Court of Appeals for the Sixth Circuit
Document Info
DocketNumber： 99-2306
Filed Date： 5/23/2001
Status： Precedential
Modified Date： 3/3/2016
-
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 ! 3+,//,3 s$0(6 *5((1( 'HIHQGDQW$SSHOODQW 1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW 1R n$UWKXUs7DUQRZ'LVWULFWsXGJH 6XEPLWWHG 0DUFK 'HFLGHGDQG)LOHG 0D\ %HIRUH &2/(DQG*,/0$1&LUFXLWsXGJHV $/'5,&+ 'LVWULFWsXGJH BBBBBBBBBBBBBBBBB &2816(/ 21 %5,() :LOOLDP : 6ZRU 'HWURLW 0LFKLJDQ IRU $SSHOODQW 3DWULFLD * *DHGHNH $66,67$17 81,7(' 67$7(6$77251( $UQROGjV@ ER\ \RX ZLOO ILQG VWXIIWKHUHl,G ,Q KLV DIILGDYLW /W +LOOHU DOVR DYHUUHG WKDW KH ZDV LQ FRQWDFWZLWKIHGHUDOODZHQIRUFHPHQWRIILFHUV7KHVHIHGHUDO RIILFHUVKDGUHFHLYHGLQIRUPDWLRQIURPDFRQILGHQWLDOVRXUFH mWKDWKDVSURYHQFUHGLWDEOHLQWKHSDVWKDVEHHQXVHGLQERWK 6WDWH DQG )HGHUDO VHDUFK ZDUUDQWV DQG KDV SURYLGHG LQIRUPDWLRQWKDWKDVUHVXOWHGLQQXPHURXVIHORQ\DUUHVWVl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m*UDQQ\l/W+LOOHUDYHUVWKDWWKH*333ROLFHFRQGXFWHGD VHDUFKRI0DUOERURXJKRQsDQXDU\ ZKHUHWKH\ IRXQGmQXPHURXVLWHPVEHOLHYHGWREHVWROHQLQFOXGLQJLWHPV IURPUHVLGHQWLDOKRPHLQYDVLRQVLQ*33l,G 8QLWHG6WDWHVY*UHHQH 1R 1R 8QLWHG6WDWHVY*UHHQH 7KH LQIRUPDQW DOVR VWDWHG WKDW LQ 6HSWHPEHU RI m7KH SODFH WR EH VHDUFKHG ZDV WKH GHIHQGDQW V KRPH *UHHQH SXUFKDVHG D VKLSPHQW RI JXQV DQG KDG EHHQ VXJJHVWLQJWKDWWKHUHZDVVRPHSHUPDQHQFHWRWKHGHIHQGDQW V DWWHPSWLQJWRVHOOWKRVHJXQV7KHVHLQFOXGHGmPDJV EDVHRIRSHUDWLRQl ,QWKLVFDVHWKHFRQILGHQWLDOLQIRUPDQW FDODQGDXWRPDWLFVlDVZHOODQm0DXWRULIOHl,G KLPVHOI QRWHG WKDW HYLGHQFH RI QDUFRWLFV WUDIILFNLQJ IURP 7KH LQIRUPDQW DOVR VWDWHG WKDW LQ ODWH KH REVHUYHG $VKODQG ZDV FRQWLQXRXV DQG RQJRLQJ KDYLQJ FRPSXWHUVLQWKHEDVHPHQWDQGDWWLFRIWKHKRXVHORFDWHGDW