United States v. Reed

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21 3XUVXDQW WR 6L[WK &LUFXLW 5XOH  (/(&7521,& &,7$7,21  )(' $SS $ WK &LU )LOH 1DPH DD 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  !  0$5/21 5(('  'HIHQGDQW$SSHOODQW  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW&LQFLQQDWL 1Rn+HUPDQs:HEHU'LVWULFWsXGJH $UJXHG$SULO 'HFLGHGDQG)LOHGsXQH %HIRUH1255,6DQG*,/0$1&LUFXLWsXGJHV+22' 'LVWULFWsXGJH BBBBBBBBBBBBBBBBB &2816(/ $5*8('5LFKDUG:6PLWK0RQDKDQ2)),&(2)7+( )('(5$/ 38%/,& '()(1'(5 &LQFLQQDWL 2KLR IRU $SSHOODQW  7LPRWK\ ' 2DNOH\ $66,67$17 81,7(' 7KH +RQRUDEOH sRVHSK 0 +RRG 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH (DVWHUQ 'LVWULFW RI .HQWXFN\ VLWWLQJ E\ GHVLJQDWLRQ   8QLWHG6WDWHVY5HHG 1R 67$7(6 $77251(< &LQFLQQDWL 2KLR IRU $SSHOOHH 21%5,()5LFKDUG:6PLWK0RQDKDQ2)),&(2)7+( )('(5$/ 38%/,& '()(1'(5 &LQFLQQDWL 2KLR IRU $SSHOODQW  7LPRWK\ ' 2DNOH\ $66,67$17 81,7(' 67$7(6$77251(<&LQFLQQDWL2KLRIRU$SSHOOHH +22''sGHOLYHUHGWKHRSLQLRQRIWKHFRXUWLQZKLFK 1255,6 s MRLQHG  *,/0$1 s SS   GHOLYHUHG D VHSDUDWHGLVVHQWLQJRSLQLRQ BBBBBBBBBBBBBBBBBBBBB $0(1'('23,1,21 BBBBBBBBBBBBBBBBBBBBB s26(3+ 0 +22' 'LVWULFW sXGJH  2Q 'HFHPEHU  0DUORQ5HHGHQWHUHGDFRQGLWLRQDOJXLOW\SOHDWRRQH FRXQWRISRVVHVVLRQZLWKWKHLQWHQWWRGLVWULEXWHFUDFNFRFDLQH SXUVXDQWWR86&† D  $VDUHVXOWRIKLVSOHDWKH GLVWULFW FRXUW VHQWHQFHG 5HHG WR QLQHW\WZR PRQWKV LQFDUFHUDWLRQZLWKDWKUHH\HDUSHULRGRIVXSHUYLVHGUHOHDVH DQG D ILQH RI  ZLWK D VSHFLDO DVVHVVPHQW RI  +DYLQJ UHVHUYHG KLV ULJKW WR DSSHDO WKH VHDUFK DQG VHL]XUH LVVXHLQKLVFDVH5HHGILOHGDWLPHO\DSSHDORIWKHGLVWULFW FRXUWjVGHFLVLRQWRGHQ\KLVPRWLRQWRVXSSUHVVWKHQLQHWHHQ LQGLYLGXDOO\ZUDSSHGFUDFNFRFDLQHURFNVIRXQGLQD)ULWR/D\ EDJRQ5HHGjVSHUVRQ7KLVDSSHDOVSHFLILFDOO\FKDOOHQJHVWKH GLVWULFW FRXUWjV ILQGLQJ WKDW SUREDEOH FDXVH IRU KLV DUUHVW H[LVWHG ,)DFWXDO%DFNJURXQG 7KH HYHQWV OHDGLQJ XS WR 5HHGjV DUUHVW DUH DV IROORZV 2IILFHUVsRH\7KRPSVRQDQG5REHUW+RUWRQREVHUYHG5HHG RQWKHVLGHZDONSUHPLVHVRIDKRXVLQJGHYHORSPHQWNQRZQDV WKH %XWOHU 0HWURSROLWDQ +RXVLQJ $XWKRULW\ KHUHLQDIWHU m%0+$l   7KH RIILFHUV NQHZ 5HHG E\ VLJKW IURP SULRU FRQWDFWZLWKKLP2IILFHU7KRPSVRQKDGSHUVRQDOO\ZDUQHG 5HHGWRVWD\DZD\IURPWKH%0+$SURSHUW\RQDSUHYLRXV RFFDVLRQ DV 5HHG ZDV QRW D UHVLGHQW RI WKH KRXVLQJ GHYHORSPHQW6LQFH%0+$jVSUHPLVHVFRQWDLQHGWZHQW\VL[ 1R 8QLWHG6WDWHVY5HHG  m1R7UHVSDVVLQJlVLJQVWKHRIILFHUVDSSURDFKHG5HHGIRUWKH SXUSRVHRIDUUHVWLQJKLPIRUFULPLQDOWUHVSDVVSXUVXDQWWRD +DPLOWRQ2KLRRUGLQDQFH :KHQ5HHGDWWHPSWHGWRTXLFNO\ZDONDZD\WKHRIILFHUV