Court of Appeals for the Sixth Circuit
Document Info
DocketNumber: 00-1992
Filed Date: 7/17/2002
Status: Precedential
Modified Date: 9/22/2015
-
5(&200(1'(' )25 )8//7(;7 38%/,&$7,21 5RFNZHOOY ZRXOG $5*8(' /DXUD *UDYHV 0RRG\ 2)),&( 2) 7+( EH@UHSHWLWLYHRURQO\PDUJLQDOO\UHOHYDQWl'HODZDUHY $77251( 86@>@WKHOLPLWDWLRQ &UDLJ$'DO\'HWURLW0LFKLJDQIRU$SSHOOHH21%5,() KHUHZDVEH\RQGUHDVRQ6SHFXODWLRQDVWRWKHHIIHFWRI /DXUD *UDYHV 0RRG\ 2)),&( 2) 7+( $77251( WKHYLFWLPjV@WHVWLPRQ\ 1(/621sGHOLYHUHGWKHRSLQLRQRIWKHFRXUWLQZKLFK ,G *$5:22'sMRLQHG&/$ 0UV5RFNZHOO@IHOWLQKHUKHDUWWKDWWKHRQO\ZD\VKHFRXOG VRQVZDVPRUHSUHMXGLFLDOWKDQSUREDWLYHRI3HWLWLRQHUjVmWDON NHHSWKHVLWXDWLRQXQGHUFRQWUROlGHIHQVHFRXQVHOH[SODLQHG WKHUDS\l GHIHQVHKRZHYHUWKHFDVHRI2OGHQY.HQWXFN\ mZDVWRDOORZWKHER\VWRWDONDQGIDQWDVL]HDERXW>NLOOLQJWKH 86IXUWKHULOOXVWUDWHVWKHXQUHDVRQDEOHQHVV KDWHG0U5RFNZHOO@l)DUIURPDJUHHLQJWRDPXUGHUWKH RIWKHVWDWHFRXUWVjUXOLQJV WKHRU\ ZHQW 0UV 5RFNZHOO KRSHG WR IRUHVWDOO D PXUGHU WKURXJKZKDWKHUODZ\HUVHHPVWRKDYHYLHZHGDVVRPHVRUW ,Q 2OGHQ WKH LVVXH EHIRUH WKH &RXUW ZDV ZKHWKHU WKH RIWDONWKHUDS\ .HQWXFN\ VWDWH FRXUWV KDG YLRODWHG WKH SHWLWLRQHUjV 6L[WK $PHQGPHQW ULJKW WR FURVVH[DPLQDWLRQ E\ UXOLQJ WKDW ,Q FRQQHFWLRQ ZLWK WKLV mWKHUDS\ GHIHQVHl DV ZH HYLGHQFH RI WKH YLFWLPjV LQWHUUDFLDO UHODWLRQVKLS ZLWK WKH FKDUDFWHUL]HGLWLQRXUHDUOLHURSLQLRQ0UV5RFNZHOOKRSHG SHWLWLRQHU ZDV LQDGPLVVLEOH DV EHLQJ PRUH SUHMXGLFLDO WKDQ WRVKRZDWWULDOWKDW0U5RFNZHOOKDGLQIDFWDEXVHGKLVVRQV SUREDWLYH 6HH 2OGHQ 86 DW 6SHFLILFDOO\ WKH 7KH SURVHFXWLRQ KRSHG WR H[FOXGH HYLGHQFH RI WKH DOOHJHG &RXUWRSLQHG DEXVH DQG WR WKDW HQG WKH SURVHFXWLRQ ILOHG D PRWLRQ LQ OLPLQH7KHVWDWHWULDOFRXUWJUDQWHGWKHPRWLRQFRQFOXGLQJ 7KH.HQWXFN\&RXUWRI$SSHDOVGLGQRWGLVSXWHDQG WKDWWKHHYLGHQFHLQTXHVWLRQZDVQRWmPDWHULDOlXQGHU0LFK LQGHHGDFNQRZOHGJHGWKHUHOHYDQFHRIWKHLPSHDFKPHQW 5XOHRI(YLG HYLGHQFH 1RQHWKHOHVV WKH FRXUW KHOG WKDW SHWLWLRQHUjV ULJKW WR HIIHFWLYH FURVVH[DPLQDWLRQ ZDV RXWZHLJKHGE\WKHGDQJHUWKDWUHYHDOLQJ>WKHYLFWLPjV@ $OWKRXJK WKH SURVHFXWLRQ KDG FLWHG 5XOH LQ DUJXPHQW WKH LQWHUUDFLDOUHODWLRQVKLSZRXOGSUHMXGLFHWKHMXU\DJDLQVW UHOHYDQFH RI WKDW UXOH LQ WKLV FRQWH[W LV QRW UHDGLO\ DSSDUHQW 5XOH KHU :KLOH D WULDO FRXUW PD\ RI FRXUVH LPSRVH SURYLGHV WKDW VXEMHFW WR D VHULHV RI H[FHSWLRQV HYLGHQFH RI D SHUVRQjV FKDUDFWHU LV QRW DGPLVVLEOH IRU WKH SXUSRVH RI SURYLQJ WKDW WKH SHUVRQ 5RFNZHOOY KDG@ HUUHG LQ IRUHFORVLQJ 5RFNZHOOZDVVHQWHQFHGWRLPSULVRQPHQWIRUOLIH$QDSSHDO SHWLWLRQHUjV HIIRUWV WR LQWURGXFH WHVWLPRQ\ DERXW WKH WRWKH0LFKLJDQ&RXUWRI$SSHDOVIROORZHG HQYLURQPHQW LQ ZKLFK WKH SROLFH VHFXUHG KLV FRQIHVVLRQl &UDQH86DW7KH&RXUWRSLQHGWKDW 7KH0LFKLJDQ&RXUWRI$SSHDOVDIILUPHGWKHFRQYLFWLRQ VXFFLQFWO\H[SODLQLQJLWVUDWLRQDOHDVIROORZV HYLGHQFHDERXWWKHPDQQHULQZKLFK D FRQIHVVLRQZDV REWDLQHG LV RIWHQ KLJKO\ UHOHYDQW WR LWV UHOLDELOLW\ DQG m:H ILQG QR DEXVH RI GLVFUHWLRQ LQ WKH WULDO FRXUWjV FUHGLELOLW\6XFKHYLGHQFHZDVHVSHFLDOO\UHOHYDQWLQWKH H[FOXVLRQRIHYLGHQFHRIWKHYLFWLPjVDOOHJHGSULRUDFWVRI UDWKHUSHFXOLDUFLUFXPVWDQFHVRIWKLVFDVH3HWLWLRQHUjV DEXVH DJDLQVW GHIHQGDQWjV DQG WKH YLFWLPj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l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mWDON JUDQWHG0UV5RFNZHOOOHDYHWRDPHQGKHUSHWLWLRQWRLQFOXGH WKHUDS\l ZDV mDOO EXW LQGLVSHQVDEOH WR DQ\ FKDQFH RI >KHU DQ XQH[KDXVWHG FODLP )ROORZLQJ D KHDULQJ DW ZKLFK GHIHQVH@VXFFHHGLQJl6HH&UDQH86DW,QGHHG DUJXPHQWV ZHUH SUHVHQWHG RQ WKH PHULWV WKH GLVWULFW FRXUW 3HWLWLRQHUjV HQWLUH GHIHQVH ZDV WKDW VKH SDUWLFLSDWHG LQ KHU VRQVj GLVFXVVLRQV DERXW NLOOLQJ 5RFNZHOO DV D PHDQV RI DOORZLQJWKHER\VWRYHQWWKHLUDQJHUIRU5RFNZHOO7KHVH DFWHG LQ FRQIRUPLW\ WKHUHZLWK RQ D SDUWLFXODU RFFDVLRQ GLVFXVVLRQV WKH GHIHQVH JRHV QHYHU DPRXQWHG WR DQ DJUHHPHQW WR NLOO IRU SXUSRVHV RI VHFXULQJ D FRQVSLUDF\ 5XOH o ZKLFK KDG DOVR EHHQ FLWHG LQ DUJXPHQW EHIRUH WKH VWDWH FRQYLFWLRQEXWZHUH3HWLWLRQHUjVZD\RIFRPIRUWLQJKHUVRQV WULDO FRXUW o SURYLGHV WKDW UHOHYDQW HYLGHQFH PD\ EH H[FOXGHG LI LWV DQGSUHYHQWLQJQRWFDXVLQJWKHDOUHDG\YRODWLOHVLWXDWLRQWR SUREDWLYH YDOXH LV VXEVWDQWLDOO\ RXWZHLJKHG E\ WKH GDQJHU RI XQIDLU HVFDODWH 7R VXSSRUW WKLV GHIHQVH 