRWHOODQ\RQHDERXWWKH * E HQKDQFHPHQW*DZWKURSGRHVQRWFRQWHVWWKH LQFLGHQW FRXUWjVIDFWXDOILQGLQJVWKDWKHKDGVH[XDOO\DEXVHGERWKKLV GDXJKWHU DQG JUDQGGDXJKWHU 7KH RQO\ TXHVWLRQ WKHQ LV 2Q sXO\ *DZWKURSj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jV 6XUUDWW)G WK&LU EXWPLVLQWHUSUHWVLWV 2IILFH$VYDULRXVILOHVGHSLFWHGFKLOGUHQXQGHUWKHDJHRI KROGLQJDVLWUHODWHVWRWKH JXLGHOLQHDPHQGPHQW7KH HQJDJHGLQVH[XDOO\H[SOLFLWDFWLYLW\ZLWKDGXOWVWKHPDWWHU GHIHQGDQW LQ WKDW FDVH ZDV FRQYLFWHG RI UHFHLYLQJ FKLOG ZDVUHIHUUHGWRWKH)%,RQ6HSWHPEHU 2Q2FWREHU SRUQRJUDSK\LQYLRODWLRQRI86& D DQGWKH *DZWKURSZDVFRQYLFWHGRIFULPLQDOVH[XDOFRQGXFW JRYHUQPHQWUHTXHVWHGD* E LQFUHDVHEDVHGXSRQ LQ 0LFKLJDQ VWDWH FRXUW IRU PROHVWLQJ KLV JUDQGGDXJKWHU GHIHQGDQWjVVH[XDODEXVHRIKLVGDXJKWHU7KH6XUUDWWFRXUW VHQWHQFHG WR PRQWKV WR \HDUV LQ SULVRQ DQG JLYHQ LQUHMHFWLQJWKHJRYHUQPHQWjVUHTXHVWUHOLHGXSRQWKHIRUPHU SV\FKRORJLFDO FRXQVHOLQJ +H LV FXUUHQWO\ VHUYLQJ KLV FRPPHQWDU\WR* E DQGVWDWHG VHQWHQFHDQGZLOOEHHOLJLEOHIRUSDUROHRQsXO\ +HUHDVWKHGLVWULFWFRXUWIRXQG6XUUDWWjVDOOHJHGVH[XDO 2Q 2FWREHU DQ ,QIRUPDWLRQ ZDV ILOHG LQ WKH DEXVHRIPLQRUVLQWKHSDVWZDVQRWDWDOOUHODWHGWRWKH (DVWHUQ 'LVWULFW RI 0LFKLJDQ FKDUJLQJ *DZWKURS ZLWK RIIHQVHRIZKLFKKHZDVFKDUJHGWKHUHFHLSWRIVH[XDOO\ NQRZLQJO\ UHFHLYLQJ FKLOG SRUQRJUDSK\ RYHU WKH ,QWHUQHW H[SOLFLWGHSLFWLRQVRIPLQRUVRQ0DUFK 7KH GXULQJsXO\ LQYLRODWLRQRI86& D 2Q GHIHQGDQW VVH[XDODEXVHRIKLVGDXJKWHUIRUH[DPSOH 'HFHPEHUKHZDLYHGLQGLFWPHQWDQGSOHGJXLOW\WR RFFXUUHGDWOHDVWWKUHH\HDUVSULRUWRWKHSRVWDOLQVSHFWRUjV WKH,QIRUPDWLRQ7KH3OHD$JUHHPHQWZULWWHQSXUVXDQWWR mVWLQJlRSHUDWLRQWKDWUHVXOWHGLQ6XUUDWWjVDUUHVW 5XOHRIWKH)HGHUDO5XOHVRI&ULPLQDO3URFHGXUHLQFOXGHG DWRWDORIIHQVHOHYHORIDQGDFULPLQDOKLVWRU\FDWHJRU\RI ,G DW 5HDG LQ FRQWH[W WKH 6XUUDWW FRXUW UHMHFWHG WKH ,,ZLWKDJXLGHOLQHUDQJHRIWRPRQWKVLQSULVRQ7KH HQKDQFHPHQW EHFDXVH WKH GHIHQGDQWjV VH[XDO DEXVH RI KLV SDUWLHVDJUHHGWKDWDQ\VHQWHQFHLPSRVHGZRXOGQRWH[FHHG GDXJKWHU GLG QRW UHODWH WR WKH RIIHQVH RI FRQYLFWLRQ QRW PRQWKV VLPSO\ EHFDXVH WKH DEXVH RFFXUUHG WKUHH \HDUV SULRU WR KLV D RIIHQVH,QQRZD\GRHV6XUUDWWUHTXLUHWHPSRUDO 3ULRUWRVHQWHQFLQJWKH8QLWHG6WDWHV3UREDWLRQ'HSDUWPHQW SUR[LPLW\EHWZHHQWZRGLIIHUHQWHYHQWVRIVH[XDODEXVHRU LVVXHGD3UHVHQWHQFH5HSRUW m365l RQ)HEUXDU\,Q H[SORLWDWLRQ7KH