United States v. Tocco ( 2002 )

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$SSHOODQW    1R Y  !  3$8/ &255$'2 s$&. :  72&&2 9,72 : *,$&$/21(  129( 72&&2 $17+21 ,@W LV QRW GHWHUPLQDWLYH WKDW WKH GHIHQGDQW FRPPLWWHGWKHFULPHWRIXUWKHUKLVRZQDJHQGDLILQGHHGKH ZDVRQO\DEOHWRFRPPLWWKHFULPHE\YLUWXHRIKLVSRVLWLRQ ZLWKLQWKHHQWHUSULVHl,GDWVHH&RUUDGR)GDW  ) 7KH JRYHUQPHQW KDV PHW WKH mUHODWLRQVKLS SOXV FRQWLQXLW\WHVWlZKLFKUHTXLUHVWKHJRYHUQPHQWWRVKRZWKDW WKH SUHGLFDWH DFWV LQ FRQQHFWLRQ ZLWK WKH FRQVSLUDF\ ZHUH UHODWHGWRLWVLOOHJDOSXUSRVHVDQGWKDWWKHVHDFWVFRQVWLWXWHG DWKUHDWRIRQJRLQJFULPLQDODFWLYLW\&RUUDGR)GDW  :HPXVWQRZDSSO\WKHVHSULQFLSOHVWRWKHJRYHUQPHQWjV DUJXPHQWWKDWWKHGLVWULFWFRXUWHUUHGLQLWVILQGLQJVWKDWWKH  8QLWHG6WDWHVY&RUUDGRHWDO 1R 1R 8QLWHG6WDWHVY&RUUDGRHWDO  HYLGHQFHZDVLQVXIILFLHQWWRVXSSRUWDIRUIHLWXUHDJDLQVW3DXO $FFRUGLQJO\ZH29(558/(DQG'(1 3ROL]]L@ DQG UHODWHG WR KLV VRQ UHJDUGLQJ WKH LQYROYHPHQWRIWKHHQWHUSULVHl&RUUDGR)GDW 2QWKHRWKHUKDQGWKHJRYHUQPHQWFLWHV8QLWHG6WDWHVY $OVRLQDFFRUGDQFHZLWKRXUHDUOLHURSLQLRQZHUHPDQGWRWKH %DMDNDMLDQ  86   D FDVH LQ ZKLFK WKH GLVWULFWFRXUWWRGHWHUPLQHXQGHUFRUUHFWVWDQGDUGVWKHGHJUHH 6XSUHPH &RXUW FRQVLGHUHG WKH JRYHUQPHQWjV DSSHDO RI DQ DQGH[WHQWLIDQ\RI$QWKRQ\&RUUDGRjVIRUIHLWXUHUHODWHGWR DGYHUVH FULPLQDO IRUIHLWXUH DVVHVVPHQW EDVHG RQ (LJKWK WKHVDOHRIWKH(GJHZDWHU+RWHO,GDW)LQDOO\ZHUHMHFW $PHQGPHQWSURSRUWLRQDOLW\SULQFLSOHV7KH&RXUWQRWHGWKDW WKH JRYHUQPHQWjV DUJXPHQW ZLWK UHVSHFW WR WKH  LQ mWKH IRUIHLWXUH RI UHVSRQGHQWjV FXUUHQF\ FRQVWLWXWHV XQODZIXOJDPEOLQJSURFHHGVIRUWKHUHDVRQVH[SODLQHGLQRXU SXQLVKPHQW DQG LV WKXV D µILQHj ZLWKLQ WKH PHDQLQJ RI WKH RULJLQDORSLQLRQ,GDW5HPDLQLQJIRURXUUHYLHZLV ([FHVVLYH )LQHV &ODXVHl  %DMDNDMLDQ  