3HWLWLRQHU VRXJKW WR SUHMXGLFH 5RFNZHOOY Q@RUHDVRQDEOHMXULVWFRXOGFRQFOXGH DJUHHPHQW ZLWK KHU VRQV WR NLOO 5RFNZHOO 6LPSO\ SXW RWKHUZLVHl ZLWKRXWWKHHYLGHQFHDWLVVXHGHIHQVHFRXQVHOZDVXQDEOHWR IXOO\GHIHQG3HWLWLRQHU6HH'DYLV86DWILQGLQJ 7KHVRXQGQHVVRIWKLVSURSRVLWLRQZDVQRWGHFLGHGLQWKH WKDW ZLWKRXW HYLGHQFH RI ELDV RQ WKH SDUW RI WKH DFFXVHU LQLWLDODSSHDOWRRXUFRXUW7KHSDQHOWKDWKHDUGWKHDSSHDO GHIHQVHFRXQVHOZDVXQDEOHWRIXOO\GHIHQGWKHSHWLWLRQHU,Q YDFDWHG WKH MXGJPHQW RQ WKH JURXQG WKDW WKH GLVWULFW FRXUW OLJKW RI WKLV WKH VWDWH FRXUWV XQUHDVRQDEO\ DSSOLHG WKH VKRXOGQRWKDYHUHYLHZHGDmPL[HGlSHWLWLRQFRQWDLQLQJDQ SULQFLSOHV EHKLQG 'DYLV WR WKH IDFWV RI WKLV FDVH XQGHU DQ XQH[KDXVWHGFODLPLQDGGLWLRQWRWKHH[KDXVWHGFODLPV7KH REMHFWLYHVWDQGDUG FDVHZDVUHPDQGHGZLWKDVXJJHVWLRQWKDWWKHGLVWULFWFRXUW FRXOG UHHQWHU LWV RULJLQDO GHFLVLRQ DIWHU DOORZLQJ 0UV &UDQHY.HQWXFN\SURYLGHVIXUWKHUJURXQGVIRUFRQFOXGLQJ 5RFNZHOOWRGLVPLVVKHUXQH[KDXVWHGFODLP6HH5RFNZHOOY WKDW WKH VWDWH FRXUWV XQUHDVRQDEO\ DSSOLHG 6XSUHPH &RXUW LQJ@QRQHZ JURXQG LQ REVHUYLQJ WKDW DQ HVVHQWLDO FRPSRQHQW RI $V DPHQGHG E\ WKH $QWLWHUURULVP DQG (IIHFWLYH 'HDWK SURFHGXUDOIDLUQHVVLVDQRSSRUWXQLW\WREHKHDUGl6HHLGDW 3HQDOW\ $FW RI $('3$ 3XE / 1R FLWLQJ,QUH2OLYHU86*UDQQLV 6WDW VXEVHFWLRQ G RI 86& Y2UGHDQ867RWKDWHQGWKH&RXUW SURYLGHVLQUHOHYDQWSDUWDVIROORZV IRXQG WKDW WKLV mRSSRUWXQLW\ ZRXOG EH DQ HPSW\ RQH LI WKH 6WDWHZHUHSHUPLWWHGWRH[FOXGHFRPSHWHQWUHOLDEOHHYLGHQFH mG$QDSSOLFDWLRQIRUDZULWRIKDEHDVFRUSXVRQEHKDOI EHDULQJRQWKHFUHGLELOLW\RIDFRQIHVVLRQZKHQVXFKHYLGHQFH RIDSHUVRQLQFXVWRG\SXUVXDQWWRWKHMXGJPHQWRID6WDWH LVFHQWUDOWRWKHGHIHQGDQWjVFODLPRILQQRFHQFHl,G$VD FRXUWVKDOOQRWEHJUDQWHGZLWKUHVSHFWWRDQ\FODLPWKDW UHVXOWWKH&RXUWFRQFOXGHGWKDWm>L@QWKHDEVHQFHRIDQ\YDOLG ZDVDGMXGLFDWHGRQWKHPHULWVLQ6WDWHFRXUWSURFHHGLQJV VWDWH MXVWLILFDWLRQ H[FOXVLRQ RI WKLV NLQG RI H[FXOSDWRU\ XQOHVVWKHDGMXGLFDWLRQRIWKHFODLPo HYLGHQFHGHSULYHVDGHIHQGDQWRIWKHEDVLFULJKWWRKDYHWKH UHVXOWHG LQ D GHFLVLRQ WKDW ZDV FRQWUDU\ WR RU SURVHFXWRUjV FDVH HQFRXQWHU DQG µVXUYLYH WKH FUXFLEOH RI LQYROYHG DQ XQUHDVRQDEOH