- 5(&200(1'(' )25 )8//7(;7 38%/,&$7,21 3XUVXDQW WR 6L[WK &LUFXLW 5XOH )UHQFKYsRQHV 1R (/(&7521,& &,7$7,21 )(' $SS 3 WK &LU )LOH 1DPH DS BBBBBBBBBBBBBBBBB 23,1,21 81,7('67$7(6&28572)$33($/6 BBBBBBBBBBBBBBBBB )257+(6,;7+&,5&8,7 *:,1'LVWULFWsXGJH7KLVFDVHUHWXUQVWRXVIRUDWKLUG BBBBBBBBBBBBBBBBB WLPH0RVWUHFHQWO\ZHDIILUPHGWKHMXGJPHQWRIWKHGLVWULFW FRXUW )UHQFK Y sRQHV )G WK &LU 7KHUHDIWHU WKH 8QLWHG 6WDWHV 6XSUHPH &RXUW JUDQWHG 2/,9(5 )5(1&+ s5 ; UHVSRQGHQWjVSHWLWLRQIRUZULWRIFHUWLRUDULYDFDWHGRXUSULRU 3HWLWLRQHU$SSHOOHH MXGJPHQW DQG UHPDQGHG WKH FDVH WR RXU &RXUW IRU IXUWKHU FRQVLGHUDWLRQLQOLJKWRILWVGHFLVLRQLQ%HOOY&RQH86 1R )UHQFK Y sRQHV 86 Y 3XUVXDQW WR WKH 6XSUHPH &RXUWjV RUGHU WKH FDVH LV DJDLQ ! EHIRUHXVIRURXUGHWHUPLQDWLRQ .857 s21(6 5HVSRQGHQW$SSHOODQW :LWK WKLV DSSHDO ZH H[DPLQH ZKHWKHU WKH GLVWULFW FRXUW ZURQJO\ JUDQWHG D ZULW RI KDEHDV FRUSXV DIWHU D 0LFKLJDQ FRXUWJDYHDVXSSOHPHQWDOLQVWUXFWLRQWRDGHDGORFNHGMXU\ 7KH0LFKLJDQWULDOFRXUWJDYHWKHVXSSOHPHQWDOLQVWUXFWLRQ 1 ZKLFK GLG QRW FRQIRUP ZLWK WKH DSSURYHG 0LFKLJDQ 2Q5HPDQGIURPWKH8QLWHG LQVWUXFWLRQZKHQWKHGHIHQGDQWjVDWWRUQH\ZDVQRWSUHVHQW 6WDWHV6XSUHPH&RXUW $W WKH ILUVW DSSHDO WR WKLV &RXUW ZH YDFDWHG WKH GLVWULFW 'HFLGHGDQG)LOHGsXQH FRXUWjVRUGHUJUDQWLQJKDEHDVUHOLHIDQGUHPDQGHGWKHFDVHIRU DQHYLGHQWLDU\KHDULQJ$WWKDWKHDULQJWKHGLVWULFWFRXUWZDV %HIRUH&2/(&LUFXLWsXGJH*:,1'LVWULFWsXGJH GLUHFWHGWRUHYLHZWKHUROHRI7\sRQHVDQDOOHJHGDWWRUQH\ IURP &DOLIRUQLD 7\ sRQHV ZDV SUHVHQW DW WKH WLPH WKH BBBBBBBBBBBBBBBBB VXSSOHPHQWDOLQVWUXFWLRQZDVJLYHQEXWLWZDVXQFOHDUZKHWKHU KHZDVOLFHQVHGWRSUDFWLFHODZ)UHQFKYsRQHV1R &2816(/ :/DW oWK&LUsXO\ 216833/(0(17$/%5,()2OJD$JQHOOR2)),&(2) $WWKHHQVXLQJHYLGHQWLDU\KHDULQJWKHGLVWULFWFRXUWOHDUQHG 7+(3526(&87,1*$77251( W@KH SUHVXPSWLRQ WKDW FRXQVHOjV DVVLVWDQFH LV HVVHQWLDO UHTXLUHV >D FRXUW@ WR FRQFOXGH WKDW D WULDO LV XQIDLU LI WKH )RXU\HDUVDIWHU&URQLFWKH&RXUWUHLWHUDWHGWKDWKDUPOHVV DFFXVHGLVGHQLHGFRXQVHODWDFULWLFDOVWDJHRIKLVWULDOlLVDQ HUURU DQDO\VLV GRHV QRW DSSO\ WR 6L[WK $PHQGPHQW FODLPV DFFXUDWH VWDWHPHQW RI ODZ ,G DW %HFDXVH :LOOLDPV LQYROYLQJWKHDEVHQFHRIFRXQVHODWDFULWLFDOVWDJHE\VWDWLQJ LQVWUXFWV FRXUWV WR RQO\ UHO\ RQ WKH KROGLQJ RI FDVHV