86 DW  WKH GLVWULFW FRXUWjV GHFLVLRQ QRW WR KROG $QWKRQ\ &RUUDGR HPSKDVLVDGGHGVHHDOVR8QLWHG6WDWHVY&KULVWXQDV OLDEOHIRUIRUIHLWXUHDPRXQWVUHODWLQJWRWKHLQVWUHHW )GWK&LUGHWHUPLQLQJWKDWDSUHOLPLQDU\ WD[SURFHHGVGLVFXVVHGDERYHZLWKUHVSHFWWR3DXO&RUUDGR IRUIHLWXUHRUGHUZDVDSSHDODEOHEXWIRFXVLQJRQZKHWKHUWKH DQG 1RYH 7RFFR DQG WKH  WKDW WKH FRQVSLUDF\ RUGHUZDVILQDOIRUSXUSRVHVRIDSSHDODQG8QLWHG6WDWHVY H[WRUWHGIURP6DO9LWHOOR ,QYHVWPHQW(QWHUSULVHV,QF)GWK&LU KROGLQJ VSHFLILFDOO\ WKDW m>D@ UHYLHZ RI WKH >6HQWHQFLQJ@ :LWKUHVSHFWWRWKHVWUHHWWD[HVZHKHOGWKDWWKHFROOHFWLRQ *XLGHOLQHV 0DQXDO DQG WKH UHOHYDQW VWDWXWRU\ SURYLVLRQV RIWKHVWUHHWWD[HVZDVDWWULEXWDEOHWRWKHFULPLQDOHQWHUSULVH KRZHYHU OHDG XV WR FRQFOXGH WKDW D IRUIHLWXUH RUGHU LV D DQG WKXV ZH KHOG sDFN 7RFFR DQG *LDFDORQH OLDEOH DV µVHQWHQFHjIRUSXUSRVHVRI†EDQGWKXVLVDSSHDODEOHl PHPEHUV RI WKDW HQWHUSULVH 7KH JRYHUQPHQW DUJXHV WKDW 7KLVDXWKRULW\FRQILUPVRXUYLHZWKDWIRUIHLWXUHLVDNLQWRD $QWKRQ\&RUUDGRVKRXOGDOVREHKHOGUHVSRQVLEOHDVDmFDSRl ILQHDQGSXQLVKPHQWDQGWKHUHIRUHLVQRWVXEMHFWWRGRXEOH RIWKHHQWHUSULVHDVWKHHYLGHQFHRIKLVSDUWLFLSDWLRQLQWKH MHRSDUG\FRQVWULFWLRQV HQWHUSULVHZDVSURYHQEH\RQGDUHDVRQDEOHGRXEW:HDJUHH ZLWK WKH JRYHUQPHQW DQG QRZ KROG WKDW $QWKRQ\ &RUUDGR :HFRQFOXGHWKDWRWKHUDVVHUWHGEDVHVIRUUHKHDULQJRQWKH VKRXOG EH KHOG OLDEOH IRU WKH  LQ FROOHFWHG VWUHHW IRUIHLWXUHTXHVWLRQVKDYHEHHQFRYHUHGLQRXUSULRUGHFLVLRQ WD[HV DQGWKHGHIHQGDQWVKDYHUDLVHGQRQHZDQGPDWHULDOLVVXHVIRU IXUWKHUFRQVLGHUDWLRQ $VZHVWDWHGLQRXURSLQLRQm>W@KHJRYHUQPHQWVKRXOGQRW KDYHEHHQUHTXLUHGWRSURYHWKDW1RYHDQG3DXOVKDUHGWKHLU FROOHFWLRQVZLWKRWKHUSDUWQHUV1RUZDVLWUHTXLUHGWRVKRZ  ,Q 8UVHU\ sXVWLFHV 6FDOLD DQG 7KRPDV VWDWHG WKDW mWKH 'RXEOH WKH SURSRUWLRQ RI VKDULQJ RU WR