United States v. Rebmann ( 2000 )

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sHUVH\  6&W    GRFWRUZKRSHUIRUPHGWKHDXWRSV\LQGLFDWHGWKDWWKHFDXVHRI +DYLQJIUHHGLWVHOIIURPWKHVWULFWXUHVRIOHJLVODWLYHLQWHQWWKH GHDWKZDVDPXOWLSOHGUXJRYHUGRVHRIZKLFKKHURLQZDVWKH &RXUW WKHQ KHOG TXRWLQJ LWV SULRU GHFLVLRQ LQ sRQHV WKDW PRVWOHWKDOGUXJ,QYLHZRIWKLVHYLGHQFHLWLVSRVVLEOHWKDW  XQGHUWKH'XH3URFHVV&ODXVHRIWKH)LIWK$PHQGPHQWDQG WKHFRXUWZRXOGKDYHFRPHWRWKHFRQFOXVLRQWKDWLWFRXOGQRW WKHQRWLFHDQGMXU\WULDOJXDUDQWHHVRIWKH6L[WK$PHQGPHQW ILQG WKDW /HRQDUG 5HEPDQQ V GHDWK ZDV FDXVHG EH\RQG D DQ\ IDFW RWKHU WKDQ SULRU FRQYLFWLRQ WKDW LQFUHDVHV WKH UHDVRQDEOHGRXEWE\WKHGHIHQGDQW VGLVWULEXWLRQRIKHURLQLQ PD[LPXP SHQDOW\ IRU D FULPH PXVW EH FKDUJHG LQ DQ OLJKWRI/HRQDUG V5HEPDQQFRPELQDWLRQRIWKHKHURLQZLWK LQGLFWPHQW VXEPLWWHG WR D MXU\ DQG SURYHQ EH\RQG D WKHRWKHUQDUFRWLFV UHDVRQDEOHGRXEW ,GDWTXRWLQJsRQHV86DW 7KH&RXUWUHVWHGWKLVUXOLQJRQWKHKLVWRULFDODEVHQFHRI 1H[WZHH[DPLQHZKHWKHUWKHFRXUWHPSOR\HGWKHFRUUHFW D GLVWLQFWLRQ EHWZHHQ HOHPHQWV DQG VHQWHQFLQJ IDFWRUV VWDQGDUGZKLFKLWGHWHUPLQHGWKDW/HRQDUG5HEPDQQ VGHDWK QRWLQJWKDWDWWKHWLPHRIRXUFRXQWU\ VIRXQGLQJDOOIDFWVDQG ZDVFDXVHGE\WKHGHIHQGDQW VGLVWULEXWLRQE\DSUHSRQGHUDQFH FLUFXPVWDQFHVZKLFKFRQVWLWXWHGDQRIIHQVHZHUHLQFOXGHGLQ RI WKH HYLGHQFH  ,Q sRQHV Y 8QLWHG 6WDWHV  86  WKHLQGLFWPHQWDQGSURYHQEHIRUHDMXU\6HHLGDW WKH6XSUHPH&RXUWDGGUHVVHGWKHLVVXHRIZKHWKHUWKH IHGHUDO FDUMDFNLQJ VWDWXWH  86& †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sRQHV86DW7KH&RXUWGLGQRWLQGLFDWHZKDW RI WKH 6L[WK $PHQGPHQW  7KH &RXUW QRWHG WKDW WKRVH ZRXOG KDYH EHHQ WKH RXWFRPH RI WKH FDVH LI &RQJUHVV KDG FRQVWLWXWLRQDOSURYLVLRQVKDYHKLVWRULFDOO\VXJJHVWHGWKDWDQ\ EHHQPRUHFOHDULQGHOLQHDWLQJWKHSURYLVLRQVLQTXHVWLRQDV IDFWRWKHUWKDQSULRUFRQYLFWLRQWKDWLQFUHDVHGWKHPD[LPXP PHUHO\VHQWHQFLQJSURYLVLRQV7KH&RXUWGLGKRZHYHUJRRQ SHQDOW\ IRU D FULPH PXVW EH FKDUJHG LQ WKH LQGLFWPHQW WR GLVFXVV LQ JUHDW GHWDLO WKH VHULRXV FRQVWLWXWLRQDO VXEPLWWHGWRDMXU\DQGSURYHQEH\RQGDUHDVRQDEOHGRXEW LPSOLFDWLRQV RI FDWHJRUL]LQJ IDFWXDO GHWHUPLQDWLRQV DV 6HH sRQHV  86 DW  Q  ,Q IDFW WKH sRQHV &RXUW VHQWHQFLQJSURYLVLRQVDQGWKHUHE\HURGLQJWKHSURWHFWLRQRI ZDUQHG RI D VHW RI FLUFXPVWDQFHV VLPLODU WR WKH IDFWXDO WULDOE\MXU\DQGDOWHULQJWKHEXUGHQRISURRILQFDVHVZKHUHQR VFHQDULREHIRUHXVWRGD\ZKHQLWVWDWHGWKDWLQVRPHFDVHVD MXU\WULDOZDVUHTXHVWHG 