VXEGXHGKLP2IILFHU7KRPSVRQWKHQEHJDQDmSDWGRZQlRI 5HHGZKRVWDUWHGWRWXUQKLVERG\DZD\5HHGWKHQUHPRYHG WKH)ULWR/D\EDJFRQWDLQLQJWKHFUDFNFRFDLQHDQGDWWHPSWHG WR WRVV LW WRZDUG D IULHQG VWDQGLQJ QHDUE\ ZKLOH VLPXOWDQHRXVO\ VWDWLQJ WKDW KH GLG QRW ZDQW WR JLYH XS KLV mZHHGl  $ IHPDOH SLFNHG XS WKH EDJ ZKHUHXSRQ 2IILFHU 7KRPSVRQLPPHGLDWHO\UHWULHYHGLWIURPKHU5HHGZDVWKHQ WDNHQWRWKH+DPLOWRQ3ROLFH'HSDUWPHQWIRUERRNLQJ 3ULRU WR WULDO 5HHG ILOHG D PRWLRQ WR VXSSUHVV WKH FUDFN FRFDLQH7KHGLVWULFWFRXUWGHWHUPLQHGWKDWSUREDEOHFDXVH H[LVWHGLQ5HHGjVDUUHVWDQGGHQLHGVDLGPRWLRQRQWKHEDVLV WKDWWKHHYLGHQFHZDVVXEVHTXHQWO\REWDLQHGE\WKHRIILFHUV LQFLGHQWDO WR  WKH DUUHVW  ,Q KLV DSSHDO 5HHG DUJXHV WKDW SUREDEOH FDXVH ZDV ODFNLQJ WKHUHE\ UHQGHULQJ KLV DUUHVW XQODZIXO5HHGIXUWKHUDUJXHVWKDWDOOHYLGHQFHREWDLQHGDVD UHVXOWRIWKLVXQODZIXODUUHVWVKRXOGKDYHEHHQVXSSUHVVHGE\ WKHGLVWULFWFRXUW ,,$QDO\VLV m,Q UHYLHZLQJ D GLVWULFW FRXUWjV GHWHUPLQDWLRQV RQ VXSSUHVVLRQTXHVWLRQVDGLVWULFWFRXUWjVIDFWXDOILQGLQJVDUH DFFHSWHG XQOHVV WKH\ DUH FOHDUO\ HUURQHRXV KRZHYHU WKH GLVWULFW FRXUWjV DSSOLFDWLRQ RI ODZ WR WKH IDFWV VXFK DV D ILQGLQJ RI SUREDEOH FDXVH LV UHYLHZHG GH QRYRl  8QLWHG 6WDWHVY7KRPDV)G WK&LU  7KHWKUHVKROGIRUSUREDEOHFDXVHLVEDVHGXSRQmµIDFWXDO DQG SUDFWLFDO FRQVLGHUDWLRQV RI HYHU\ GD\ OLIHj >WKDW@ FRXOG OHDGDUHDVRQDEOHSHUVRQWREHOLHYHWKDWWKHUHLVDSUREDELOLW\ WKDWDQLOOHJDODFWKDVRFFXUUHGRULVDERXWWRRFFXUl8QLWHG 6WDWHVY6WULFNODQG)G WK&LU FLWLQJ ,OOLQRLVY*DWHV86  2IILFHUVDUHQRW UHTXLUHGWRUXOHRXWHYHU\SRVVLEOHH[SODQDWLRQRWKHUWKDQD VXVSHFWjV LOOHJDO FRQGXFW EHIRUH PDNLQJ DQ DUUHVW  6HH  8QLWHG6WDWHVY5HHG 1R 1R 8QLWHG6WDWHVY5HHG  6WULFNODQG)GDW+RZHYHUDQDUUHVWLQJRIILFHU SUREDEOHFDXVH&RQVHTXHQWO\WKHRIILFHUVKDGWKHULJKWWR PXVW EH DEOH WR DUWLFXODWH mFRQFUHWH IDFWVl IURP ZKLFK WKH VWRS5HHGXQGHU7HUU\DQGDVNKLPZKHWKHUKHOLYHGRQWKH mWRWDOLW\ RI WKH FLUFXPVWDQFHVl LQGLFDWHV WKDW DQ DUUHVW LV SURSHUW\RUZDVYLVLWLQJDUHVLGHQW%XWWKHRIILFHUVKDGQR ZDUUDQWHG,GDW*DWHV86DW 7KHGHQLDO ULJKWWRLPPHGLDWHO\DUUHVWKLPIRUFULPLQDOWUHVSDVV RI 5HHGjV VXSSUHVVLRQ PRWLRQ ZDV EDVHG RQ WKH GLVWULFW FRXUWjV ILQGLQJ RI SUREDEOH FDXVH LQ 5HHGjV DUUHVW  5HHG , ZRXOG WKHUHIRUH VXSSUHVV WKH HYLGHQFH RI WKH FUDFN DUJXHVWKDWSUREDEOHFDXVHIRUFULPLQDOWUHVSDVVZDVODFNLQJ FRFDLQHDQGUHYHUVHWKHMXGJPHQWRIWKHGLVWULFWFRXUW XQGHU +DPLOWRQ FLW\ RUGLQDQFH †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m1R 7UHVSDVVLQJl VLJQV SRVWHGWKURXJKRXWWKH%0+$SURSHUW\SURYLGLQJDGHTXDWH  8QLWHG6WDWHVY5HHG 1R 1R 8QLWHG6WDWHVY5HHG  0RUHRYHU , EHOLHYH WKDW P\ YLHZ LV FRQVLVWHQW ZLWK WKH QRWLFH  