ZKHQ WKDWmWKHULJKWWRFRXQVHOLVµVREDVLFWRDIDLUWULDOWKDW>LWV@ GHFLGLQJFOHDUO\HVWDEOLVKHGIHGHUDOODZIRUKDEHDVSHWLWLRQ LQIUDFWLRQFDQQHYHUEHWUHDWHGDVKDUPOHVVHUURUjl3HQVRQY SXUSRVHV:LOOLDPV86DWWKHDSSHOODQWDUJXHVWKH 2KLR 86 TXRWLQJ &KDSPDQ Y GLVWULFWFRXUWVKRXOGQRWKDYHUHOLHGRQWKLVVWDWHPHQWRIODZ &DOLIRUQLD 86 $V WKH &RXUW PRVW EHFDXVHWKHODQJXDJHZDVQRWDSSOLFDEOHWR&URQLFjVXOWLPDWH UHFHQWO\ VWDWHG LQ D KDEHDV FDVH m>W@KH H[LVWHQFH RI KROGLQJ >VWUXFWXUDO@ GHIHFWVoGHSULYDWLRQ RI WKH ULJKW WR FRXQVHO IRU H[DPSOHoUHTXLUHV DXWRPDWLF UHYHUVDO RI WKH FRQYLFWLRQ ,QVWHDGWKHDSSHOODQWVD\VWKHIDFWVRIWKLVFDVHUHVHPEOH EHFDXVH WKH\ LQIHFW WKH HQWLUH WULDO SURFHVVl %UHFKW Y WKRVHLQ5XVKHQY6SDLQ86,Q5XVKHQ $EUDKDPVRQ86o WKH&RXUWDSSOLHGKDUPOHVVHUURUDQDO\VLVWRDWULDOMXGJHjVH[ SDUWHFRPPXQLFDWLRQVZLWKDMXURUDERXWWKHMXURUjVSHUVRQDO )XUWKHUPRUHWKHDSSHOODQWZURQJO\FKDUDFWHUL]HV5XVKHQ LQWHUDFWLRQZLWKDSROLFHLQIRUPDQWFXUUHQWO\WHVWLI\LQJEHIRUH ,Q 5XVKHQ WKH &RXUW GLG QRW VD\ KDUPOHVV HUURU DQDO\VLV WKH MXURU 5XVKHQ 86 DW o 1HLWKHU GHIHQVH DSSOLHVWRHYHU\RFFXUUHQFHRIDWWRUQH\DEVHQFHDWDFULWLFDO FRXQVHO QRU WKH SURVHFXWRU OHDUQHG RI WKH H[ SDUWH VWDJH RI WULDO ,QVWHDG WKH &RXUW KHOG WKDW H[ SDUWH FRPPXQLFDWLRQVXQWLODIWHUWKHWULDO FRPPXQLFDWLRQV EHWZHHQ D MXGJH DQG MXURU VKRXOG EH DQDO\]HG IRU KDUPOHVV HUURU EHFDXVH mµLW LV YLUWXDOO\ 7KH5XVKHQ&RXUWIRXQGWKDWWKHSRVWWULDOKHDULQJKHOGRQ LPSRVVLEOHWRVKLHOGMXURUVIURPHYHU\FRQWDFWRULQIOXHQFH WKHPDWWHUSURYLGHGVXIILFLHQWHYLGHQFHWKHFRPPXQLFDWLRQ WKDWPLJKWWKHRUHWLFDOO\DIIHFWWKHLUYRWHjl5XVKHQ86 EHWZHHQWKHMXGJHDQGMXURUZDVLQQRFXRXVDQGWKDWQRELDV 1R )UHQFKYsRQHV )UHQFKYsRQHV 1R DW o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jV DWWRUQH\V GLG QRW KDYH DQ UHTXLUHDVKRZLQJRIDFWXDOSUHMXGLFH6HH&RQHY%HOO RSSRUWXQLW\WRUHVSRQGWRWKHMXU\jVQRWHQRUZHUHWKH\SUHVHQW )GWK&LU7KH6XSUHPH&RXUWUHYHUVHG ZKHQWKHWULDOMXGJHJDYHWKHVXSSOHPHQWDOLQVWUXFWLRQ7KH WKDWGHFLVLRQEHFDXVHWKHSHWLWLRQHUGLGQRWDOOHJHWKDWWULDO XQFHUWDLQW\RIWKHSUHMXGLFH)UHQFKVXIIHUHGEHFDXVHKHZDV FRXQVHO HQWLUHO\ IDLOHG WR VXEMHFW WKH SURVHFXWLRQjV FDVH WR QRWUHSUHVHQWHGE\FRXQVHOGXULQJWKLVFULWLFDOVWDJHRIKLVWULDO PHDQLQJIXO DGYHUVDULDO WHVWLQJ EXW DOOHJHG RQO\ WKDW WULDO