DSSOLFDWLRQ RI FOHDUO\ PHDQLQJIXO DGYHUVDULDO WHVWLQJjl ,G DW TXRWLQJ HVWDEOLVKHG)HGHUDOODZDVGHWHUPLQHGE\WKH6XSUHPH 8QLWHG6WDWHVY&URQLF86 &RXUWRIWKH8QLWHG6WDWHVl 5RFNZHOOY VXFK@ODZl KDYHEHHQSHUPLWWHGWRH[SRVHWRWKHMXU\WKHIDFWVIURP ZKLFK MXURUV DV WKH VROH WULHUV RI IDFW DQG FUHGLELOLW\ 0UV5RFNZHOOGRHVQRWFRQWHQGWKDWWKHDIILUPDQFHRIKHU FRXOG DSSURSULDWHO\ GUDZ LQIHUHQFHV UHODWLQJ WR WKH FRQYLFWLRQ E\ WKH VWDWH FRXUW RI DSSHDOV ZDV mFRQWUDU\ WRl UHOLDELOLW\RIWKHZLWQHVV3HWLWLRQHUZDVWKXVGHQLHGWKH FOHDU6XSUHPH&RXUWFDVHODZ6KHGRHVFRQWHQGKRZHYHU ULJKW RI HIIHFWLYH FURVVH[DPLQDWLRQ ZKLFK mZRXOG EH WKDWLWLQYROYHGDQXQUHDVRQDEOHDSSOLFDWLRQRIVXFKODZRQ FRQVWLWXWLRQDOHUURURIWKHILUVWPDJQLWXGHl ZKLFKDFFRXQWVKHFODLPVHQWLWOHPHQWWRIHGHUDOKDEHDVUHOLHI ,GDWFLWDWLRQVDQGIRRWQRWHRPLWWHG )RUWKLVFRQWHQWLRQWREHVXVWDLQHG0UV5RFNZHOOQHHGVWR GR PRUH WKDQ SHUVXDGH XV WKDW WKH 0LFKLJDQ MXGLFLDU\jV +HUH OLNHZLVH WKH mDFFXUDF\ DQG WUXWKIXOQHVVl RI DSSOLFDWLRQ RI IHGHUDO ODZ ZDV LQFRUUHFW $V sXVWLFH 3HWLWLRQHUjVWHVWLPRQ\ZDVFULWLFDOWRWKHSURVHFXWLRQjVFDVH 2j&RQQRUVDLGVSHDNLQJIRUWKH&RXUWLQ:LOOLDPV DJDLQVWKHUDQGEHFDXVHGHIHQVHFRXQVHOZDVOLPLWHGLQKLV H[DPLQDWLRQ RI 3HWLWLRQHU DV WR KHU mWDON WKHUDS\l GHIHQVH m,Q G &RQJUHVV VSHFLILFDOO\ XVHG WKH ZRUG mWKHMXU\PLJKWZHOOKDYHWKRXJKWWKDWGHIHQVHFRXQVHOZDV µXQUHDVRQDEOHj DQG QRW D WHUP OLNH µHUURQHRXVj RU HQJDJHGLQDVSHFXODWLYHlWKHRU\RIGHIHQVH6HH'DYLV µLQFRUUHFWj 8QGHU GjV µXQUHDVRQDEOH 86DW+RZHYHUKDGGHIHQVHFRXQVHOEHHQDEOHWR DSSOLFDWLRQjFODXVHWKHQDIHGHUDOKDEHDVFRXUWPD\QRW H[DPLQH3HWLWLRQHUUHJDUGLQJWKHEDVLVIRUKHUmWDONWKHUDS\l LVVXHWKHZULWVLPSO\EHFDXVHWKDWFRXUWFRQFOXGHVLQLWV WKHRU\WKHMXU\PLJKWZHOOKDYHWKRXJKWRWKHUZLVH,QGHHG LQGHSHQGHQW MXGJPHQW WKDW WKH UHOHYDQW VWDWHFRXUW ZLWKRXWPRUH3HWLWLRQHUjVmWDONWKHUDS\lDVDEDVLVIRUWKH GHFLVLRQ DSSOLHG FOHDUO\ HVWDEOLVKHG IHGHUDO ODZ ER\VWRYHQWWKHLUKDWUHGIRUWKHLUIDWKHUPD\YHU\ZHOOKDYH HUURQHRXVO\RULQFRUUHFWO\5DWKHUWKDWDSSOLFDWLRQPXVW ZRUNHG DJDLQVW 3HWLWLRQHU LQDVPXFK DV WKH MXU\ PD\ KDYH EHOLHYHGWKDW3HWLWLRQHUjVVRQVKDWHGWKHLUIDWKHUEHFDXVHKH