WUDFH WKHVH H[WRUWLRQDWH sHRSDUG\ &ODXVH SURKLELWV VXFFHVVLYH SURVHFXWLRQ QRW VXFFHVVLYH FROOHFWLRQVEDFNWRHDFKPHPEHU7KHHQWLUHLOOHJDOVFKHPH SXQLVKPHQWl ,G DW   8QLWHG6WDWHVY&RUUDGRHWDO 1R 1R 8QLWHG6WDWHVY&RUUDGRHWDO  FRXOGQRWKDYHVXFFHHGHGZHUHLWQRWIRUWKHVXSSRUWRUWKH IRXUGHIHQGDQWVDQGWKHJRYHUQPHQWjVUHVSRQVHWKHUHWR:H XVH RI WKH QDPH DQG WKH UHSXWDWLRQ RI WKH FRQVSLUDWRULDO KDYHFDUHIXOO\FRQVLGHUHGWKHLVVXHVSUHVHQWHGLQWKHSHWLWLRQ HQWHUSULVHl  ,G DW   )XUWKHUPRUH ZH QRWHG WKDW IRUUHKHDULQJDQGWKHIXOOUHVSRQVHE\WKHJRYHUQPHQWDQGZH m>U@HFRUGHGFRQYHUVDWLRQVEHWZHHQ1RYHDQG3DXOLQGLFDWH FRQFOXGHWKDWWKHSHWLWLRQWRUHKHDUPXVWEHGHQLHG WKDWWKH\ZHUHZRUNLQJZLWKRUIRURUZHUHHPSRZHUHGE\ WKHµFDSRVjsDFN7RFFRDQG$QWKRQ\&RUUDGRl,G%HFDXVH sDFN 7RFFRjV EULHI UDLVHV QR QHZ LVVXHV QRW SUHYLRXVO\ WKHHYLGHQFHVKRZHGWKDW$QWKRQ\&RUUDGRZDVDPHPEHURI WUHDWHG:HGRQRWSUHVXPHWKDWWKH6XSUHPH&RXUWLQWHQGHG WKHFRQVSLUDWRULDOHQWHUSULVHWKDWHPSRZHUHGWKHFROOHFWLRQRI WRRYHUUXOH0RQJHY&DOLIRUQLD86E\LWV WKHVWUHHWWD[HVZHKROGKLPOLDEOHIRUWKHIRUIHLWXUHRIWKH GHFLVLRQLQ$SSUHQGLY1HZsHUVH\866&W SURFHHGVIURPWKDWLOOHJDOHQGHDYRU 2QH/RW(PHUDOG&XW6WRQHVY8QLWHG6WDWHV 86FLWHGE\GHIHQGDQWsDFN7RFFRLQKLV :H DOVR ILQG WKDW EHFDXVH RI KLV LQYROYHPHQW LQ WKH EULHI LQ VXSSRUW RI KLV GRXEOH MHRSDUG\ DUJXPHQW VLPSO\ HQWHUSULVH $QWKRQ\ &RUUDGR VKRXOG EH KHOG OLDEOH IRU WKH KROGVWKDWDFTXLWWDOLQDFULPLQDOIRUIHLWXUHSURFHHGLQJGRHV  H[WRUWHG IURP 6DO 9LWHOOR  7KRXJK WKH GLVWULFW QRWEDUDVXEVHTXHQWFLYLOIRUIHLWXUHSURFHHGLQJDJDLQVWWKH FRXUWZDVRIWKHYLHZWKDWIRUIHLWXUHZDVQRWUHTXLUHGZKHUH VDPHLOOHJDOO\VPXJJOHGJRRGV8QLWHG6WDWHVY8UVHU\ WKHUHLVQRVKRZLQJWKDWH[WRUWLRQPRQH\ZDVHYHUDFWXDOO\ 86   DOVR FLWHG E\ sDFN 7RFFR LQ WKLV UHVSHFW VKDUHGE\WKHSDUWQHUVKLSZHKHOGWKDWWKHJRYHUQPHQWQHHG