SXUFKDVHGQDUFRWLFVDWWKHGZHOOLQJDWOHDVWWZHOYHWLPHV7KH $VKODQG FRQILGHQWLDOLQIRUPDQWIXUWKHUVWDWHGWKDWRQ'HFHPEHU ,YRU\ &RVWQHU GHOLYHUHG D SDFNDJH IURP %DVHGRQWKLVLQIRUPDWLRQ/W+LOOHUUHTXHVWHGDZDUUDQWWR $VKODQG WR m*UDQQ\l D NQRZQ PDULMXDQD GHDOHU 6XFK VHDUFK WKH HQWLUH FXUWLODJH DQG GZHOOLQJ RI LQIRUPDWLRQDOVRFRQWULEXWHVWRDILQGLQJWKDWWKHLQIRUPDWLRQ $VKODQG7KHZDUUDQWVSHFLILHGDVXQGU\OLVWRIVSHFLILFLWHPV ZDVQRWVWDOH WREHVHL]HGZKLFKZHUHDOOHJHGO\WDNHQLQKRPHLQYDVLRQV UHSRUWHGWRWKH*333ROLFH7KLVOLVWGHVFULEHGWKHLWHPVWREH *UHHQH QH[W DUJXHV WKDW WKH FRQILGHQWLDO LQIRUPDQWjV VHL]HGLQGHWDLOLQFOXGLQJWKHVSHFLILFPDNHPRGHODQGLQ REVHUYDWLRQRIFRPSXWHUVORFDWHGLQWKHEDVHPHQWDQGDWWLFRI VRPH FDVHV WKH VHULDO QXPEHUV RI QXPHURXV FRPSXWHUV $VKODQG LV VWDOH *UHHQH QRWHV WKDW WKH KRPH FHOOXODUSKRQHVILUHDUPVWHOHYLVLRQVDQG9&5VsHZHOU\DQG LQYDVLRQVLQYHVWLJDWHGE\/W+LOOHURFFXUUHGLQWKHODVWWKUHH DSSDUHO ZHUH LGHQWLILHG E\ WKHLU SK\VLFDO GHVFULSWLRQ PRQWKV RI 6LQFH WKH FRQILGHQWLDO LQIRUPDQW ODVW H[DPSOHVLQFOXGHGmODSHOSLQWHDOEOXHZLWKSHDUOVZLWKJROGl REVHUYHGFRPSXWHUVLQ $VKODQGLQODWH WKH\ DQGmZRPHQjVEURZQSXUVHZLWKµ)jRQLWl,GDW FDQQRWEHWKHVDPHFRPSXWHUVVRXJKWE\WKH*333ROLFH 7KHZDUUDQWDOVRLQFOXGHGVHYHUDOFDWFKDOOSKUDVHV$WWKH :KLOH WKH FRPSXWHUV LQ WKH EDVHPHQW DQG DWWLF RI HQG RI WKH GHWDLOHG OLVW RI LWHPV SUHYLRXVO\ GHVFULEHG WKH $VKODQG LQ ODWH FDQQRW D SULRUL EH WKH ZDUUDQWUHTXHVWHGVHL]XUHRImDQ\RWKHUSURSHUW\WKDWZKLFKLV FRPSXWHUVVWROHQLQFULPHVRFFXUULQJLQ /W+LOOHUQRWHV QRWLGHQWLILHGDVWKHRFFXSDQWV VLF SHUVRQDOSURSHUW\l,G WKDWVHYHUDOFRPSXWHUVZHUHVWROHQLQODWH WKURXJKKRPH 7KHZDUUDQWDOVRLQFOXGHGDOLVWRIJHQHUDOLWHPVWREHVHL]HG m% (VlRFFXUULQJLQ*URVVH3RLQWH3DUN&RQVHTXHQWO\WKH FRQILGHQWLDO LQIRUPDQWj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mUHIUHVKl VWDOH LQIRUPDWLRQ 6SLNHV )G DW +HUH LQIRUPDWLRQ FRQFHUQLQJ ,G DOOHJHGO\ VWROHQ FRPSXWHUV LQ ZDV UHIUHVKHG E\ FRUURERUDWLRQIURP+RXVWRQWKDWVWROHQSURSHUW\ZDVGLVSRVHG ,QWKHLQVWDQWDSSHDO*UHHQHDUJXHVWKDWWKHVHDUFKZDUUDQW RIDW $VKODQGLQODWH LV LQYDOLG RQ LWV IDFH DQG WKH GLVWULFW FRXUWjV GHQLDO RI KLV PRWLRQWRVXSSUHVVWKHHYLGHQFHREWDLQHGWKURXJKH[HFXWLRQ 6LQFHWKHLQIRUPDWLRQLQWKHDIILGDYLWLVQRWVWDOHZHDIILUP RIWKHZDUUDQWZDVLPSURSHU7KHJRYHUQPHQWRSSRVHV WKHGLVWULFWFRXUWRQWKLVFODLP 8QLWHG6WDWHVY*UHHQH 1R 1R 8QLWHG6WDWHVY*UHHQH FDXVHH[LVWVWRLVVXHWKHZDUUDQW6HHLGDW $VQRWHG ,,$QDO\VLV HDUOLHUWKLV&RXUWZLOORQO\UHYHUVHDPDJLVWUDWHjVGHFLVLRQWR JUDQW D ZDUUDQW LI LW ZDV DUELWUDULO\ H[HUFLVHG 6HH 8QLWHG *UHHQHPDNHVWKUHHDUJXPHQWVDVWRZK\WKHVHDUFKZDUUDQW 6WDWHVY6SLNHV)G WK&LU LQ WKLV FDVH ZDV LPSURSHUO\ JUDQWHG WKH ZDUUDQW ZDV RYHUEURDG WKHDIILGDYLWXVHGWRVXSSRUWWKHZDUUDQWZDV 7KLV &RXUW KDV SUHYLRXVO\ VWDWHG WKDW mWKH IXQFWLRQ RI D LQDGHTXDWH DQG WKHLQIRUPDWLRQLQWKHDIILGDYLWZDVVWDOH VWDOHQHVVWHVWLQWKHVHDUFKZDUUDQWFRQWH[WLVQRWWRFUHDWHDQ 7KLVVHFWLRQZLOODGGUHVVHDFKDUJXPHQWLQWXUQLGHQWLI\LQJ DUELWUDU\WLPHOLPLWDWLRQZLWKLQZKLFKGLVFRYHUHGIDFWVPXVW WKH DSSOLFDEOH VWDQGDUG RI UHYLHZ IRU HDFK FODLP DQG WKHQ EHSUHVHQWHGWRDPDJLVWUDWHl,GDW &DQDQ)GDW DSSO\LQJWKDWVWDQGDUGWRWKHIDFWVRIWKHFDVH 5DWKHU D VWDOHQHVV GHWHUPLQDWLRQ VKRXOG EH IOH[LEOH UHVWLQJRQQXPHURXVIDFWRUVVXFKDV $3DUWLFXODULW\DQG2YHUEUHDGWK >7@KH FKDUDFWHU RI WKH FULPH FKDQFH HQFRXQWHU LQ WKH *UHHQHILUVWDUJXHVWKDWWKHODQJXDJHRIWKHVHDUFKZDUUDQW QLJKWRUUHJHQHUDWLQJFRQVSLUDF" WKHFULPLQDO QRPDGLF LVRYHUEURDG7KH)RXUWK$PHQGPHQWVWDWHVmQR:DUUDQWV RUHQWUHQFKHG" WKHWKLQJWREHVHL]HG SHULVKDEOHDQG VKDOOLVVXHEXWXSRQSUREDEOHFDXVHVXSSRUWHGE\2DWKRU HDVLO\WUDQVIHUDEOHRURIHQGXULQJXWLOLW\WRLWVKROGHU" DIILUPDWLRQ DQG SDUWLFXODUO\ GHVFULELQJ WKH SODFH WR EH WKH SODFH WR EH VHDUFKHG PHUH FULPLQDO IRUXP RI VHDUFKHG DQG WKH SHUVRQV RU WKLQJV WR EH VHL]HGl 86 FRQYHQLHQFHRUVHFXUHRSHUDWLRQDOEDVH" &2167 DPHQG,93DUWLFXODULW\mHOLPLQDWHVWKHGDQJHURI XQOLPLWHGGLVFUHWLRQLQWKHH[HFXWLQJRIILFHUjVGHWHUPLQDWLRQ 6SLNHV )G DW FLWLQJ $QGUHVHQ Y 6WDWH 0G RIZKDWLVVXEMHFWWRVHL]XUHl6HH8QLWHG6WDWHVY%ODNHQH\ $SS$G 0G&W6SHF$SS )G WK&LU :KLOHDmJHQHUDORUGHU WRH[SORUHDQGUXPPDJHlLVQRWSHUPLWWHGLGmWKHGHJUHHRI *UHHQHILUVWDUJXHVWKDWWKHLQIRUPDWLRQFRQFHUQLQJGUXJ VSHFLILFLW\UHTXLUHGLVIOH[LEOHDQGZLOOYDU\GHSHQGLQJRQWKH WUDIILFNLQJ DFWLYLW\ DW $VKODQG LV VWDOH ,Q WKH FULPHLQYROYHGDQGWKHW\SHVRILWHPVVRXJKWl8QLWHG6WDWHV DIILGDYLW WKH FRQILGHQWLDO LQIRUPDQW QRWHG WKDW KH KDG ODVW Y $EOHV )G WK &LU VHH DOVR SXUFKDVHG GUXJV DW $VKODQG LQ )HEUXDU\ %ODNHQH\ )GDW&RQVHTXHQWO\DGHVFULSWLRQ 6LQFH WKH VHDUFK ZDV QRW H[HFXWHG XQWLO sDQXDU\ LVmYDOLGLILWLVDVVSHFLILFDVWKHFLUFXPVWDQFHVDQGWKHQDWXUH PRQWKV DIWHU WKH FRQILGHQWLDO LQIRUPDQWjV ODVW SXUFKDVH RIWKHDFWLYLW\XQGHULQYHVWLJDWLRQSHUPLWl$EOHV)G *UHHQHDUJXHVWKDWWKHLQIRUPDWLRQLVVWDOH DW +RZHYHU LQILUPLW\ GXH WR RYHUEUHDGWK GRHV QRW GRRPWKHHQWLUHZDUUDQW UDWKHULWmUHTXLUHVWKHVXSSUHVVLRQ *UHHQHjVDUJXPHQWLVXQSHUVXDVLYH(YLGHQFHRIRQJRLQJ RIHYLGHQFHVHL]HGSXUVXDQWWRWKDWSDUWRIWKHZDUUDQW FULPLQDODFWLYLW\ZLOOJHQHUDOO\GHIHDWDFODLPRIVWDOHQHVV EXWGRHVQRWUHTXLUHWKHVXSSUHVVLRQRIDQ\WKLQJGHVFULEHGLQ 6HH &DQDQ )G DW WKRXJK FRQGXFW GHVFULEHG LQ WKHYDOLGSRUWLRQVRIWKHZDUUDQW RUODZIXOO\VHL]HGoRQSODLQ DIILGDYLW ZDV IRXU \HDUV ROG HYLGHQFH RI RQJRLQJ QDWXUH YLHZJURXQGVIRUH[DPSOHoGXULQJWKHLUH[HFXWLRQ l8QLWHG GHIHDWHGFODLPRIVWDOHQHVV 0RUHRYHUZKHUHWKHFULPLQDO 6WDWHV Y %URZQ )G WK &LU DFWLYLW\RFFXUUHGLQDmVHFXUHRSHUDWLRQDOEDVHlWKHSDVVDJH LQWHUQDOTXRWHVDQGFLWDWLRQRPLWWHG 7KLV&RXUWUHYLHZVGH