GHPDQGHGWKDWWKH\H[FHOLQVFKRRORUVWULFWO\SUHYHQWHGWKHP IURPXVLQJGUXJVRUDOFRKRO,QRWKHUZRUGVZLWKRXWPRUH WKHMXU\PD\KDYHWKRXJKWWKHVRQVKDWHG5RFNZHOOEHFDXVH KHZDVEHLQJDJRRGDOEHLWSHUKDSVVWULFWIDWKHUVXFKWKDW 7KH FRQGLWLRQ RI WKLV mFRQWUDU\ WRl FODXVH ZRXOG EH PHW LI mWKH VWDWH FRXUW DUULYH>G@ DW D FRQFOXVLRQ RSSRVLWH WR WKDW UHDFKHG E\ >WKH 86 6XSUHPH@ &RXUW RQ D TXHVWLRQ RI ODZ RU LI WKH VWDWH FRXUW GHFLGH>G@ D FDVH 3HWLWLRQHUjVDSSURYDORIWKHER\VVSHDNLQJRINLOOLQJ5RFNZHOO DV D IRUP RI mWDON WKHUDS\l PD\ KDYH KXUW KHU GHIHQVH DV :LOOLDPV GLIIHUHQWO\ WKDQ >WKH 86 6XSUHPH &RXUW KDV@ RQ D VHW RI PDWHULDOO\ LQGLVWLQJXLVKDEOH IDFWVl 86 DW 5RFNZHOOY $@Q XQUHDVRQDEOH DSSOLFDWLRQ RI IHGHUDO ODZ LV GLIIHUHQW RPLWWHGVHHDOVR6WULFNODQGY:DVKLQJWRQ86 IURPDQLQFRUUHFWRUHUURQHRXVDSSOLFDWLRQRIIHGHUDOODZl m7KH &RQVWLWXWLRQ JXDUDQWHHV D IDLU WULDO ,G DW HPSKDVLV LQ RULJLQDO $QG LQ PDNLQJ WKH WKURXJK WKH 'XH 3URFHVV &ODXVHV EXW LW GHILQHV WKH EDVLF mXQUHDVRQDEOHDSSOLFDWLRQlLQTXLU\ZHmVKRXOGDVNZKHWKHU HOHPHQWVRIDIDLUWULDOODUJHO\WKURXJKWKHVHYHUDOSURYLVLRQV WKHVWDWHFRXUWjVDSSOLFDWLRQRIFOHDUO\HVWDEOLVKHGIHGHUDOODZ RIWKH6L[WK$PHQGPHQWl$FFRUGLQJO\WKHIDFWWKDW ZDVµREMHFWLYHO\jXQUHDVRQDEOHl,GDW 'DYLVLQYROYHGWKH6L[WK$PHQGPHQWGRHVQRWKLQJWRFKDQJH LWVDSSOLFDELOLW\WRWKHPDWWHUDWKDQGLQDVPXFKDVWKHORJLF ,Q0UV5RFNZHOOjVFDVHDVZHKDYHVHHQWKH0LFKLJDQ DQGUHDVRQLQJIRUFRQFOXGLQJWKDW3HWLWLRQHUZDVGHQLHGKHU &RXUWRI$SSHDOVFRQFOXGHGWKDWWKHSUREDWLYHYDOXHRIWKH GXHSURFHVVULJKWWRSUHVHQWDGHIHQVHLVWKHVDPHDVWKDWXVHG HYLGHQFHRI(GZDUG5RFNZHOOjVDOOHJHGDEXVHRIKLVVRQVZDV WRILQGWKHSHWLWLRQHUj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mSDUWLFXODUO\ LQVWUXFWLYHl LV 'DYLV Y $ODVND 86 NH\ZLWQHVV6HH'DYLV86DW6SHFLILFDOO\WKH 7KHTXHVWLRQSUHVHQWHGWKHUHZDVZKHWKHUXQGHUWKH &RXUWRSLQHG &RQIURQWDWLRQ&ODXVHRIWKH6L[WK$PHQGPHQWWKHGHIHQGDQW LQ D EXUJODU\ FDVH o SHWLWLRQHU sRVKDZD\ 'DYLV o KDG D 7KH DFFXUDF\ DQG WUXWKIXOQHVV RI *UHHQjV >WKH NH\ FRQVWLWXWLRQDOULJKWWRFURVVH[DPLQHDFUXFLDOZLWQHVVIRUWKH ZLWQHVVIRUWKHSURVHFXWLRQ@WHVWLPRQ\ZHUHNH\HOHPHQWV SURVHFXWLRQDERXWDMXYHQLOHEXUJODU\DGMXGLFDWLRQIRUZKLFK