JXLGHOLQHDPHQGPHQWFODULILHGmWKDW WKH365WKH3UREDWLRQ2IILFHUFDOFXODWHG*DZWKURSjVEDVH WKHµSDWWHUQRIDFWLYLW\jPD\LQFOXGHDFWVRIVH[XDODEXVHRU RIIHQVH OHYHO WR EH DQG VXEMHFW WR WKH IROORZLQJ H[SORLWDWLRQWKDWZHUHQRWFRPPLWWHGGXULQJWKHFRXUVHRIWKH DGMXVWPHQWV DWZROHYHOLQFUHDVHSXUVXDQWWR866* RIIHQVH RU WKDW GLG QRW UHVXOW LQ D FRQYLFWLRQl 86 * E DV WKH SRUQRJUDSKLF PDWHULDO FRQWDLQHG SUHSXEHVFHQW PLQRUV XQGHU WKH DJH RI D WZROHYHO LQFUHDVHSXUVXDQWWR* E DVWKHRIIHQVHLQYROYHG *DZWKURS PLVVWDWHV WKH HOHYHQ\HDU SHULRG RI WLPH EHWZHHQ WKHVH WKHXVHRIDFRPSXWHU DILYHOHYHOLQFUHDVHSXUVXDQWWR WZR HYHQWV DV WZHOYH \HDUV 8QLWHG6WDWHVY*DZWKURS 1R 1R 8QLWHG6WDWHVY*DZWKURS
* E EDVHG XSRQ D SDWWHUQ RI DFWLYLW\ LQYROYLQJ 86 6(17(1&,1* *8,'(/,1(6 0$18$/ * FPWQ VH[XDO DEXVH RI PLQRUV DQG D WKUHHOHYHO GHFUHDVH )XUWKHUPRUHm>S@ULRUFRQYLFWLRQVWDNHQLQWRDFFRXQWXQGHU SXUVXDQWWR(IRUDFFHSWDQFHRIUHVSRQVLELOLW\7KH VXEVHFWLRQ E DUHDOVRFRXQWHGIRUSXUSRVHVRIGHWHUPLQLQJ 365QRWHGWKDWWKHGLVWULFWFRXUWPLJKWDOVRZLVKWRFRQVLGHU FULPLQDO KLVWRU\ SRLQWV SXUVXDQW WR &KDSWHU )RXU 3DUW $ DWZROHYHOHQKDQFHPHQWXQGHU$IRUYXOQHUDEOHYLFWLP &ULPLQDO+LVWRU\ l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mSDWWHUQRIDFWLYLW\l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mLQDSSOLFDEOHWRWUDIILFNHUVLQFKLOGSRUQRJUDSK\ZKRDUHQRW FRQYLFWLRQRFFXUUHGWRRORQJDJRHYHQWREHFRQVLGHUHG GLUHFWO\LQYROYHGLQWKHDFWXDOSK\VLFDODEXVHRUH[SORLWDWLRQ DV SDUW RI KLV FULPLQDO KLVWRU\ FDOFXODWLRQ +H DVVHUWV WKDW RIPLQRUVl$OWKRXJKWKH3UREDWLRQ2IILFHUUHMHFWHGERWKRI EHFDXVHWKHDEXVHRIKLVGDXJKWHURFFXUUHGPRUHWKDQWZHOYH WKHVH REMHFWLRQV *DZWKURS UHVWDWHG KLV SRVLWLRQ LQ KLV \HDUVSULRUWRWKHDEXVHRIKLVJUDQGGDXJKWHUWKHVHWZRHYHQWV VHQWHQFLQJ PHPRUDQGXP DQG DGGHG WZR DGGLWLRQDO GRQRWFRQVWLWXWHDSDWWHUQRIDFWLYLW\ DUJXPHQWVLQVXSSRUWRIKLVSRVLWLRQV:LWKUHVSHFWWRWKH $ E HQKDQFHPHQWKHFODLPHGWKDWWKHJXLGHOLQHKDG 7KH *RYHUQPHQW DUJXHV WKDW WKH FRXUW GLG QRW HUU LQ DOUHDG\ FRQVLGHUHG KLV JUDQGGDXJKWHUjV DJH DQG QRWHG KLV DSSO\LQJWKH* E HQKDQFHPHQWEHFDXVH*DZWKURSjV SXQLVKPHQWIRUWKLVFRQGXFWWKURXJKKLVVWDWHFRQYLFWLRQDQG DEXVHRIKLVGDXJKWHUDQGJUDQGGDXJKWHULOOXVWUDWHVDSDWWHUQ VHQWHQFHRIPRQWKVWR\HDUVLPSULVRQPHQW+HDOVR RI VXFK DFWLYLW\ 7KH *RYHUQPHQW UHMHFWV *DZWKURSjV FODLPHGWKDWWKH* E HQKDQFHPHQWZDVLQDSSOLFDEOH