RI WLPH EHFRPHV OHVV VLJQLILFDQW 6SLNHV )G DW QRYR D GLVWULFW FRXUWjV GHWHUPLQDWLRQ RI SDUWLFXODULW\ 6HH ZKHUHKRXVHKDGEHFRPHmSULPDU\VRXUFHRIFUDFNFRFDLQH 8QLWHG6WDWHVY'XUN )G WK&LU LQWRZQDQGZDVUHJXODUO\EHLQJPDQXIDFWXUHGRQWKH SUHPLVHVl YLQWDJH RI LQIRUPDWLRQ OHVV LPSRUWDQW 8QLWHG *UHHQH DUJXHV WKDW WZR FODXVHV RI WKH ZDUUDQW DUH 6WDWHVY W@KHUHZDVQRVSHFLILF ODQJXDJHWKDWLQGLFDWHGWKDWWKHRIILFHUVVKRXOGVHDUFKIRU>@ )LQDOO\*UHHQHDUJXHVWKDWWKHLQIRUPDWLRQLQWKHDIILGDYLW WKHVSHFLILFJXQVWKDWZHUHVHL]HGIURPWKHUHVLGHQFHVlWKLV LVVWDOH7KHVWDQGDUGRIUHYLHZIRUDVWDOHQHVVGHWHUPLQDWLRQ FODXVHLVRYHUEURDG*UHHQHjV%UDW LVWKHVDPHDVWKHVWDQGDUGIRUGHWHUPLQLQJWKHVXIILFLHQF\RI DQDIILGDYLW6HH8QLWHG6WDWHVY&DQDQ)G *UHHQHjVDUJXPHQWLVXQSHUVXDVLYHm8VHRIDJHQHULFWHUP WK &LU ,Q VXP D PDJLVWUDWH PXVW GHWHUPLQH RUJHQHULFGHVFULSWLRQLVQRWDSHUVHYLRODWLRQRIWKH)RXUWK ZKHWKHU XQGHU WKH WRWDOLW\ RI WKH FLUFXPVWDQFHV SUREDEOH 8QLWHG6WDWHVY*UHHQH 1R 1R 8QLWHG6WDWHVY*UHHQH LQQRFHQWIDFWVLVLQVXIILFLHQWWRVXSSRUWDILQGLQJRISUREDEOH $PHQGPHQWl%ODNHQH\ )GDWm>7@KHGHJUHHRI FDXVH VSHFLILFLW\UHTXLUHGLVIOH[LEOHDQGZLOOYDU\GHSHQGLQJRQWKH FULPHLQYROYHGDQGWKHW\SHVRILWHPVVRXJKWl6HH$EOHV *UHHQHjV DUJXPHQW LV PLVWDNHQ RQ DW OHDVW WZR JURXQGV )GDW0RUHRYHUWKLV&LUFXLWKDVSUHYLRXVO\QRWHG )LUVW0HQGRQVDGHDOVQRWZLWKDFRQILGHQWLDOLQIRUPDQWEXW WKDWmWKHODQJXDJHRIDZDUUDQWLVWREHFRQVWUXHGLQOLJKWRI ZLWK DQ DQRQ\PRXV WLS 6HH 0HQGRQVD )G DW DQ LOOXVWUDWLYH OLVW RI VHL]DEOH LWHPVl ,G &RQVHTXHQWO\ 5HTXLUHPHQWV IRU VHDUFKHV EDVHG RQ DQ DQRQ\PRXV WLS DUH JHQHUDOGHVFULSWLRQVRISURSHUW\DUHDSSURSULDWHLIGHVFULSWLRQV VLJQLILFDQWO\PRUHVWULQJHQWWKDQWKRVHEDVHGRQDFRQILGHQWLDO RIVSHFLILFW\SHVRIWKDWSURSHUW\KDYHDOUHDG\EHHQIXUQLVKHG LQIRUPDQW ZLWK D UHOLDEOH WUDFN UHFRUG YRXFKHG IRU E\ ODZ DQG GLIIHUHQW W\SHV RI