5HHGZDONHGDZD\XSRQWKHODZIXODSSURDFKRIWKH VSLULWRIWKH6XSUHPH&RXUWjVUHFHQWXQDQLPRXVKROGLQJLQ RIILFHUV7KHVHIDFWRUVPXVWEHPHDVXUHGXSWRWKHWLPHDW )ORULGDYs/BB86BB6&W  ,Qs/ ZKLFK5HHGWKRXJKWKHZDVQRWUHDVRQDEO\mIUHHWROHDYHl DQDQRQ\PRXVFDOOHUWHOHSKRQHGWKHSROLFHWRLQIRUPWKHP 8QLWHG6WDWHVY0HQGHQKDOO86  7KH WKDWWKH\VKRXOGZDWFKIRUDEODFN\RXWKLQDSODLGVKLUWDWD IDFWRUVGRQRWKDYHWRHVWDEOLVKDSULPDIDFLHFDVHIRUFULPLQDO SDUWLFXODU EXV VWRS EHFDXVH KH ZDV FDUU\LQJ D JXQ  6L[ WUHVSDVVKRZHYHUVDLGIDFWRUVPXVWEHVXIILFLHQWWRLQGLFDWH PLQXWHV ODWHU RIILFHUV ZHQW WR WKDW SDUWLFXODU EXV VWRS DQG WR D UHDVRQDEOH SHUVRQ WKDW DQ LOOHJDOLW\ KDV RFFXUUHG RU LV IRXQGD\RXWKPHHWLQJWKHFDOOHUjVGHVFULSWLRQ7KHRIILFHUV DERXWWRRFFXU6HH6WULFNODQG)GDW VWRSSHG DQG IULVNHG WKH VXVSHFW XQFRYHULQJ D ILUHDUP  ,Q FRQFOXGLQJ WKDW WKH RIILFHUV GLG QRW KDYH D UHDVRQDEOH :KHUH SUREDEOH FDXVH H[LVWV m>D@ SROLFH RIILFHU LV VXVSLFLRQWRVWRSWKH\RXWKDQGWKDWHYLGHQFHRIWKHILUHDUP SHUPLWWHG WR PDNH DQ DUUHVW ZLWKRXW D ZDUUDQW IRU D VKRXOG EH VXSSUHVVHG WKH 6XSUHPH &RXUW FRPPHQWHG WKDW PLVGHPHDQRUFRPPLWWHGLQKLVSUHVHQFHl8QLWHG6WDWHVY mWKH )RXUWK $PHQGPHQW LV QRW VR HDVLO\ VDWLVILHGl  ,G DW 6PLWK)G WK&LU 7KH&RXUWILQGV ,IWKHRIILFHUVLQs/GLGQRWKDYHDUHDVRQDEOHEDVLVWR WKDW WKHVH ILYH IDFWRUV FRQVWLWXWH WKH OHYHO RI HYLGHQFH FRQGXFW HYHQ D7HUU\ VWRS XQGHU WKH FLUFXPVWDQFHV RI WKDW QHFHVVDU\WRHVWDEOLVKSUREDEOHFDXVHIRU5HHGjVDUUHVW$OO FDVHWKHQ,FDQQRWIDWKRPKRZWKHRIILFHUVLQWKHSUHVHQWFDVH ILYHIDFWRUVH[LVWHGGXULQJWKHWLPHLQZKLFK5HHGZDVIUHHWR KDYHVDWLVILHGWKH)RXUWK$PHQGPHQWjVKLJKHUSUREDEOHFDXVH OHDYH  $ UHDVRQDEOH RIILFHU LQ WKH SRVLWLRQ RI HLWKHU VWDQGDUGLQDUUHVWLQJ5HHG 7KRPSVRQRU+RUWRQFRXOGFRQFOXGHIURPWKHWRWDOLW\RIWKH FLUFXPVWDQFHVWKDWSUREDEOHFDXVHGH[LVWHGWRDUUHVW5HHGIRU )LQDOO\,QRWHWKHJRYHUQPHQWjVDOWHUQDWLYHDUJXPHQWVWKDW FULPLQDOWUHVSDVV$OWKRXJK5HHGKDVVHWIRUWKQRFRQWUROOLQJ WKHFUDFNFRFDLQHVKRXOGQRWEHVXSSUHVVHGHLWKHUEHFDXVH  DXWKRULW\LQGLFDWLQJWKDWWKHRIILFHUVPXVWFRQFOXGHSULRUWR LWZDVLQSODLQYLHZRU  LWZDVDEDQGRQHGE\5HHG7KHVH WKHDUUHVWZKHWKHU5HHGHQMR\HGWKHSULYLOHJHRIHQWHULQJRU DUJXPHQWVKDYHOLWWOHPHULW%DVHGRQP\YLHZWKDWWKHDUUHVW UHPDLQLQJ RQ %0+$ SURSHUW\ ZH DUH PLQGIXO RI WKH RI 5HHG ZDV LOOHJDO DQG EHFDXVH WKH LOOHJDO DUUHVW FDXVHG GLVFXVVLRQGXULQJRUDODUJXPHQWWKDW:DVKLQJWRQY%ODLU 5HHGWRUHPRYHWKH)ULWR/D\EDJIURPKLVSRFNHWDQGWKURZ 3G :DVK&W$SS ILQGVSUREDEOHFDXVHWREH LWWRZDUGDIULHQGVWDQGLQJQHDUE\WKHHYLGHQFHIURPWKHEDJ ODFNLQJ LQ FLUFXPVWDQFHV LQ ZKLFK DQ RIILFHU KDG QR LV LQDGPLVVLEOH XQGHU WKH mIUXLWV RI WKH SRLVRQRXV WUHHl