FRQWHQWLRQWKDWWKHUHPXVWEHDWHPSRUDOQH[XVEHWZHHQVXFK EHFDXVHWKHWZRLQVWDQFHVRIVH[XDODEXVHRFFXUUHGPRUHWKDQ LVRODWHG HYHQWV DQG DVVHUWV WKDW WKLV HQKDQFHPHQW FDQ EH WZHOYH\HDUVDSDUWDQGGLGQRWFRQVWLWXWHDSDWWHUQ DSSOLHGWRmGHFDGHVROGlFRQGXFW $IWHUFRQGXFWLQJDWZRGD\VHQWHQFLQJKHDULQJWKHGLVWULFW FRXUWUHMHFWHG*DZWKURSjVREMHFWLRQVDQGDGGHGDWZROHYHO 7KLV FRPPHQWDU\ ZDV WKH UHVXOW RI D DPHQGPHQW WKDW GHOHWHG LQFUHDVHXQGHU$ E DQGDILYHOHYHOHQKDQFHPHQW WKH SUHYLRXV GHILQLWLRQ XQGHU * E IRU D WRWDO RIIHQVH OHYHO RI DQG D FULPLQDO KLVWRU\ FDWHJRU\ RI ,, 7KH FRXUW GHWHUPLQHG WKDW m3DWWHUQ RI DFWLYLW\ LQYROYLQJ WKH VH[XDO DEXVH RU H[SORLWDWLRQ RI D PLQRUl IRU WKH SXUSRVHV RI VXEVHFWLRQ E PHDQV DQ\ FRPELQDWLRQ RI WZR RU PRUH VHSDUDWH LQVWDQFHV RI WKH VH[XDO DEXVH RU WKH VH[XDO H[SORLWDWLRQ RI D PLQRU ZKHWKHU LQYROYLQJ WKH VDPH RU GLIIHUHQW YLFWLPV *DZWKURS DOVR SOHG JXLOW\ WR FULPLQDO VH[XDO FRQGXFW LQ IRU PROHVWLQJ KLV GDXJKWHU DQG ZDV VHQWHQFHG WR ILYH \HDUV RI SUREDWLRQ 86 6 (17(1&,1* *8,'(/,1(6 $33(1',; & $0(1' 8QLWHG6WDWHVY*DZWKURS 1R 1R 8QLWHG6WDWHVY*DZWKURS
YXOQHUDELOLW\ RI WKH YLFWLP &OHDUO\ VKH ZDV D YLFWLP RI $ E DSSOLHG EHFDXVH *DZWKURSjV DEXVH RI KLV UHOHYDQWFRQGXFWZLWKLQWKHVFRSHRIWKHRIIHQVHDWODUJH JUDQGGDXJKWHU DQG KLV H[SRVLQJ KHU WR WKH SRUQRJUDSK\ TXDOLILHGDVUHOHYDQWFRQGXFWWRKLVRIIHQVHRIUHFHLYLQJFKLOG ,Q8QLWHG6WDWHVY1LHFH )G 7DEOH :/ SRUQRJUDSK\ DQG EHFDXVH VKH ZDV SDUWLFXODUO\ YXOQHUDEOH DW WK&LU WKLV&RXUWXSKHOGD$ EDVHG XSRQ KHU IDPLOLDO UHODWLRQVKLS ZLWK *DZWKURS HQKDQFHPHQW EDVHG XSRQ WKH GHIHQGDQWjV mIDWKHU ILJXUHl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jV VWDWH UHODWLRQVKLSFHUWDLQO\IDOOVZLWKLQWKHUDQJHRIUHODWLRQVKLSV FRQYLFWLRQDFFRXQWHGIRUDSRUWLRQRIKLVIHGHUDOVHQWHQFHWKH XSRQ ZKLFK D ILQGLQJ RI YLFWLP YXOQHUDELOLW\ FDQ EH FRXUWRUGHUHGWKDWPRQWKVEHVHUYHGFRQFXUUHQWZLWKKLV SUHGLFDWHG7KHGLVWULFWFRXUWGLGQRWFOHDUO\HUULQILQGLQJ VWDWHVHQWHQFHDQGWKDWWKHUHPDLQLQJPRQWKVEHVHUYHG WKDW WKLV IDPLOLDO UHODWLRQVKLS UHQGHUHG *DZWKURSj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m,IWKHGHIHQGDQWHQJDJHGLQDSDWWHUQ 'HIHQGDQW$SSHOODQWFKDOOHQJHVWKHGLVWULFWFRXUWjVIDFWXDO RI DFWLYLW\ LQYROYLQJ WKH VH[XDO DEXVH RU H[SORLWDWLRQ RI D ILQGLQJV DV WR ZKHWKHU KLV JUDQGGDXJKWHU ZDV D YXOQHUDEOH