LQWKH6WDWHjVFDVHDJDLQVWSHWLWLRQHU7KHFODLPRIELDV WKHZLWQHVVZDVRQSUREDWLRQ7KHSXUSRVHRIWKHSURSRVHG ZKLFKWKHGHIHQVHVRXJKWWRGHYHORSZDVDGPLVVLEOHWR FURVVH[DPLQDWLRQ ZDV WR WU\ WR FRQYLQFH WKH MXU\ WKDW WKH DIIRUGDEDVLVIRUDQLQIHUHQFHRIXQGXHSUHVVXUHEHFDXVH ZLWQHVVKDGIDOVHO\ILQJHUHGsRVKDZD\'DYLVRXWRIIHDUWKDW RI*UHHQjVYXOQHUDEOHVWDWXVDVDSUREDWLRQHUDVZHOODV RWKHUZLVH WKH ZLWQHVV KLPVHOI ZRXOG EH D VXVSHFW DQG KLV *UHHQjVSRVVLEOHFRQFHUQWKDWKHPLJKWEHDVXVSHFWLQ SUREDWLRQZRXOGEHUHYRNHG7KH6XSUHPH&RXUWKHOGWKDW WKHLQYHVWLJDWLRQ 'DYLVKDGDFRQVWLWXWLRQDOULJKWWRFRQIURQWWKHZLWQHVVZLWK TXHVWLRQVDORQJWKHVHOLQHV :H FDQQRW DFFHSW WKH $ODVND 6XSUHPH &RXUWjV FRQFOXVLRQWKDWWKHFURVVH[DPLQDWLRQWKDWZDVSHUPLWWHG m&URVVH[DPLQDWLRQ LV WKH SULQFLSDO PHDQV E\ ZKLFK WKH GHIHQVHFRXQVHOZDVDGHTXDWHWRGHYHORSWKHLVVXHRIELDV EHOLHYDELOLW\RIDZLWQHVVDQGWKHWUXWKRIKLVWHVWLPRQ\DUH SURSHUO\WRWKHMXU\:KLOHFRXQVHOZDVSHUPLWWHGWRDVN WHVWHGl DV WKH 'DYLV &RXUW H[SODLQHG $JDLQVW WKLV *UHHQ ZKHWKHU KH ZDV ELDVHG FRXQVHO ZDV XQDEOH WR EDFNJURXQGWKH&RXUWFRQFOXGHGWKDWmWKHMXURUVZHUHHQWLWOHG WRKDYHWKHEHQHILWRIWKHGHIHQVHWKHRU\EHIRUHWKHPVRWKDW 5RFNZHOOY WKHMXYHQLOHjV@WHVWLPRQ\ZKLFKSURYLGHGµDFUXFLDO ZLWQHVVLVWKHVDPH OLQNLQWKHSURRIRISHWLWLRQHUjVDFWjl,GDWDQG FLWDWLRQRPLWWHG 7KH PDMRULW\ FRQWHQGV WKDW WKH UHVXOW LV QRW WKH VDPH LQDVPXFK DV HYLGHQFH RI 5RFNZHOOjV DOOHJHG VH[XDO DEXVH ,Q WKH FDVH DW EDU E\ FRQWUDVW WKH HYLGHQFH WKDW 0U DFFRUGLQJWRWKHPDMRULW\mZDVEHLQJSURIIHUHGWRQRWVKRZ 5RFNZHOO KDG DEXVHG KLV VRQV ZDV EHLQJ SURIIHUHG WR QRW ELDVRQWKHSDUWRIDFUXFLDOZLWQHVVDJDLQVW>3HWLWLRQHU@EXW VKRZ ELDV RQ WKH SDUW RI D FUXFLDO ZLWQHVV DJDLQVW 0UV WRVKRUHXS>3HWLWLRQHUjV@RZQSURMHFWHGWHVWLPRQ\DERXWKHU 5RFNZHOO EXW WR VKRUH XS 0UV 5RFNZHOOjV RZQ SURMHFWHG µWKHUDS\jl 7KH VKRUWVLJKWHGQHVV RI WKLV FRQWHQWLRQ LV WKDW WHVWLPRQ\ DERXW KHU mWKHUDS\l 7KH 0LFKLJDQ &RXUW RI 3HWLWLRQHUjVWHVWLPRQ\DVWRWKHUHDVRQIRUKHUmWDONWKHUDS\l $SSHDOV UHFRJQL]HG WKDW WKH VH[XDO DEXVH HYLGHQFH ZDV ZDVWKDWRIDFUXFLDOZLWQHVVDOEHLWDZLWQHVVIRUWKHGHIHQVH PDUJLQDOO\UHOHYDQWEXWWKHFRXUWFRQFOXGHGWKDWLWVSUREDWLYH