NQRZOHGJHRIWKHH[LVWHQFHRISULYLOHJHSULRUWRDQDUUHVWIRU GRFWULQH  6HH :RQJ 6XQ Y 8QLWHG 6WDWHV  86  FULPLQDOWUHVSDVV+RZHYHUZHEHOLHYHWKH:DVKLQJWRQVWDWH   H[SODLQLQJWKHGRFWULQH 8QLWHG6WDWHVY6LPSVRQ FRXUW GHFLVLRQ ZDV EDVHG XSRQ D UHTXLUHPHQW QHJDWLQJ WKH  ) 6XSS   6' ,QG   KROGLQJ WKDW LI DIILUPDWLYHGHIHQVHRISULYLOHJHSULRUWRDUUHVWLQJDSHUVRQIRU WKHUHLVDFDXVDOQH[XVEHWZHHQWKHSROLFHjVPLVFRQGXFWDQG WKHmDEDQGRQPHQWlWKHQWKHHYLGHQFHPXVWEHVXSSUHVVHG  8QLWHG6WDWHVY)RVWHU)6XSS ''&   m>$@Q DEDQGRQPHQW WKDW LV WKH SURGXFW RI SROLFH  $FFRUGLQJ WR WKH GLVVHQW mWKH IDFW WKDW 5HHG VWDUWHG WR ZDON DZD\ PLVFRQGXFWLVQRWYROXQWDU\DQGFDQQRWWKHUHIRUHYLWLDWHWKH ZKHQ WKH RIILFHUV DSSURDFKHG PD\ UDLVH D VXVSLFLRQ WKDW KH ZDV HQJDJHG WDLQWRIDQLOOHJDOGHWHQWLRQl  LQ DQ\ RQH RI D PXOWLWXGH RI LPSURSHU DFWLYLWLHVl :KLOH WKDW PD\ EH WKH RIILFHUV ZHUH HQWLWOHG WR LQIHU WKDW KH ZDV ZDONLQJ DZD\ EHFDXVH KH NQHZ KH ZDV QRW SULYLOHJHG WR EH WKHUH 7KH\ ZHUH QRW UHTXLUHG WR HOLPLQDWH DOO ,QVXPPDU\WKHFLUFXPVWDQFHVSUHVHQWHGE\WKLVFDVHJDYH RWKHU UHDVRQDEOH LQIHUHQFHV 6HH 6WULFNODQG  )G   WK &LU WKH RIILFHUV QRWKLQJ PRUH WKDQ D UHDVRQDEOH VXVSLFLRQ WR  VWDWLQJ m>W@R ILQG SUREDEOH FDXVH WKH ODZ GRHV QRW UHTXLUH WKDW ZH EHOLHYH WKDW 5HHG ZDV WUHVSDVVLQJ  7KLV LV IDU VKRUW RI UXOH RXW HYHU\ FRQFHLYDEOH H[SODQDWLRQ RWKHU WKDQ D VXVSHFWjV LOOHJDO FRQGXFWl  8QLWHG6WDWHVY5HHG 1R 1R 8QLWHG6WDWHVY5HHG  WUHVSDVV7KLV&LUFXLWGRHVQRWUHTXLUHVXFKDQDGGHGLQTXLU\ 4 $OOULJKW6R\RXKDGDSSURDFKHGDORQJZLWK2IILFHU WRWKHSUREDEOHFDXVHGHWHUPLQDWLRQ 7KRPSVRQWRSDWGRZQVRPHLQGLYLGXDOVWKDW\RX VDZVWDQGLQJRQ%0+$SURSHUW\LVWKDWFRUUHFW" ,WLVDUJXHGWKDWWKH6XSUHPH&RXUWjVGHFLVLRQRI)ORULGDY $ ,JUDEEHGP\SDUW\WRSDWKLPGRZQ s/BB86BB6&W  ZKLFKKHOGWKDWDQ  DQRQ\PRXVWLSZLWKRXWPRUHLVLQVXIILFLHQWWRMXVWLI\DVWRS 4 $QG QRZ KRZ PDQ\ SHRSOH DOWRJHWKHU ZHUH WKHUH DQGIULVNE\DQRIILFHUZDUUDQWVUHYHUVDORIWKHGLVWULFWFRXUWjV ZKHQ\RXDSSURDFKHGWKDWVFHQH" GHQLDORIWKHPRWLRQWRVXSSUHVV:HGLVDJUHH $ ,QLWLDOO\ WKHUH ZHUH DSSUR[LPDWHO\ IRXU , EHOLHYH IRXURWKHUSDUWLHV 7KHRIILFHUVjGHFLVLRQWRVWRSWKHGHIHQGDQWLQs/DQGIULVN 4 $QGZKHQ\RXDSSURDFKHGWKDWVFHQHZDVLW\RXU KLPIRUDFRQFHDOHGZHDSRQZDVEDVHGmVROHO\RQDFDOOPDGH LQWHQWLRQWRVHDUFKDOOIRXURIWKRVHSHRSOH" IURP DQ XQNQRZQ ORFDWLRQ E\ DQ XQNQRZQ FDOOHUl  ,G DW $ :H ZHUH JRLQJ WR SLFN XS 0U 5HHG IRU VXUH  ,   +RZHYHU WKH GHFLVLRQ E\ 2IILFHUV 7KRPSVRQ DQG FRXOGQRWVWDWHZKDWZHZHUHJRLQJWRGRZLWKWKH +RUWRQ WR VWRS 5HHGIRUWUHVSDVVLQJZDVEDVHGRQWKHILYH RWKHUV  7KH\ VWDUWHG WR ZDON DZD\ DV ZH IDFWRUV LGHQWLILHG DERYH  7KHVH ILYH IDFWRUV