United States v. Ristovski ( 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$SSHOOHH    1R Y  !  /s83&2 5,67296.,  'HIHQGDQW$SSHOODQW  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW 1Rn%HUQDUG$)ULHGPDQ'LVWULFWsXGJH $UJXHG6HSWHPEHU 'HFLGHGDQG)LOHG'HFHPEHU %HIRUH%2**6DQG&2/(&LUFXLWsXGJHV%(//&KLHI 'LVWULFWs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6HHDOVR 1RYHPEHU   $FFRUGLQJO\ LI DPHQGHG 5XOH  ZHUH .HOORJJY6KRHPDNHU)GWK&LU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  ,Q WKLV FDVH WKH RIIHQVHV ZHUH FRPPLWWHGLQDQG5XOHZDVDPHQGHG  LQ'HFHPEHU7KHGLVWULFWFRXUW VDSSOLFDWLRQRIWKHWLPH 7KLV FRXUW LQ DQ XQSXEOLVKHG RSLQLRQ DSSOLHG DPHQGHG 5XOH  WR OLPLWDWLRQLQDPHQGHG5XOHZDVUHWURVSHFWLYHEHFDXVHLW EDU D  PRWLRQ IRU QHZ WULDO RQ D  FRQYLFWLRQ WKDW KDG EHFRPH 1R   :/  WK ILQDO LQ  8QLWHG 6WDWHV Y %OXH FKDQJHGWKHFULPLQDOUHYLHZSURFHGXUHIRURIIHQVHVRFFXUULQJ &LU 1RY  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 8QLWHG 6WDWHV Y ZLOOEHJRYHUQHGLQDOOUHVSHFWVE\WKHODZLQIRUFHZKHQWKH &DPDFKR 1R 6  &5   :/  6' 1 7@KH FRQVWLWXWLRQDO SURYLVLRQ ZDV LQWHQGHG WR WKDWEHFDXVHDFKDQJHLQWKHVHQWHQFLQJJXLGHOLQHVDIWHUWKH VHFXUH VXEVWDQWLDO SHUVRQDO ULJKWV DJDLQVW DUELWUDU\ DQG RIIHQVH ZDV FRPPLWWHG LQFUHDVHG WKH QXPEHU RI SULPDU\ RSSUHVVLYHOHJLVODWLRQVHH0DOOR\Y6RXWK&DUROLQD86 RIIHQVH  SRLQWV DVVLJQHG WR VH[XDO RIIHQVHV E\  WKH  DQGQRWWROLPLWWKHOHJLVODWLYHFRQWURORI FKDQJHFRXOGQRWEHGHHPHGSURFHGXUDOEHFDXVHLWGLUHFWO\ UHPHGLHVDQGPRGHVRISURFHGXUHZKLFKGRQRWDIIHFWPDWWHUV DQG DGYHUVHO\ DIIHFWHG WKH VHQWHQFH WKH SHWLWLRQHU ZRXOG RIVXEVWDQFH'REEHUW86DWTXRWLQJ%HD]HOOY UHFHLYH0LOOHU86DW,Q'REEHUWRQWKHRWKHU 2KLR  86     7KXV QR H[ SRVW IDFWR KDQGWKH&RXUWUHMHFWHGWKHSHWLWLRQHU VDUJXPHQWWKDWFKDQJHV YLRODWLRQ RFFXUV LI D FKDQJH GRHV QRW DOWHU VXEVWDQWLDO LQ WKH )ORULGD GHDWK SHQDOW\ VWDWXWH SRVHG DQ H[ SRVW IDFWR SHUVRQDO ULJKWV EXW PHUHO\ FKDQJHV PRGHV RI SURFHGXUH YLRODWLRQ>7@KHFKDQJHLQWKHVWDWXWHZDVFOHDUO\SURFHGXUDO ZKLFKGRQRWDIIHFWPDWWHUVRIVXEVWDQFH0LOOHUY)ORULGD 7KH QHZ VWDWXWH VLPSO\ DOWHUHG WKH PHWKRGV HPSOR\HG LQ  86    TXRWLQJ 'REEHUW   86 DW GHWHUPLQLQJZKHWKHUWKHGHDWKSHQDOW\ZDVWREHLPSRVHG   (YHQ WKRXJK LW PD\ ZRUN WR WKH GLVDGYDQWDJH RI D WKHUHZDVQRFKDQJHLQWKHTXDQWXPRISXQLVKPHQWDWWDFKHG GHIHQGDQW D SURFHGXUDO FKDQJH LV QRW H[ SRVW IDFWR WRWKHFULPH,GDW7KH'REEHUW&RXUWFRPSDUHG 'REEHUW86DW6HHDOVR/DQGJUDIY86,)LOP WKHFDVHEHIRUHLWWR+RSWY8WDK86LQ 3URGV  86   Q 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2QWKHRWKHUKDQGD DWKHUHWRIRUHLQQRFHQWDFWQRUDJJUDYDWHGDFULPHSUHYLRXVO\ FKDQJHLQWKHODZWKDWDOWHUVDVXEVWDQWLDOULJKWFDQEHH[SRVW FRPPLWWHGQRUSURYLGHGJUHDWHUSXQLVKPHQWQRUFKDQJHGWKH IDFWRHYHQLIWKHVWDWXWHWDNHVDVHHPLQJO\SURFHGXUDOIRUP SURRIQHFHVVDU\WRFRQYLFW'REEHUW86DWFLWLQJ :HDYHU86DWQFLWLQJ7KRPSVRQY8WDK +RSW86DW 86.ULQJY0LVVRXUL86 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ss079   86 DW