WKDW SURSHUW\ ZRXOG EH UHOHYDQW LQ HQIRUFHPHQWRIILFLDOV6HH)ORULGDYs/ 86 GHWHUPLQLQJWKHFULPH6HHLGDW JHQHULFWHUPVVXFKDV m8QOLNH D WLS IURP D NQRZQ LQIRUPDQW ZKRVH mRWKHULWHPVHYLGHQFLQJWKHFRQFHDOPHQWRIDVVHWVlQRW UHSXWDWLRQFDQEHDVVHVVHGDQGZKRFDQEHKHOGUHVSRQVLEOHLI RYHUEURDG ZKHUH ZDUUDQW JDYH VSHFLILF H[DPSOHV RI KHUDOOHJDWLRQVWXUQRXWWREHIDEULFDWHGDQDQRQ\PRXVWLS GRFXPHQWVWREHVHL]HGVXFKDVmEDQNVWDWHPHQWVPRQH\ DORQH VHOGRP GHPRQVWUDWHV WKH LQIRUPDQW V EDVLV RI GUDIWV >DQG@ OHWWHUV RI FUHGLWl LQ PRQH\ ODXQGHULQJ FDVH NQRZOHGJHRUYHUDFLW\ LQWHUQDOFLWDWLRQVRPLWWHG 6HFRQG %ODNHQH\ )G DW VLQFH VSHFLILF H[DPSOHV RI WKH LQIRUPDWLRQ IURP WKH FRQILGHQWLDO LQIRUPDQW ZDV GRFXPHQWV SURYLQJ RZQHUVKLS RU UHVLGHQF\ ZHUH DOUHDG\ FRUURERUDWHGE\WKHLQIRUPDWLRQJDLQHGIURP+RXVWRQDQG/W LQFOXGHG D FODXVH DXWKRUL]LQJ mLQGLFLD RI RFFXSDQF\ +LOOHU,QGHHGDOOWKUHHVRXUFHVRILQIRUPDWLRQ+RXVWRQ/W UHVLGHQF\DQGRURZQHUVKLSRIWKHSUHPLVHVl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mZKHQ WKHUH LV D µIDLU SUREDELOLW\j JLYHQ WKH DSSDUHQWO\VWROHQGXULQJWKHKRPHLQYDVLRQVDUHLGHQWLILHG WRWDOLW\RIWKHFLUFXPVWDQFHVWKDWFRQWUDEDQGRUHYLGHQFHRI $VQRWHGHDUOLHUDJHQHULFGHVFULSWLRQVXFKDVmILUHDUPVlLV DFULPHZLOOEHIRXQGLQDSDUWLFXODUSODFHl6HH'DYLGVRQ DSSURSULDWHLISURSHUW\RIWKHVDPHW\SHSUHYLRXVO\GHVFULEHG )GDW ZRXOGEHUHOHYDQWWRWKHFULPH6HH$EOHV)GDW %ODNHQH\ )GDW+HUHVHL]XUHRIRWKHUILUHDUPV *UHHQHILUVWDUJXHVWKDWLQIRUPDWLRQREWDLQHGIURP+RXVWRQ GLVFRYHUHG LQ WKH VHDUFK ZRXOG EH UHOHYDQW LQ SURYLQJ WKH FRQWDLQV QR mILUVWKDQGl NQRZOHGJH DV WR ZKHWKHU VWROHQ FULPHV RI QDUFRWLFV WUDIILFNLQJ ZLWK D ILUHDUP ILUHDUPV SURSHUW\ZDVORFDWHGDW $VKODQG*UHHQHQRWHV GHDOLQJRUGLVSRVDORIVWROHQSURSHUW\ WKDW +RXVWRQ VSHFLILFDOO\ VWDWHV m$UQROG WRRN FDUH RI >GLVSRVLQJRIWKHVWROHQSURSHUW\@l6HDUFK:DUUDQWDQG$II 