XQOLNH DQ DSSURDFKHG DQRQ\PRXVWLSODFNLQJDQ\LQGLFLDRIUHOLDELOLW\SURYLGHGWKH 4 6RLIWKH\KDGQjWZDONHGDZD\\RXZRXOGKDYHZHQW RIILFHUVZLWKSUREDEOHFDXVHWRVWRSDQGSDWGRZQ5HHG)RU DKHDGDQGGRQHDSDWGRZQRQWKRVHSHRSOHDOVRLV WKHVHUHDVRQV)ORULGDYs/LVGLVWLQJXLVKDEOHIURPWKHIDFWV WKDWULJKW" RIWKHFDVHVXEMXGLFH $ 3UREDEO\DIWHUZHJRW0U5HHGLQWRFXVWRG\\HV 4 $QG WKDWjV HYHQ WKRXJK \RX KDG QR LGHD ZKHWKHU ,,,&RQFOXVLRQ WKRVHRWKHUWZRSHRSOHZHUHDFWXDOO\WUHVSDVVLQJRU QRWLVWKDWULJKW" 7KHUHLVQRLQGLFDWLRQWKDWWKHGLVWULFWFRXUWjVILQGLQJVRI  IDFW DUH HUURQHRXV  $ UHYLHZ RI WKH ODZ DSSOLHG WR VDLG $ ,GLGQjWJHWWRVHHZKRWKH\ZHUHVR,jPQRWVXUH ILQGLQJVRIIDFWOHDGVWRDGHWHUPLQDWLRQWKDWWKHGLVWULFWFRXUW 4 6R\RXKDGQRLGHDZKHWKHUWKH\ZRXOGKDYHEHHQ GLGQRWHUULQUHIXVLQJWRVXSSUHVVWKHFUDFNFRFDLQHSRVVHVVHG WUHVSDVVLQJRUQRWLVWKDWULJKWo E\ 5HHG RQ WKH QLJKW RI KLV DUUHVW  6DLG HYLGHQFH ZDV $ 7KHWZRSHRSOH VXEVHTXHQWO\ REWDLQHG E\ 2IILFHUV 7KRPSVRQ DQG +RUWRQ 4 oEHFDXVHWKH\FRXOGKDYHEHHQUHVLGHQWV" LQFLGHQWDO WR 5HHGjV DUUHVW  $FFRUGLQJO\ ZH $)),50 $ 7KDWjVIDLUWRVD\ 5HHGjVFRQYLFWLRQDQGVHQWHQFH 7KH DERYH WHVWLPRQ\ IURP WKH DUUHVWLQJ RIILFHUV FOHDUO\ GHPRQVWUDWHVWKDWWKH\WKRXJKWLWLUUHOHYDQWZKHWKHURUQRW 5HHGZDVSULYLOHJHGWREHRQWKHSURSHUW\,QRWKHUZRUGV WKHRIILFHUVDGPLWWKDWDWWKHWLPHRIWKHDUUHVWWKH\GLGQRW NQRZ ZKHWKHU 5HHG KDG UHFHQWO\ PRYHG LQWR WKH %0+$ SURSHUW\RUKDGEHHQLQYLWHGWKHUHE\RWKHUV7KH\GHFLGHGWR DUUHVWKLPIRUFULPLQDOWUHVSDVVDVVRRQDVWKH\VSRWWHGKLP QRTXHVWLRQVDVNHG8QGHUWKHVHFLUFXPVWDQFHVWKHZLVGRP RI %ODLU sRQHV DQG sDVRQ $OOHQ ' FULHV RXW IRU D UHVXOW FRQWUDU\WRWKDWUHDFKHGE\WKHPDMRULW\  8QLWHG6WDWHVY5HHG 1R 1R 8QLWHG6WDWHVY5HHG  DGPLWWHGWKDWHYHQEHIRUHWKH\VDZ5HHGVWDUWWRZDONDZD\ BBBBBBBBBBBBBBBBB WKH\KDGDOUHDG\GHFLGHGWRDUUHVWKLPIRUFULPLQDOWUHVSDVV ',66(17 (YHQLIDOOILYHIDFWRUVDUHFRQVLGHUHGFROOHFWLYHO\WKH\DW BBBBBBBBBBBBBBBBB PRVWJDYHWKHRIILFHUVDUHDVRQDEOHVXVSLFLRQWKDW5HHGKDG QR OHJLWLPDWH SXUSRVH IRU EHLQJ WKHUH  7KLV ZRXOG KDYH 521$/' /(( *,/0$1 &LUFXLW sXGJH GLVVHQWLQJ  ,Q MXVWLILHGVWRSSLQJ5HHGWRLQTXLUHDVWRZKHWKHUKHOLYHGRQ DIILUPLQJ WKH GLVWULFW FRXUWjV GHQLDO RI 5HHGjV PRWLRQ WR %0+$jVSURSHUW\RUZDVWKHUHE\LQYLWDWLRQ6HH7HUU\Y VXSSUHVVWKHPDMRULW\KROGVWKDWKHZDVOHJDOO\DUUHVWHGIRU 2KLR86  :DVKLQJWRQY%ODLU3G FULPLQDO WUHVSDVV HYHQ WKRXJK WKH SROLFH IDLOHG WR ILUVW  :DVK&W$SS 7KHRIILFHUVKRZHYHUPDGHQR DVFHUWDLQZKHWKHU5HHGKDGDOHJLWLPDWHUHDVRQIRUEHLQJRQ VXFKLQTXLU\ WKHSURSHUW\,UHVSHFWIXOO\GLVVHQWEHFDXVHLQP\YLHZWKH SROLFHRIILFHUVDUUHVWHG5HHGZLWKRXWKDYLQJSUREDEOHFDXVH $W WKH VXSSUHVVLRQ KHDULQJ 2IILFHU 7KRPSVRQ JDYH WKH