DQGQRWWKHSURVHFXWLRQZKRVHWHVWLPRQ\ZHQWGLUHFWO\WRWKH YDOXHZDVVXEVWDQWLDOO\RXWZHLJKHGE\WKHGDQJHURIXQIDLU VWDWHjV FODLP DJDLQVW KHU &RQWUDU\ WR WKH PDMRULW\jV SUHMXGLFH o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msXVW DV DQ ZULWWHQ ODZ WKH MXU\ PLJKW XVH WKH HYLGHQFH WR UHDFK DQ DFFXVHGKDVWKHULJKWWRFRQIURQWWKHSURVHFXWLRQjVZLWQHVVHV LPSURSHU UHVXOW XQGHU WKH XQZULWWHQ ODZ ,Q VWULNLQJ WKH IRUWKHSXUSRVHRIFKDOOHQJLQJWKHLUWHVWLPRQ\KHKDVWKHULJKW EDODQFHDVLWGLGWKH0LFKLJDQFRXUW PD\ RUPD\QRWKDYH WRSUHVHQWKLVRZQZLWQHVVHVWRHVWDEOLVKDGHIHQVH7KLVULJKW HUUHGEXWZHDUHQRWSHUVXDGHGWKDWLWZDVDSSO\LQJ'DYLVY LVDIXQGDPHQWDOHOHPHQWRIGXHSURFHVVRIODZl,QHDFK $ODVNDRUDQ\RWKHU8QLWHG6WDWHV6XSUHPH&RXUWGHFLVLRQRI LQVWDQFHWKHWHVWLPRQ\ZHQWWRGHWHUPLQLQJWKHSHWLWLRQHUjV ZKLFKZHDUHDZDUHLQDZD\WKDWFRXOGIDLUO\EHGHVFULEHGDV JXLOWDQGWKHUHIRUHLQHDFKLQVWDQFHmWKHMXURUVZHUHHQWLWOHG mREMHFWLYHO\XQUHDVRQDEOHl WRKDYHWKHEHQHILWRIWKHGHIHQVHWKHRU\EHIRUHWKHPVRWKDW WKH\FRXOGPDNHDQLQIRUPHGMXGJPHQWDVWRWKHZHLJKWWR 7KHFRQVWLWXWLRQDOULJKWDVVHUWHGE\0UV5RFNZHOOLVQRW SODFHRQ>WKHZLWQHVVj@WHVWLPRQ\ZKLFKSURYLGHGDFUXFLDO WKH6L[WK$PHQGPHQWULJKWRIFRQIURQWDWLRQRIFRXUVHEXWD OLQNLQWKHSURRIRISHWLWLRQHUjVDFWl'DYLV86DW )LIWK$PHQGPHQWGXHSURFHVVULJKWoWKHULJKWWRSUHVHQWD LQWHUQDOTXRWDWLRQPDUNVDQGFLWDWLRQRPLWWHG GHIHQVH $V WKH GLVWULFW FRXUW SURSHUO\ DFNQRZOHGJHG WKH ULJKWWRSUHVHQWDGHIHQVHLVQRWDQXQOLPLWHGULJKWWRSUHVHQW 7KHPDMRULW\DOVRDWWHPSWVWRGLVWLQJXLVK'DYLVE\QRWLQJ HYLGHQFHZLWKRXWUHJDUGWRUHDVRQDEOHHYLGHQWLDU\UHVWULFWLRQV WKDW'DYLVLQYROYHGWKHSHWLWLRQHUjV6L[WK$PHQGPHQWULJKW 2QWKHFRQWUDU\WKHFRXUWSRLQWHGRXWTXRWLQJIURP8QLWHG WRFRQIURQWDWLRQZKLOHWKHFDVHDWKDQGLQYROYHV3HWLWLRQHUjV 6WDWHV Y 6FKHIIHU 86 WKH 6XSUHPH )LIWK$PHQGPHQWULJKWWRSUHVHQWDGHIHQVH7KLVGLVWLQFWLRQ &RXUWKDVH[SOLFLWO\UHFRJQL]HGWKDWm>D@GHIHQGDQWjVLQWHUHVW KDVQREDVLVLQWKHMXULVSUXGHQFHRIWKH6XSUHPH&RXUW6HH LQ SUHVHQWLQJ HYLGHQFH PD\ >KDYH WR@ ERZ WR &UDQH Y .HQWXFN\ 86 m:KHWKHU DFFRPPRGDWHRWKHUOHJLWLPDWHLQWHUHVWVLQWKHFULPLQDOWULDO URRWHGGLUHFWO\LQWKH'XH3URFHVV&ODXVHRIWKH)RXUWHHQWK 