PLQRULQFUHDVH>WKHEDVHRIIHQVHOHYHO@E\OHYHOVl86 YLFWLP LQ WKLV PDWWHU :LWK UHJDUG WR D $ E 6(17(1&,1* *8,'(/,1(6 * E 8QGHU WKLV HQKDQFHPHQW WKLV &RXUW UHYLHZV D GLVWULFW FRXUWjV IDFWXDO JXLGHOLQH ILQGLQJVIRUFOHDUHUURU8QLWHG6WDWHVY&XUO\)G WK &LU :KLOH JLYLQJ GXH GHIHUHQFH WR WKH m3DWWHUQ RI DFWLYLW\ LQYROYLQJ WKH VH[XDO DEXVH RU GLVWULFW FRXUWjV DSSOLFDWLRQ RI WKH VHQWHQFLQJ JXLGHOLQHV WR H[SORLWDWLRQRIDPLQRUlPHDQVDQ\FRPELQDWLRQRIWZR WKRVH IDFWV WKH FRXUWjV OHJDO FRQFOXVLRQV DUH UHYLHZHG GH RUPRUHVHSDUDWHLQVWDQFHVRIWKHVH[XDODEXVHRUVH[XDO QRYR,G'HIHQGDQW$SSHOODQWGRHVQRWFRQWHVWWKHGLVWULFW H[SORLWDWLRQRIDPLQRUE\WKHGHIHQGDQWZKHWKHURUQRW FRXUWjVIDFWXDOILQGLQJVUHJDUGLQJKLVFRQYLFWLRQVIRUVH[XDOO\ WKHDEXVHRUH[SORLWDWLRQ $ RFFXUUHGGXULQJWKHFRXUVH DEXVLQJKLVGDXJKWHULQ DQGKLVJUDQGGDXJKWHULQ RI WKH RIIHQVH % LQYROYHG WKH VDPH RU GLIIHUHQW 5DWKHU *DZWKURS FKDOOHQJHV WKH FRXUWjV DSSOLFDWLRQ RI YLFWLPV RU & UHVXOWHGLQDFRQYLFWLRQIRUVXFKFRQGXFW * E WRWKHVHIDFWV7KLV&RXUWUHYLHZVGHQRYRWKH GLVWULFWFRXUWjVFRQVWUXFWLRQRI* E 8QLWHG6WDWHV Y6XUUDWW)G WK&LU 8QLWHG6WDWHVY*DZWKURS 1R 1R 8QLWHG6WDWHVY*DZWKURS
,,,7+(866*$ E (1+$1&(0(17 $GGLWLRQDOO\WKHLQFUHDVLQJXVHRIFRPSXWHUVWRWUDQVPLW FKLOGSRUQRJUDSK\VXEVWDQWLDOO\LQFUHDVHVWKHOLNHOLKRRG 6HFWLRQ $ E RI WKH 8QLWHG 6WDWHV 6HQWHQFLQJ WKDW WKLV PDWHULDO ZLOO EH YLHZHG E\ DQG WKXV KDUP *XLGHOLQHVSURYLGHV m,IWKHGHIHQGDQWNQHZRUVKRXOGKDYH FKLOGUHQ ,Q OLJKW RI WKHVH VLJQLILFDQW KDUPV LW LV NQRZQWKDWDYLFWLPRIWKHRIIHQVHZDVDYXOQHUDEOHYLFWLP HVVHQWLDOWKDWWKRVHZKRDUHFDXJKWDQGFRQYLFWHGIRUWKLV LQFUHDVH >WKH EDVH RIIHQVH OHYHO@ E\ OHYHOVl 86 FRQGXFWEHSXQLVKHGVHYHUHO\ 6 (17(1&,1* * 8,'(/,1(6 $ E 8QGHU $ E ,G TXRWLQJ +5 5HS 1R UHSULQWHG LQ 86&&$1 WK &RQJ VW 6HVV SS mYXOQHUDEOHYLFWLPlPHDQVDSHUVRQ $ ZKRLVDYLFWLP $OWKRXJK GLVWULEXWLQJ FKLOG SRUQRJUDSK\ WR PLQRUV RIWHQ RIWKHRIIHQVHRIFRQYLFWLRQDQGDQ\FRQGXFWIRUZKLFK IDFLOLWDWHVWKHLUVH[XDODEXVHDVZDVWUXHLQWKLVFDVHWKHKDUP WKH GHIHQGDQW LV DFFRXQWDEOH XQGHU % 5HOHYDQW UHVXOWLQJIURPYLHZLQJVXFKPDWHULDOLVVHSDUDWHDQGGLVWLQFW &RQGXFW DQG % ZKRLVXQXVXDOO\YXOQHUDEOHGXHWR IURPWKHKDUPFDXVHGE\PROHVWDWLRQ*DZWKURSjVFULPLQDO DJHSK\VLFDORUPHQWDOFRQGLWLRQRUZKRLVRWKHUZLVH KLVWRU\ FDOFXODWLRQ GLG QRW DFFRXQW IRU WKH KDUP WKDW KLV SDUWLFXODUO\ VXVFHSWLEOH WR WKH FULPLQDO