7KHILUVWTXHVWLRQEHIRUHXVLV MXU\ ILQGLQJ RI IDFW QHFHVVDU\ IRU D PD[LPXP \HDU ZKHWKHU WKH sRQHV GHFLVLRQ DOORZV XV WR FRQVLGHU WKH VHQWHQFH ZRXOG PHUHO\ RSHQ WKH GRRU WR D MXGLFLDO ILQGLQJ FRQVWLWXWLRQDOSUREOHPVLQWKLVFDVHHYHQLQDVLWXDWLRQZKHUH VXIILFLHQWIRUOLIHLPSULVRQPHQWsRQHV86DW WKHVWDWXWRU\ODQJXDJHLVQRWVRYDJXHWKDWLWUHTXLUHVDUXOLQJ DVWRWKHLQWHQWRI&RQJUHVVZLWK UHVSHFW WRWKHVHQWHQFLQJ ,Q &DVWLOOR Y 8QLWHG 6WDWHV  6&W   WKH SURYLVLRQV$OWKRXJK&RQJUHVVZDVIDLUO\FOHDULQGHOLQHDWLQJ 6XSUHPH &RXUW DJDLQ DGGUHVVHG WKH LVVXH RI IDFWXDO WKDWWKHLIGHDWKUHVXOWVSURYLVLRQLVDVHQWHQFLQJSURYLVLRQ VHQWHQFLQJIDFWRUVZKLFKLQFUHDVHDGHIHQGDQW VSXQLVKPHQW ZHGRQRWEHOLHYHWKHsRQHVGHFLVLRQUHTXLUHVXVWRHQGRXU DIWHUSURRIEHIRUHDMXGJHEDVHGXSRQDSUHSRQGHUDQFHRIWKH LQTXLU\DWWKLVSRLQW7KHIDFWXDOVLWXDWLRQDWKDQGVRFOHDUO\ HYLGHQFH,QWKDWFDVHWKHGHIHQGDQWVZHUHLQGLFWHGRIWKH SDUDOOHOVWKHFRQVWLWXWLRQDOSUREOHPVEHIRUHWKH&RXUWLQsRQHV FULPHRIPXUGHULQJIHGHUDORIILFHUV%\VWDWXWHIRXQGDW WKDW ZH FRQFOXGH WKDW ZH PXVW FRQVLGHU WKH FRQVWLWXWLRQDO 86& † F WKH FRXUW ZDV WR GHWHUPLQH ZKHWKHU WKH UDPLILFDWLRQVRIFODVVLI\LQJWKHVHIDFWXDOGHWHUPLQDWLRQVDV GHIHQGDQWVXVHGRUFDUULHGDILUHDUPZKLFKSURYLGHGIRUDQ VHQWHQFLQJSURYLVLRQVUHJDUGOHVVRIWKHFODULW\RI&RQJUHVV V LQFUHDVHLQSXQLVKPHQWRI\HDUV,IWKHFRXUWGHWHUPLQHG LQWHQW LQ FODVVLI\LQJ WKHP DV VHQWHQFLQJ SURYLVLRQV  ,Q WKDW SDUWLFXODU ILUHDUPV ZHUH XVHG VXFK DV PDFKLQH JXQV DGGLWLRQWZRPRUHUHFHQW6XSUHPH&RXUWGHFLVLRQV&DVWLOOR GHVWUXFWLYHGHYLFHVRUILUHDUPVZLWKVLOHQFHUVRUPXIIOHUVRQ Y8QLWHG6WDWHV6&WDQG$SSUHQGLY1HZ WKHPWKHVHQWHQFHLQFUHDVHGWRDPDQGDWRU\WKLUW\\HDUV7KH sHUVH\6&WERWKUHLQIRUFHRXUFRQFOXVLRQ FRXUWVSHFLILFDOO\LQVWUXFWHGWKHMXU\WKDWLWZDVWKHSURYLQFH RIWKHFRXUWDVDSDUWRIWKHVHQWHQFLQJSURFHHGLQJVWRPDNH 7KHIHGHUDOFDUMDFNLQJVWDWXWHDWLVVXHLQsRQHV86& WKHGHWHUPLQDWLRQFRQFHUQLQJZKHWKHUWKHGHIHQGDQWVXVHG †SURYLGHGWKDWLIWKHSURVHFXWLRQSURYHGERWKLQWHQWWR ILUHDUPVDQGWKHW\SHVRIILUHDUPVHPSOR\HG,QHYDOXDWLQJ FDXVHGHDWKRUVHULRXVERGLO\KDUPDQGWKHDFWXDOWUDQVSRUWRU WKLV VWDWXWH LQ OLJKW RI WKH sRQHV GHFLVLRQ WKH &RXUW DJDLQ UHFHLSWRIDPRWRUYHKLFOHZKLFKZDVWDNHQE\IRUFHYLROHQFH H[DPLQHG WKH OLWHUDO ODQJXDJH DQG VWUXFWXUH RI WKH VWDWXWH RU LQWLPLGDWLRQ WKHQ  \HDUV LPSULVRQPHQW ZDV WKH LWVHOI,QFRPLQJWRWKHFRQFOXVLRQWKDWWKHIDFWRUVDWLVVXH DSSOLFDEOHSXQLVKPHQW,QDGGLWLRQWKHVWDWXWHSURYLGHGWKDW ZHUHHOHPHQWVUDWKHUWKDQVHQWHQFLQJIDFWRUVWKH&RXUW