5RFNZHOOY WKHZLWQHVVj@WHVWLPRQ\ ZKLFKSURYLGHGDFUXFLDOOLQNLQWKHSURRIRISHWLWLRQHUjV mVWDWHDQGIHGHUDOUXOHPDNHUVKDYHEURDGODWLWXGHXQGHU DFWl,GLQWHUQDOTXRWDWLRQPDUNVDQGFLWDWLRQRPLWWHG7KH WKH &RQVWLWXWLRQ WR HVWDEOLVK UXOHV H[FOXGLQJ HYLGHQFH &RXUWUHDVRQHGWKDWm>W@KHDFFXUDF\DQGWUXWKIXOQHVVRI>WKH IURP FULPLQDO WULDOV 6XFK UXOHV GR QRW DEULGJH DQ ZLWQHVVj@WHVWLPRQ\ZHUHNH\HOHPHQWVLQWKH6WDWHjVFODLP DFFXVHGjVULJKWWRSUHVHQWDGHIHQVHVRORQJDVWKH\DUH DJDLQVWWKHSHWLWLRQHUl,G QRWµDUELWUDU\jRUµGLVSURSRUWLRQDWHWRWKHSXUSRVHVWKH\ DUH GHVLJQHG WR VHUYHjl 6FKHIIHU 86 DW 6LPLODUO\LQWKHPDWWHUDWKDQGWKHDFFXUDF\RI3HWLWLRQHUjV FLWDWLRQVRPLWWHG WHVWLPRQ\ZHQWWRDNH\HOHPHQWLQWKHVWDWHjVFODLPDJDLQVW KHULQDVPXFKDVZKHWKHUWKHWDONRINLOOLQJ5RFNZHOOZDVDQ 7KH &RQVWLWXWLRQ GRHV WR EH VXUH mJXDUDQWHH>@ FULPLQDO DJUHHPHQWIRUSXUSRVHVRIVHFXULQJDFRQVSLUDF\FRQYLFWLRQ GHIHQGDQWVµDPHDQLQJIXORSSRUWXQLW\WRSUHVHQWDFRPSOHWH GHSHQGHG XSRQ ZKHWKHU WKH MXU\ EHOLHYHG 3HWLWLRQHUjV GHIHQVHjl &UDQH Y .HQWXFN\ 86 mWKHUDS\GHIHQVHl7KHFUHGLELOLW\RI3HWLWLRQHUjVWHVWLPRQ\ FLWDWLRQV RPLWWHG HPSKDVLV VXSSOLHG 7KDW JXDUDQWHH LQSUHVHQWLQJWKLVGHIHQVHLQWXUQGHSHQGHGXSRQZKHWKHUWKH ZRXOG KDYH EHHQ YLRODWHG KHUH QR GRXEW LI WKH 0LFKLJDQ MXU\ZDVDZDUHRIDOORIWKHHYLGHQFHVXSSRUWLQJLWoLQFOXGLQJ FRXUWV KDG SUHYHQWHG 0UV 5RFNZHOO IURP LQWURGXFLQJ DQ\ HYLGHQFHRI5RFNZHOOjVDOOHJHGVH[XDODEXVHoVRWKDWWKHMXU\ WHVWLPRQ\ EHDULQJ RQ WKH FLUFXPVWDQFHV XQGHU ZKLFK WKH mFRXOGPDNHDQLQIRUPHGMXGJPHQWDVWRWKHZHLJKWWRSODFH GLVFXVVLRQVZLWKKHUVRQVZHUHFRQGXFWHG%XWWKDWGLGQRW RQl 3HWLWLRQHUjV WHVWLPRQ\ 6HH 'DYLV 86 DW KDSSHQ 7KH VWDWH WULDO FRXUWjV UXOLQJ GLG QRW EDU 0UV $OWKRXJK LW LV WUXH WKDW LQ 'DYLV WKH FUHGLELOLW\ RI WKH 5RFNZHOOIURPWHVWLI\LQJWKDWKHUVRQVKDWHGWKHLUIDWKHU,W WHVWLPRQ\ DW LVVXH ZDV WKDW RI D NH\ ZLWQHVV IRU WKH GLGQRWEDUKHUIURPH[SODLQLQJWKDWWKHER\VKDGEHHQEHDWHQ SURVHFXWLRQZKLOHLQWKHPDWWHUDWKDQGWKHFUHGLELOLW\RIWKH DQGVXEMHFWHGWRSV\FKRORJLFDODEXVHE\WKHPDQWKH\WDONHG WHVWLPRQ\ DW LVVXH LV WKDW RI 3HWLWLRQHU WKH HQG UHVXOW RI 5RFNZHOOY
Copyright © 2024 by eLaws. All rights reserved.