FRQGXFW JUDQGGDXJKWHU VXIIHUHG IURP EHLQJ IRUFHG WR YLHZ WKH 6XEVHFWLRQ E DSSOLHVWRRIIHQVHVLQYROYLQJDQXQXVXDOO\ SHUYHUWHGLPDJHVRQKLVFRPSXWHU,QGHHGHYHQLIKHKDGQRW YXOQHUDEOH YLFWLP LQ ZKLFK WKH GHIHQGDQW NQRZV RU DOVR PROHVWHG KHU VKH QR GRXEW ZRXOG KDYH HQGXUHG VKRXOGKDYHNQRZQRIWKHYLFWLPjVXQXVXDOYXOQHUDELOLW\ SV\FKRORJLFDO WUDXPD FDXVHG E\ KHU H[SRVXUH WR WKH FKLOG 7KHDGMXVWPHQWZRXOGDSSO\IRUH[DPSOHLQDIUDXGFDVH SRUQRJUDSK\DORQH7KXVWKHUHOHYDQWFRQGXFWRI*DZWKURSj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jVSRVLWLRQLQDEDQN'RQRWDSSO\VXEVHFWLRQ E LI WKHIDFWRUWKDWPDNHVWKHSHUVRQDYXOQHUDEOHYLFWLPLV $QGLWjVWKHUHODWLRQVKLSLWjVWKHEORRGUHODWLRQVKLSWKDW LQFRUSRUDWHGLQWKHRIIHQVHJXLGHOLQH)RUH[DPSOHLIWKH WKH3UREDWLRQ'HSDUWPHQWIRFXVHVXSRQRUWKHIDPLOLR RIIHQVHJXLGHOLQHSURYLGHVDQHQKDQFHPHQWIRUWKHDJHRI >VLF@UHODWLRQVKLSDWOHDVWWKHJUDQGIDWKHUJUDQGGDXJKWHU WKHYLFWLPWKLVVXEVHFWLRQZRXOGQRWEHDSSOLHGXQOHVV WLHWKDWjVEHHQLGHQWLILHGE\WKH3UREDWLRQ'HSDUWPHQW WKHYLFWLPZDVXQXVXDOO\YXOQHUDEOHIRUUHDVRQVXQUHODWHG WRDJH 7KDWLVWKHH[WUDHOHPHQWRIYXOQHUDELOLW\XQUHODWHGWRDJH WKDW VXSSRUWV LQ WKH 3UREDWLRQ 'HSDUWPHQWjV YLHZ WKH 86 6(17(1&,1* *8,'(/,1(6 0$18$/ $ E FPW HQKDQFHPHQW $QG LWjV QRW GRXEOH FRXQWLQJ EHFDXVH Q5HOHYDQWFRQGXFWLVGHILQHGDV WKDWUHODWLRQVKLSWKDWIDPLOLR>VLF@UHODWLRQVKLSLVZDVQRW DFFRXQWHGIRUHOVHZKHUHLQWKHJXLGHOLQHV DOO DFWV DQG RPLVVLRQV FRPPLWWHG DLGHG DEHWWHG FRXQVHOHGFRPPDQGHGLQGXFHGSURFXUHGRUZLOOIXOO\ 7KH IDPLOLR >VLF@ UHODWLRQVKLS GRHV VXSSRUW WKH H[WUD FDXVHG E\ WKH GHIHQGDQW WKDW RFFXUUHG GXULQJ WKH HOHPHQW UHTXLUHG LQ WKH JXLGHOLQH GHILQLWLRQ IRU FRPPLVVLRQRIWKHRIIHQVHRIFRQYLFWLRQLQSUHSDUDWLRQ 8QLWHG6WDWHVY*DZWKURS 1R 1R 8QLWHG6WDWHVY*DZWKURS
IHLJQLQJWKDWLVXOWLPDWHO\FRQVLVWHQWLQWKHPDLQZLWK IRUWKDWRIIHQVHRULQWKHFRXUVHRIDWWHPSWLQJWRDYRLG ZKDWWKHJUDQGGDXJKWHUVDLGLQWKHILUVWSODFH GHWHFWLRQRUUHVSRQVLELOLW\IRUWKDWRIIHQVH %DVHGXSRQWKHUHFRUGWKHGLVWULFWFRXUWjVIDFWXDOILQGLQJVRQ 86 6(17(1&,1* *8,'(/,1(6 % D $ WKLVSRLQWDUHQRWFOHDUO\HUURQHRXV*DZWKURSjVH[SRVLQJKLV JUDQGGDXJKWHU WR FKLOG SRUQRJUDSK\ FRQVWLWXWHG UHOHYDQW *DZWKURSDUJXHVWKDWWKHGLVWULFWFRXUWHUUHGLQDSSO\LQJWKH FRQGXFWWRKLVRIIHQVHRIFRQYLFWLRQ0RUHRYHUWKHGLVWULFW YXOQHUDEOHYLFWLPHQKDQFHPHQWEHFDXVHRIWKHDEXVHRIKLV FRXUW GLG QRW FOHDUO\ HUU LQ ILQGLQJ WKDW *DZWKURSjV VH[XDO JUDQGGDXJKWHU+HFRQWHQGVWKDWLQWKHFRQWH[WRIDYLRODWLRQ DEXVHRIKLVJUDQGGDXJKWHUZDVUHOHYDQWFRQGXFWWRKLVIHGHUDO RI86& D WKHYLFWLPLVWKHVXEMHFWSRUWUD\HG RIIHQVH E\WKHSRUQRJUDSK\*DZWKURSFODLPVWKDWKLVJUDQGGDXJKWHU LVDYLFWLPRQO\RIWKHFULPLQDOVH[XDOFRQGXFWIRUZKLFKKH 7KHGLVWULFWFRXUWLQDSSO\LQJ$ E ZRXOGKDYH ZDV DOUHDG\ FRQYLFWHG DQG VHQWHQFHG XQGHU VWDWH ODZ DQG HUUHG KDG LW RQO\ UHOLHG XSRQ WKH VH[XDO DEXVH DV UHOHYDQW QRWHVWKDWKLVFRQYLFWLRQZDVLQFOXGHGLQWKHFULPLQDOKLVWRU\ FRQGXFW*DZWKURSjVSULRUVWDWHFRQYLFWLRQIRUWKLVVH[XDO FRPSXWDWLRQ IRU WKLV FDVH +H DVVHUWV WKDW WKH FRXUW DEXVHFRXOGQRWKDYHEHHQFRQVLGHUHGLQFDOFXODWLQJERWKKLV HUURQHRXVO\FKDUDFWHUL]HGFRQGXFWIURPKLVVWDWHFRQYLFWLRQ FULPLQDOKLVWRU\DQGKLVRIIHQVHOHYHO'RLQJVRZRXOGKDYH DV UHOHYDQW FRQGXFW ZKHQ GHWHUPLQLQJ KLV VHQWHQFH IRU WKH UHVXOWHGLQLPSHUPLVVLEOHGRXEOHFRXQWLQJ6HHHJ8QLWHG LQVWDQW RIIHQVH *DZWKURS PDLQWDLQV WKDW LQ HIIHFW WKH 6WDWHVY7RUUHV)G WK&LU m,IWKH GLVWULFW FRXUW GRXEOH FRXQWHG KLV FULPLQDO VH[XDO FRQGXFW GLVWULFW FRXUW GLG WDNH WKH SULRU VHQWHQFH LQWR DFFRXQW LQ ERWKDVSDUWRIKLVFULPLQDOKLVWRU\DQGDVUHOHYDQWFRQGXFWWR FDOFXODWLQJWKHRIIHQVHOHYHOWKHQLWLVFOHDUWKDWWRSUHYHQW KLVUHFHLSWRIFKLOGSRUQRJUDSK\ GRXEOHFRXQWLQJWKHFRXUWFDQQRWXVHWKDWVDPHVHQWHQFHLQLWV FULPLQDO KLVWRU\ FDOFXODWLRQl <HW WKH UHFRUG FOHDUO\ 7KH *RYHUQPHQW DUJXHV WKDW WKH GLVWULFW FRXUW GLG QRW LQGLFDWHVWKDWWKHFRXUWDOVRFRQVLGHUHGDVUHOHYDQWFRQGXFWWKH FOHDUO\HUULQILQGLQJWKDW*DZWKURSjVJUDQGGDXJKWHUZDVD IDFWWKDWKHH[SRVHGKLVJUDQGGDXJKWHUWRFKLOGSRUQRJUDSK\ YXOQHUDEOH YLFWLP EDVHG XSRQ WKH UHOHYDQW FRQGXFW RI DIDFWVXIILFLHQWLQDQGRILWVHOIWRZDUUDQWWKH$ E H[SRVLQJ KHU WR FKLOG SRUQRJUDSK\ DQG KHU IDPLOLDO HQKDQFHPHQW UHODWLRQVKLSZLWK*DZWKURS$FFRUGLQJWRWKH*RYHUQPHQW *DZWKURSjVUHOHYDQWFRQGXFWRIVKRZLQJKLVJUDQGGDXJKWHU 7KH *RYHUQPHQW LV FRUUHFW LQ DUJXLQJ WKDW *DZWKURS FKLOGSRUQRJUDSK\FDXVHGKDUPWKDWZDVQRWDFFRXQWHGIRULQ HVVHQWLDOO\ GLVWULEXWHG FKLOG SRUQRJUDSK\ WR DQ XQZLWWLQJ KLV FULPLQDO KLVWRU\ LQ WKDW H[SRVXUH WR VXFK PDWHULDO LV D WKUHH\HDUROGYLFWLP$VWKLV&RXUWKDVQRWHGm>L@QWKHµ6H[ VHSDUDWHDQGGLVWLQFWKDUPIURPWKDWVXIIHUHGWKURXJKVH[XDO &ULPHV$JDLQVW&KLOGUHQ3UHYHQWLRQ$FWRI j&RQJUHVV DEXVH7KH*RYHUQPHQWDVVHUWVWKDWWKHFRXUWLQGHWHUPLQLQJ GLUHFWHGWKH8QLWHG6WDWHV6HQWHQFLQJ&RPPLVVLRQWRLQFUHDVH