6LQFHWKHVHDUFKZDUUDQWLVQRWRYHUEURDGZHDIILUPWKH s$DW+RZHYHU+RXVWRQLQUHVSRQVHWRDTXHU\IURP/W GLVWULFWFRXUWRQWKLVFODLP +LOOHUFRQFHUQLQJWKHUHOHYDQFHRI $VKODQGVWDWHV m\RXZLOOILQGVWXIIWKHUHl,G %6XIILFLHQF\RIWKH$IILGDYLW 8QGHU WKH DSSOLFDEOH VWDQGDUG RI UHYLHZ LQIRUPDWLRQ *UHHQHQH[WDUJXHVWKDWWKHLQIRUPDWLRQLQWKHDIILGDYLWLV JDLQHG IURP +RXVWRQ SURYLGHG D VXEVWDQWLDO EDVLV IRU D LQVXIILFLHQW WR VXSSRUW D ILQGLQJ RI SUREDEOH FDXVH 7KH ILQGLQJRISUREDEOHFDXVH*UHHQHjVDVVHUWLRQWKDW+RXVWRQ VWDQGDUG RI UHYLHZ IRU WKH VXIILFLHQF\ RI DQ DIILGDYLW mLV KDGQRSHUVRQDOmILUVWKDQGlNQRZOHGJHRIWKHORFDWLRQRIWKH ZKHWKHUWKHPDJLVWUDWHKDGDVXEVWDQWLDOEDVLVIRUILQGLQJWKDW VWROHQSURSHUW\LVLPPDWHULDO5DWKHUWKHDSSURSULDWHLQTXLU\ WKH DIILGDYLW HVWDEOLVKHG SUREDEOH FDXVH WR EHOLHYH WKDW WKH LVZKHWKHUWKHLQIRUPDWLRQLQ/W+LOOHUjVDIILGDYLWHVWDEOLVKHG HYLGHQFHZRXOGEHIRXQGDWWKHSODFHFLWHGl8QLWHG6WDWHVY DVXEVWDQWLDOEDVLVIRUDILQGLQJE\WKHPDJLVWUDWHWKDWWKHUH 'DYLGVRQ )G WK&LU $PDJLVWUDWHjV ZDVSUREDEOHFDXVHWKDWWKHVWROHQSURSHUW\ZRXOGEHIRXQGDW GHWHUPLQDWLRQRISUREDEOHFDXVHLVDIIRUGHGJUHDWGHIHUHQFHE\ $VKODQG6HH'DYLGVRQ )GDW +HUH WKHUHYLHZLQJFRXUW6HH8QLWHG6WDWHVY$OOHQ)G WKHSHUSHWUDWRURIWKHFULPHXQGHUGLUHFWTXHVWLRQLQJIURPWKH WK&LU FHUWGHQLHGn86n6&W DIILDQWVWDWHGWKDWKLVSDUWQHU $UQROG GLVSRVHGRIWKHVWROHQ 8QLWHG6WDWHVY)LQFK )G WK&LU SURSHUW\ DW $VKODQG 0RUHRYHU /W +LOOHU DOVR 'DYLGVRQ )G DW &RQVHTXHQWO\ D PDJLVWUDWHj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mWRWDOLW\RIWKHFLUFXPVWDQFHVlGHWHUPLQDWLRQUDWKHUWKDQD WKH FRQILGHQWLDO LQIRUPDQW ZDV IDPLOLDU ZLWK OLQHE\OLQHVFUXWLQ\6HH$OOHQ)GDW 3UREDEOH $VKODQG&LWLQJ8QLWHG6WDWHVY0HQGRQVD )G WK &LU *UHHQH DUJXHV WKDW FRUURERUDWLRQ RI RQO\ NQHZ WKDW *UHHQH ZDV D SULRU IHORQ
Copyright © 2025 by eLaws. All rights reserved.