WRGRVR IROORZLQJUHVSRQVHWRWKHJRYHUQPHQWj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oKHKDGDFKLOGE\" 2IILFHU:LOOLDPVVLPSO\GURYHXSWR%ODLUDQGRUGHUHG $ ,GRQjWUHFDOO,PHDQ,GRQjWUHPHPEHUKLPVD\LQJ KLPLQWRWKHSROLFHFUXLVHUZKHUHKHDUUHVWHGKLP+DG WKDW EXW LWjV SRVVLEOH EXW LW ZRXOG KDYH EHHQ 2IILFHU:LOOLDPVWDNHQDPRPHQWWRDVN%ODLUZKHUHKH LUUHOHYDQW ZDV JRLQJ DQG IRU ZKDW SXUSRVH KH FRXOG KDYH 4 ,jPVRUU\" GHWHUPLQHGZKHWKHU%ODLUZDVLQIDFWYLVLWLQJDIULHQGRU $ ,WZRXOGKDYHEHHQLUUHOHYDQWZKHWKHUKHZDVoKDG ZDVWUHVSDVVLQJ%HFDXVHKHNQHZ%ODLUGLGQRWOLYHLQ DJLUOIULHQGRQWKHSURSHUW\ 5R[EXU\9LOODJHKDGDGPRQLVKHG%ODLUQRWWRUHWXUQDQG 4 1RZ\RXZRXOGKDYHVWRSSHGKLPDQ\ZD\LVWKDW KDGDUUHVWHGKLPQHDUE\IRUDGUXJWUDQVDFWLRQ2IILFHU ULJKW" :LOOLDPVKDGDQDUWLFXODEOHVXVSLFLRQWKDW%ODLUPLJKWEH $ 7KDWjVFRUUHFW+HZDVQjWZLWKKHUDWWKHWLPH WUHVSDVVLQJRQ6HSWHPEHU%DVHGRQWKLVLQIRUPDWLRQ 2IILFHU:LOOLDPVFRXOGSURSHUO\VWRS%ODLUDVNKLPZK\ ,QDGGLWLRQ2IILFHU+RUWRQWHVWLILHGDVIROORZVLQUHVSRQVH KH ZDV RQ WKH SUHPLVHV DQG LQYHVWLJDWH WR VHH LI KLV WRTXHVWLRQVIURPWKHJRYHUQPHQWjVDWWRUQH\ SXUSRVHIRUEHLQJWKHUHZDVLQIDFWOHJLWLPDWH+RZHYHU WKHIDFWWKDWWKHRIILFHUKDGWROG%ODLUQRWWRUHWXUQWRWKH SUHPLVHV GRHV QRW LQ LWVHOI FUHDWH SUREDEOH FDXVH IRU DUUHVWLQJKLPRQWKHFKDUJHRIFULPLQDOWUHVSDVV  8QLWHG6WDWHVY5HHG 1R 1R 8QLWHG6WDWHVY5HHG  ,GDW FLWDWLRQRPLWWHG  )LUVWRIDOOWKHIDFWWKDWRQRQHSULRURFFDVLRQ5HHGKDG EHHQRUGHUHGRIIRI%0+$jVSURSHUW\E\2IILFHU7KRPSVRQ 7KHPDMRULW\DWWHPSWVWRGLVWLQJXLVK%ODLURQWKHIROORZLQJ LQGLFDWHVDWPRVWWKDW5HHGPD\QRWKDYHEHHQRQWKHSURSHUW\ EDVLV E\LQYLWDWLRQRQWKDWSDUWLFXODURFFDVLRQ2QWKHRWKHUKDQG EHFDXVH 2IILFHU 7KRPSVRQ FRXOG QRW UHFDOO ZKHWKHU KLV %ODLU    ILQGV SUREDEOH FDXVH WR EH ODFNLQJ LQ SUHYLRXVHQFRXQWHUZLWK5HHGZDVZHHNVRUPRQWKVHDUOLHU FLUFXPVWDQFHVLQZKLFKDQRIILFHUKDVQRNQRZOHGJHRI 5HHGFRXOGKDYHEHFDPHDUHVLGHQWLQWKHLQWHULP0RUHRYHU WKHH[LVWHQFHRISULYLOHJHSULRUWRDQDUUHVWIRUFULPLQDO 7KRPSVRQjVSDVWHQFRXQWHUZLWK5HHGSURYLGHVQRDQVZHUWR WUHVSDVV  +RZHYHU ZH EHOLHYH WKH :DVKLQJWRQ VWDWH WKHTXHVWLRQRIZKHWKHU5HHGKDGEHHQLQYLWHGRQWR%0+$jV FRXUWGHFLVLRQZDVEDVHGXSRQDUHTXLUHPHQWQHJDWLQJ SURSHUW\RQWKHGD\KHZDVDUUHVWHG WKHDIILUPDWLYHGHIHQVHRISULYLOHJHSULRUWRDUUHVWLQJD SHUVRQIRUWUHVSDVV7KLV&LUFXLWGRHVQRWUHTXLUHVXFKDQ 6HFRQGWKHPDMRULW\FLWHVWKHXQFRQWHVWHGIDFWWKDW5HHG DGGHGLQTXLU\WRWKHSUREDEOHFDXVHGHWHUPLQDWLRQ ZDVRQ%0+$j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mRQ ZKHWKHUWKHFLUFXPVWDQFHVNQRZQWRWKHRIILFHULQGLFDWHGWKDW 7KLUGWKHUHLVQRLQGLFDWLRQLQWKHUHFRUGWKDWDWWKHWLPHRI %ODLUZDVQRWRQWKHSURSHUW\IRUOHJLWLPDWHSXUSRVHVl,GDW 