UHOHYDQWFRQGXFWGLGQRWUHO\VROHO\RQWKHJUDQGGDXJKWHUjV WKH *XLGHOLQHV IRU VH[ FULPHV FRPPLWWHG DJDLQVW FKLOGUHQ VH[XDODEXVHDVUHOHYDQWFRQGXFWEXWDOVRFRQWHPSODWHGWKDW VSHFLILFDOO\IRURIIHQVHVFRPPLWWHGXQGHU86& *DZWKURSVKRZHGKHUFKLOGSRUQRJUDSK\$FFRUGLQJO\WKH DQGl8QLWHG6WDWHVY%URZQ)G WK *RYHUQPHQWFRQWHQGVWKDWWKHFRXUWKDGDOWHUQDWHJURXQGVIRU &LU 7KHOHJLVODWLYHKLVWRU\RIWKDW$FWGHPRQVWUDWHV DSSO\LQJ WKH $ E HQKDQFHPHQW IRU YXOQHUDEOH WKDWH[SRVXUHWRFKLOGSRUQRJUDSK\DORQJZLWKRWKHUGDQJHUV YLFWLPDQGGLGVRSURSHUO\LQWKLVFDVH FRQFHUQHG&RQJUHVVHQRXJKWRVWUHQJWKHQWKHVHVWDWXWHV $V D WKUHVKROG PDWWHU ZH ILQG WKDW *DZWKURS PDGH VXIILFLHQWREMHFWLRQVWRWKHGLVWULFWFRXUWjVDSSOLFDWLRQRIWKH $ E HQKDQFHPHQW WR SUHVHUYH WKH LVVXH IRU RXU 8QLWHG6WDWHVY*DZWKURS 1R 1R 8QLWHG6WDWHVY*DZWKURS
FRQVLGHUDWLRQ $OWKRXJK KH REYLRXVO\ FDXVHG KLV FOHDUDQG,WKLQNLWjVDFNQRZOHGJHGWKDWWKHVH[XDODEXVHRI JUDQGGDXJKWHU WR VXIIHU JUHDWO\ *DZWKURS LV FRUUHFW LQ WKH JUDQGGDXJKWHU LV UHOHYDQW FRQGXFW WR WKH RIIHQVH RI DVVHUWLQJ WKDW VKH ZDV QRW D YLFWLP RI KLV UHFHLSW RI FKLOG FRQYLFWLRQl6HFRQGWKHFRXUWGHWHUPLQHGWKDW*DZWKURSKDG SRUQRJUDSK\ XQGHU 86& D ,Q FDVHV H[SRVHGKHUWRFKLOGSRUQRJUDSK\$WWKHWLPHRIVHQWHQFLQJ LQYROYLQJ D FRQYLFWLRQV WKH YLFWLP KDV EHHQ WKHUHZDVVRPHGLVSXWHDVWRZKHWKHU*DZWKURSLQYLWHGKLV LGHQWLILHGDVVRFLHW\RUDVWKHFKLOGSRUWUD\HGLQWKHPDWHULDO JUDQGGDXJKWHULQWRKLVEHGURRPDQGLQWHQWLRQDOO\VKRZHGKHU WKDWLVWKHVXEMHFWRIWKHFRQYLFWLRQ6HHHJ8QLWHG WKHFRPSXWHULPDJHVRUZKHWKHUWKHFKLOGZDQGHUHGLQRQKHU 6WDWHVY+LEEOHU )G WK&LU m2QO\LQ RZQDQGLQDGYHUWHQWO\YLHZHGWKHSLFWXUHV$IWHUUHYLHZLQJ WKRVHLQVWDQFHVZKHUHWKHUHLVQRLGHQWLILDEOHYLFWLPVKRXOGD WKHHYLGHQFHRIUHFRUGDQGVSHFLILFDOO\DQLQWHUYLHZZLWKWKH FRXUW GHHP WKH SULPDU\ YLFWLP WR EH VRFLHW\ :KHQ LW FKLOGWKHFRXUWVWDWHG DGRSWHG86&&RQJUHVVFOHDUO\FRQVLGHUHGWKH FKLOGUHQ GHSLFWHG LQ VXFK PDWHULDOV WR EH WKH SULPDU\ WKH GHIHQGDQW GLG LQ IDFW VKRZ KHU RU GR VRPH YLFWLPVl 8QLWHG6WDWHVY6XUUDWW)G WK&LU HQJDJHLQEHKDYLRUWKDWjVHTXLYDOHQWWRVKRZLQJKHURU m>7@KHVXEMHFWVRIWKHSRUQRJUDSKLFPDWHULDOZHUHWKH GLVSOD\LQJWRKHURUSURYLGLQJKHUDFFHVVRSHQDFFHVVWR µYLFWLPVjLQWKLVFDVHl 8QLWHG6WDWHVY.HWFKDP WKLV SRUQRJUDSKLF PDWHULDO ZKLFK , WKLQN WKHQ VLPSO\ )G UG&LU m>7@KHSULPDU\YLFWLPVWKDW VXSSRUWVWKHFRQFHSWWKDWVKHZDVDQLGHQWLILDEOHYLFWLP &RQJUHVVKDGLQPLQGZKHQLWHQDFWHG86& D RIWKHEHKDYLRU ZHUH WKH FKLOGUHQ GHSLFWHG LQ SRUQRJUDSKLF PDWHULDOVl 8QLWHG 6WDWHV Y 5XJK )G WK &LU :HOOP\GHWHUPLQDWLRQRQWKDWSRLQWLVWKDWWKHUHLVD m>7@KHSULPDU\YLFWLPXQGHU86& D LVWKH IDFWXDOLQGLFDWLRQKHUHIDFWXDOVXSSRUWWKDWLVUHOLDEOHLQ H[SORLWHGFKLOGl 8QLWHG6WDWHVY7ROHU )G LWVIRUPDQGVXEVWDQFHWKDWLQGLFDWHVWKDWWKHGHIHQGDQW WK&LU m>7@KHSULPDU\YLFWLPXQGHUVHFWLRQ D GLGLQIDFWSURYHVDWOHDVWE\WKHOHYHOWKDWjVUHTXLUHG LVVRFLHW\LQJHQHUDOZLWKWKHPLQRUDVHFRQGDU\YLFWLPl IRUWKHVHGLVSXWHGVHQWHQFLQJLVVXHVWKDWWKHGHIHQGDQW 8QLWHG 6WDWHV Y 6PLWK )G WK &LU GLGHQJDJHLQDFWLYLWLHVWKDWDUHHTXLYDOHQWWRVKRZLQJWKH VWDWLQJLQGLFWDWKDWWKHYLFWLPVRIWKHSURGXFWLRQRIDFKLOG JUDQGGDXJKWHU WKH SRUQRJUDSKLF PDWHULDO +H LQ KLV SRUQRJUDSK\ILOPZHUHWKHFKLOGUHQSRUWUD\HGWKHUHLQ VWDWHPHQWUHDOO\GLGQRWHYHQGLVSXWHLQDQ\VLJQLILFDQW ZD\WKHVHIDFWV$QGLV,WKLQNYHU\HTXLYRFDODERXWKLV 7KH GLVWULFW FRXUW KRZHYHU IRXQG WKDW *DZWKURSjV PHPRU\RUEHKDYLRURUDQ\ZLOOLQJQHVVWRDFNQRZOHGJH JUDQGGDXJKWHUZDVDYLFWLPQRWRIWKHRIIHQVHRIFRQYLFWLRQ ZKDWKDSSHQHG,WGRHVVD\DWRQHSRLQWWKDWKHFODLPVKH EXWRIWZRW\SHVRIUHOHYDQWFRQGXFW)LUVWVKHZDVDYLFWLP WULHGWRFOHDUWKHSLFWXUHEHIRUHVKHFRXOGVHHLW,GLGQRW RI*DZWKURSjVVH[XDODEXVH7KHFRXUWVWDWHGm,WKLQNLWjV NQRZLIKHZDVDEOHWRGRVR,\RXNQRZ,WKLQNIURP ZLWKLQKLVRZQVWDWHPHQWFRPLQJRQWKHKHHOVRIVHYHUDO GHQLDOV DQG FODLPV RI EODFNRXW DQG GUXQNHQQHVV QRW 7KH *RYHUQPHQW DVVHUWV WKDW DW VHQWHQFLQJ *DZWKURS QHYHU REMHFWHG NQRZLQJZKDWKDSSHQHGRUMXVWKHVDLGDWRQHSRLQW,jOO EDVHG XSRQ GRXEOH FRXQWLQJ DQG WKHUHIRUH IRUIHLWHG WKLV DUJXPHQW IRU VD\WKDW,GLGLWEXW,jPQRWVXUHWKDW,GLG+LVVWDWHPHQW SXUSRVHV RI DSSHDO $OWKRXJK FRXQVHO IRU *DZWKURS GLG QRW VSHFLILFDOO\ LV QRW UHOLDEOH ,QWHUQDOO\ LW EHDUV QR LQGLFLD RI FLWH UHOHYDQW FDVH ODZ RQ WKLV SRLQW KH REMHFWHG WR WKH LPSRVLWLRQ RI $ E EDVHG XSRQ WKH QRWLRQ WKDW FRQVLGHULQJ *DZWKURSjV SULRU UHOLDELOLW\,QIDFWLWEDUHV>VLF@VHYHUDOLQGLFDWRUVRIQRQ VHQWHQFH WR FDOFXODWH ERWK KLV FULPLQDO KLVWRU\ DQG RIIHQVH OHYHO ZDV UHOLDELOLW\IHLJQLQJDODFNRINQRZOHGJHDQGRQO\ELWE\ LPSURSHU GRXEOH FRXQWLQJ 6HH 8QLWHG 6WDWHV Y 0LOOHU )G ELW FRPLQJ XS ZLWK DGGLWLRQDO LQIRUPDWLRQ WKDW LV WK &LU VLQFH FRXQVHO REMHFWHG WR DQ\ HQKDQFHPHQW XQGHU s WKH LVVXH ZDV SUHVHUYHG IRU DSSHDO
Reference
- Status
- Published