KROGVWKDWVHSDUDWHODWHUFLYLOIRUIHLWXUHSURFHHGLQJVDUHQRW RQO\VKRZWKDW*LDFDORQHZDVHPSRZHUHGE\KLVPHPEHUVKLS ERXQG E\ GRXEOH MHRSDUG\ SULQFLSOHV IROORZLQJ D FULPLQDO LQ WKH HQWHUSULVH  &RQVHTXHQWO\ EHFDXVH RI $QWKRQ\ FRQYLFWLRQIRUWKHVDPHXQGHUO\LQJLOOHJDOFRQGXFWEHFDXVH &RUUDGRjV LQYROYHPHQW DV D PHPEHU LQ WKH HQWHUSULVH WKH FLYLOIRUIHLWXUHGRHVQRWFRQVWLWXWHSXQLVKPHQW,GDW GLVWULFWFRXUWHUUHGLQIDLOLQJWRDVVHVVDJDLQVWKLPDIRUIHLWXUH m6LQFH WKH HDUOLHVW \HDUV RI WKLV 1DWLRQ &RQJUHVV KDV DPRXQWRIDWWULEXWDEOHWRWKHH[WRUWLRQIURP6DO DXWKRUL]HG WKH *RYHUQPHQW WR VHHN SDUDOOHO LQ UHP FLYLO 9LWHOOR IRUIHLWXUHDFWLRQVDQGFULPLQDOSURVHFXWLRQVEDVHGXSRQWKH VDPHXQGHUO\LQJHYHQWVl7KH&RXUWLQ8UVHU\DGGV $FFRUGLQJO\ZHILQGWKDWWKHGLVWULFWFRXUWHUUHGLQIDLOLQJ WR DVVHVV DJDLQVW $QWKRQ\ &RUUDGR IRUIHLWXUH DPRXQWV RI 5HTXLULQJ WKH IRUIHLWXUH RI SURSHUW\ XVHG WR FRPPLW  LQ VWUHHW WD[ SURFHHGV DQG  IRU WKH IHGHUDOQDUFRWLFVYLRODWLRQVHQFRXUDJHVSURSHUW\RZQHUV H[WRUWLRQIURP6DO9LWHOOR,QDGGLWLRQZH5(0$1'WRWKH WRWDNHFDUHLQPDQDJLQJWKHLUSURSHUW\DQGHQVXUHVWKDW GLVWULFWFRXUWWRFRQVLGHUDORQJZLWKWKHFDVHVSHUWDLQLQJWR WKH\ZLOOQRWSHUPLWWKDWSURSHUW\WREHXVHGIRULOOHJDO sDFN7RFFRDQG9LWR*LDFDORQHWKHGHJUHHDQGH[WHQWLIDQ\ SXUSRVHV6HH%HQQLVY0LFKLJDQ86 RI $QWKRQ\ &RUUDGRjV IRUIHLWXUH UHODWHG WR WKH VDOH RI WKH m)RUIHLWXUHRISURSHUW\SUHYHQWVLOOHJDOXVHV (GJHZDWHU+RWHO E\ LPSRVLQJ DQ HFRQRPLF SHQDOW\ WKHUHE\ UHQGHULQJ LOOHJDOEHKDYLRUXQSURILWDEOHl ,, 3(7,7,21)255(+($5,1* :H QRZ FRQVLGHU WKH SHWLWLRQ IRU UHKHDULQJ ILOHG 2FWREHUE\sDFN:LOOLDP7RFFRMRLQHGE\WKHRWKHU  :H JUDQWHG WKH UHTXHVWV RI WKH RWKHU GHIHQGDQWV WR MRLQ LQ sDFN 7RFFRjV SHWLWLRQ DQG DPHQGHG SHWLWLRQ GHVSLWH REMHFWLRQV ILOHG E\ WKH JRYHUQPHQW