5HHGjVDUUHVWWKHRIILFHUVNQHZWKDW5HHGZDVQRWDUHVLGHQW  ,QIDFWWKHGLVWULFWFRXUWGLGQRWHYHQPDNHVXFKDILQGLQJ 7KHWHVWLPRQ\DWWKHVXSSUHVVLRQKHDULQJLQGLFDWHVWKDWWKH $OWKRXJKWKH6WDWHRI:DVKLQJWRQSURYLGHVDQDIILUPDWLYH EDVLVIRU2IILFHUV7KRPSVRQDQG+RUWRQEHOLHYLQJWKDW5HHG GHIHQVHWRFULPLQDOWUHVSDVVLIm>W@KHDFWRUUHDVRQDEO\EHOLHYHG ZDV QRW D UHVLGHQW RI WKH %0+$ SURSHUW\ ZDV VROHO\ WKDWWKHRZQHURIWKHSUHPLVHVZRXOGKDYHOLFHQVHGKLP 7KRPSVRQjV SDVW HQFRXQWHU ZLWK 5HHG  , WKXV ILQG WKH RUKHUWRHQWHURUUHPDLQlVHH%ODLU3GDWWKDWZDV PDMRULW\jVUHOLDQFHRQWKLVIDFWRUWREHPLVSODFHG QRWWKHIRFXVRIWKH%ODLUFRXUWjVLQTXLU\,QVWHDGWKHFRXUW IRFXVHGRQWKHRIILFHUjVUHDVRQDEOHEHOLHIVQRWWKHDFWRUjV )RXUWK WKH IDFW WKDW WKHUH ZHUH WZHQW\VL[ m1R &RQWUDU\WRWKH PDMRULW\jVDQDO\VLVWKH%ODLUFRXUWGLGQRW 7UHVSDVVLQJlVLJQVSRVWHGRQ%0+$j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sRQHVY&RPPRQZHDOWK6(G 9D&W$SS  RIILFHUV DSSURDFKHG PD\ UDLVH D VXVSLFLRQ WKDW KH ZDV ,QsRQHVDQRZQHURIDQDSDUWPHQWFRPSOH[ZKRKDGSRVWHG HQJDJHGLQDQ\RQHRIDPXOWLWXGHRILPSURSHUDFWLYLWLHVEXW m1R 7UHVSDVVLQJl VLJQV FRPSODLQHG WR WKH &LW\ RI LV QRW SDUWLFXODUO\ SUREDWLYH DV WR ZKHWKHU 5HHG ZDV 5LFKPRQGjVSROLFHGHSDUWPHQWWKDWKHZDVKDYLQJSUREOHPV SULYLOHJHGWREHRQWKHSURSHUW\,QDQ\HYHQWERWKRIILFHUV  8QLWHG6WDWHVY5HHG 1R 1R 8QLWHG6WDWHVY5HHG  WKHRYHUZKHOPLQJHYLGHQFHLQ6WULFNODQGWKHGHWHFWLYHVKDG ZLWK WUHVSDVVHUV DQG GUXJ GHDOHUV LQ WKH SDUNLQJ DUHD  +H SUREDEOHFDXVHWREHOLHYHWKDW6WULFNODQGKDGHQJDJHGLQD DVNHGIRUSROLFHDVVLVWDQFH6KRUWO\WKHUHDIWHUDPDQQDPHG GUXJWUDQVDFWLRQ%HFDXVHRIWKDWWKH\GLGQRWQHHGWRGLVSHO sRQHV ZDV VHHQ mKDQJLQJ RXWl LQ WKH SDUNLQJ ORW DQG ZDV DOOLQQRFHQWH[SODQDWLRQVIRUWKHPHHWLQJEHWZHHQ6WULFNODQG DUUHVWHGE\WKH5LFKPRQGSROLFHIRUFULPLQDOWUHVSDVV7KH DQG+DJJDUGEHIRUHDUUHVWLQJ6WULFNODQG7KHRIILFHUVLQWKH VHDUFKLQFLGHQWWRWKHDUUHVWXQFRYHUHGKHURLQ,QRUGHULQJWKH FDVH DW KDQG KRZHYHU QHYHU KDG SUREDEOH FDXVH WR DUUHVW KHURLQ VXSSUHVVHG WKH 9LUJLQLD &RXUW RI $SSHDOV KHOG DV 5HHGIRUFULPLQDOWUHVSDVVLQWKHILUVWSODFH IROORZV 7RH[SODLQWKHGLIIHUHQFHDQRWKHUZD\OHWXVDVVXPHWKDW sRQHVjVPHUHSUHVHQFHZLWKDQRWKHUPDQRQWKHSUHPLVHV %0+$jVDSDUWPHQWPDQDJHUKDGLQIRUPHGWKHRIILFHUVWKDW DW IRXU RjFORFN LQ WKH DIWHUQRRQ QHDU DQ DXWRPRELOH 5HHG ZDV WUHVSDVVLQJ  7KH RIILFHUV ZRXOG WKHQ KDYH KDG SDUNHG RQ D VWUHHW E\ DQ DSDUWPHQW FRPSOH[ ZDV SUREDEOHFDXVHWRDUUHVW5HHGIRUFULPLQDOWUHVSDVV,IDIWHU LQVXIILFLHQW WR HVWDEOLVK SUREDEOH FDXVH WR EHOLHYH WKDW DUUHVW 5HHG KDG DUJXHG WKDW WKH RIILFHUV ODFNHG SUREDEOH sRQHVZDVQHLWKHUDUHVLGHQWRIWKHDSDUWPHQWFRPSOH[ FDXVHWRDUUHVWEHFDXVHWKH\IDLOHGWRLQTXLUHDVWRZKHWKHUKH QRUOHJLWLPDWHO\XSRQWKHSUHPLVHVDWWKHLQYLWDWLRQRID ZDVLQYLWHGRQWRWKHSURSHUW\E\DWHQDQWKLVDUJXPHQWZRXOG UHVLGHQW7KHRIILFHUjVREVHUYDWLRQSHUPLWWHGRQO\DEDUH IDLO$WWKDWSRLQWOLNHLQ6WULFNODQGWKHRIILFHUVZRXOGKDYH VXVSLFLRQ,QGHHGWKHRIILFHUjVDVVHUWLRQWKDWsRQHVDQG KDGSUREDEOHFDXVHWRDUUHVWDQGZRXOGQRWKDYHKDGWRGLVSHO WKHRWKHUPDQZHUHmKDQJLQJRXWlGLGQRWDGGVXIILFLHQW HYHU\LQQRFHQWH[SODQDWLRQ7KRVHKRZHYHUDUHQRWWKHIDFWV LQIRUPDWLRQ WR UDLVH KLV VXVSLFLRQ RI WUHVSDVVLQJ WR RIWKHSUHVHQWFDVH SUREDEOHFDXVH 7KHWUHVSDVVRUGLQDQFHLQWKHFDVHEHIRUHXVOLNHWKHRQHV ,GDW LQ %ODLU sRQHV DQG ,Q UH sDVRQ $OOHQ '  SURYLGHV WKDW D SHUVRQPXVWHQWHURUUHPDLQRQDQRWKHUjVSURSHUW\ZLWKRXW )LQDOO\ LQ D FDVH ZKHUH WKH IDFWV ZHUH PXFK PRUH SULYLOHJH6HH2KLRY&OHOODQG1(G 2KLR FRPSHOOLQJIRUWKHVWDWHWKDQWKHRQHVDWEDUWKH0DU\ODQG &W$SS  m7KHFRQFHSWRISULYLOHJHKDVEHHQEURDGO\ &RXUW RI 6SHFLDO $SSHDOV UHYHUVHG WKH DSSHOODQWjV WUHVSDVV FRQVWUXHGDQGWKHVWDWHKDVEHHQUHTXLUHGWRSURYHODFNRI FRQYLFWLRQKROGLQJDVIROORZV SULYLOHJHl 7KHPDMRULW\FRQFOXGHVWKDWWKHIROORZLQJIDFWV HVWDEOLVK SUREDEOH FDXVH IRU 5HHGjV DUUHVW IRU FULPLQDO 2IILFHU&XVWHDGjVPHUHREVHUYDWLRQRIsDVRQmKDQJLQJ WUHVSDVV  5HHGKDGEHHQJLYHQ D SULRUZDUQLQJQRWWR RXWlRQWKHVLGHZDONDWWKHKRXVLQJSURMHFWWZRKRXUV HQWHUWKH%0+$SURSHUW\E\2IILFHU7KRPSVRQ  5HHGZDV DIWHUDQHDUOLHUDQGDUJXDEO\LQYDOLGDUUHVWIRUWUHVSDVVLQJ REVHUYHGRQWKH%0+$SURSHUW\  5HHGZDVQRWDUHVLGHQW ZDVLQVXIILFLHQWWRHVWDEOLVKSUREDEOHFDXVHWKDWsDVRQ RIWKH%0+$KRXVLQJSURMHFW  WKHUHZHUHWZHQW\VL[m1R ZDV D FULPLQDO WUHVSDVVHU  :H UHLWHUDWH WKDW LQ 7UHVSDVVLQJl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jV SURSHUW\ ZLWKRXW SULYLOHJH DW WKH WLPH RI KLV WKDW DSSHOODQW ZDV mKDQJLQJ RXWl RQ WKH SURSHUW\ DUUHVW SURYLGHV YHU\ OLWWOH JXLGDQFH DV WR ZKHWKHU 2IILFHU &XVWHDGKDGSUREDEOHFDXVHWREHOLHYHDSSHOODQWZDVD WUHVSDVVHU)RUWKHSXUSRVHRIDQDO\]LQJSUREDEOH  8QLWHG6WDWHVY5HHG 1R 1R 8QLWHG6WDWHVY5HHG  FDXVHZHUHYLHZZKDW2IILFHU&XVWHDGNQHZZKHQKH KDQG WKH PDMRULW\ FLWHV DQG UHOLHV KHDYLO\ XSRQ JHQHUDO VRXJKWWRDUUHVWsDVRQIRUWUHVSDVVLQJ sDVRQZDVRQ ODQJXDJHIURP8QLWHG6WDWHVY6WULFNODQG)G WK 6DJQHUSURSHUW\ sDVRQZDVQRWDUHVLGHQW sDVRQ &LU    ,Q 6WULFNODQG WKH SROLFH XVHG D PDQ QDPHG KDGUHFHLYHGDQRWUHVSDVVLQJQRWLFH sDVRQKDGEHHQ +DJJDUGDQLQGLFWHG GUXJRIIHQGHUZKRZDVZRUNLQJDVD DUUHVWHG OHVV WKDQ WZR KRXUV HDUOLHU IRU WUHVSDVVLQJ DW SROLFHLQIRUPDQWWRVHWXSDGUXJWUDQVDFWLRQZLWKDVXVSHFWHG 6DJQHUDOWKRXJKsDVRQZDVQRWRQ6DJQHUSURSHUW\ZKHQ GHDOHUQDPHG6WULFNODQG+DJJDUGWHOHSKRQHG6WULFNODQGLQ WKH ILUVW DUUHVW RFFXUUHG