PDNHVWKHRXWFRPHRIKLVWULDOXQUHOLDEOH6HH5RH86 FRXQVHOIDLOHGDWmVSHFLILFSRLQWVl&RQH86DW,Q DW&URQLF86DWQ UHDFKLQJWKLVFRQFOXVLRQWKH&RXUWDQQRXQFHGWKDWWRDSSO\ WKHVHFRQG&URQLFH[FHSWLRQmWKHDWWRUQH\ VIDLOXUHPXVWEH &URQLFFRUUHFWO\VXPPDUL]HVIHGHUDOODZZKHQLWVWDWHVWKDW FRPSOHWHl,G DEVHQFHRIFRXQVHOGXULQJDFULWLFDOVWDJHRIDWULDODPRXQWVWR FRQVWLWXWLRQDOHUURU&URQLF86DWQ,QOLJKWRI )UHQFKGRHVQRWDUJXHWKDWKLVFRXQVHOIDLOHGWRVXEMHFWWKH FOHDUIHGHUDOODZWKH0LFKLJDQFRXUWVXQUHDVRQDEO\DSSOLHG SURVHFXWLRQjVFDVHWRPHDQLQJIXODGYHUVDULDOWHVWLQJ,QVWHDG KDUPOHVV HUURU DQDO\VLV WR )UHQFKjV GHSULYDWLRQ RI FRXQVHO KHDUJXHVWKDWWKHILUVW&URQLFH[FHSWLRQDSSOLHVEHFDXVHKH GXULQJ WKH VXSSOHPHQWDO LQVWUXFWLRQ 7KH GLVWULFW FRXUW VD\VWKDWKHZDVFRPSOHWHO\GHQLHGFRXQVHOGXULQJDFULWLFDO SURSHUO\JUDQWHGWKHZULWRIKDEHDVFRUSXV VWDJHRIDMXGLFLDOSURFHHGLQJ$VGLVFXVVHG&RQHGLGQRW GHDOZLWKDGHQLDORIFRXQVHOFODLP1RUGRHVWKHORJLFRI 7KHGHFLVLRQLQ&RQHGRHVQRWDOWHURXUDQDO\VLV,Q&RQH %HOOjVKROGLQJWKDWWKHDWWRUQH\jVIDLOXUH PXVWEHFRPSOHWH WKH&RXUWGHILQHGWKHW\SHRILQHIIHFWLYHDVVLVWDQFHFODLPVWKDW H[WHQGWRFODLPVEDVHGRQWKHGHQLDORIFRXQVHODWDFULWLFDO ILWZLWKLQ&URQLFj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mIDLOHG WR VXEMHFW WKH SURVHFXWLRQ V QRWHG LQ GLFWD WKDW %HOO GRHV QRW DSSO\ WR FODLPV RI GHQLDO RI FRXQVHO DW FDVH WR PHDQLQJIXO DGYHUVDULDO WHVWLQJl DQG ZKHQ WKH WULDO 6HH +XQWHU Y 0RRUH )G Q WK &LU FLUFXPVWDQFHV RI WKH WULDO SUHYHQW FRXQVHO IURP DIIRUGLQJ $FFRUG 8QLWHG 6WDWHV H[ UHO 0DGHM Y 6FKRPLJ ) 6XSSG Q 1' ,OO m%HOO Y &RQH GRHV QRW DSSHDU WR DOWHU WKH HIIHFWLYHUHSUHVHQWDWLRQ&URQLF86DW FRQGLWLRQV IRU SUHVXPLQJ SUHMXGLFH XQGHU &URQLF ZKHQ D GHIHQGDQW LV DFWXDOO\ GHQLHG FRXQVHO DW D FULWLFDO VWDJH RI WKH SURFHHGLQJV RU ZKHQ WKH FLUFXPVWDQFHV RI WKH WULDO UHQGHU HIIHFWLYH DVVLVWDQFH LPSRVVLEOHl 1R )UHQFKYsRQHV WKH WULDO MXGJHjV VXSSOHPHQWDO MXU\ LQVWUXFWLRQ %HFDXVH )UHQFKZDVZLWKRXWFRXQVHOGXULQJDFULWLFDOVWDJHRIKLVWULDO WKHGLVWULFWFRXUWFRUUHFWO\JUDQWHG)UHQFKjVSHWLWLRQIRUDZULW RIKDEHDVFRUSXV)RUWKHIRUHJRLQJUHDVRQVZH$)),50WKH MXGJPHQWRIWKH(DVWHUQ'LVWULFWRI0LFKLJDQ
Document Info
Docket Number: 00-2308
Filed Date: 6/11/2003
Precedential Status: Precedential
Modified Date: 3/3/2016