Olden v. United States

Summarize
Check Treatment

Related Cases

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 $1'5( 2/'(1 ; 3HWLWLRQHU$SSHOODQW    1R Y  !  81,7(' 67$7(6 2) $0(5,&$  5HVSRQGHQW$SSHOOHH  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW 1Rn3DWULFNs'XJJDQ'LVWULFWsXGJH $UJXHG'HFHPEHU 'HFLGHGDQG)LOHG$XJXVW %HIRUHs21(6&2/(DQG*,/0$1&LUFXLWsXGJHV BBBBBBBBBBBBBBBBB &2816(/ $5*8('9LFNL/&DUPLFKDHOsHIIHUVRQYLOOH,QGLDQDIRU $SSHOODQW  'DYLG s 'HEROG $66,67$17 81,7(' 67$7(6 $77251(< 'HWURLW 0LFKLJDQ IRU $SSHOOHH 21%5,()9LFNL/&DUPLFKDHOsHIIHUVRQYLOOH,QGLDQDIRU $SSHOODQW  'DYLG s 'HEROG $66,67$17 81,7(' 67$7(6$77251(<'HWURLW0LFKLJDQIRU$SSHOOHH   2OGHQY8QLWHG6WDWHV 1R BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB 1$7+$1,(/ 5 s21(6 &LUFXLW sXGJH  3HWLWLRQHU $SSHOODQW$QGUH2OGHQDSSHDOVWKHGLVWULFWFRXUWjVGHQLDORI KLV †  PRWLRQ WR YDFDWH KLV FRQYLFWLRQ IRU QDUFRWLFV GLVWULEXWLRQ2OGHQDVVHUWVWKDWKHZDVSURYLGHGLQHIIHFWLYH DVVLVWDQFHRIFRXQVHODQGFRPSOHWHO\GHQLHGUHSUHVHQWDWLRQE\ KLVFRXQVHOjVDEVHQFHVDWFULWLFDOVWDJHVRIKLVWULDO:HKROG WKDWZKLOH2OGHQFDQQRWHVWDEOLVKSUHMXGLFHWRVXSSRUWKLV LQHIIHFWLYHDVVLVWDQFHFODLPKLVFRXQVHOjVDEVHQFHVDWFULWLFDO VWDJHVRIKLVWULDOFRPSOHWHO\GHQLHGKLPWKHUHSUHVHQWDWLRQ JXDUDQWHHGE\WKH6L[WK$PHQGPHQW+RZHYHUEHFDXVHZH FDQQRWGHWHUPLQHZKHWKHU2OGHQOHJLWLPDWHO\ZDLYHGKLVULJKW WRKLVRZQFRXQVHOZHUHPDQGIRUDQHYLGHQWLDU\KHDULQJRQ WKDW LVVXH  $FFRUGLQJO\ ZH 9$&$7( WKH GLVWULFW FRXUWjV GHQLDORI2OGHQjVPRWLRQWRYDFDWHDQG5(0$1'IRUIXUWKHU SURFHHGLQJVFRQVLVWHQWZLWKWKLVRSLQLRQ , 2OGHQZDVLQLWLDOO\LQGLFWHGRQIHGHUDOFRQVSLUDF\FKDUJHV LQ FRQQHFWLRQ ZLWK D GUXJ GLVWULEXWLRQ ULQJ  7KH RULJLQDO LQGLFWPHQWDOVRFKDUJHGm&DUORV/18lZLWKFRQVSLUDF\DQG KHURLQ GLVWULEXWLRQ RQ 0DUFK    2Q )HEUXDU\  DJUDQGMXU\UHWXUQHGDVXSHUVHGLQJLQGLFWPHQWZKLFK FRQWLQXHGWRFKDUJH2OGHQZLWKFRQVSLUDF\XQGHU&RXQWEXW PDGHQRPHQWLRQRIDm&DUORV/18l $WWULDOWKHJRYHUQPHQWSUHVHQWHGHYLGHQFHVKRZLQJWKDW 2OGHQZDVDGUXJmUXQQHUlRUGLVWULEXWRUIRUWKHOHDGHUVRI WKH FRQVSLUDF\ .DUO :LQJR DQG %UHWW /DQJ  6HH 8QLWHG 6WDWHVY/DQJ1R:/DW  WK&LU   XQSXEOLVKHGRSLQLRQ  DIILUPLQJ2OGHQjVFRQYLFWLRQRQ GLUHFW DSSHDO   )RXU ZLWQHVVHV GHVFULEHG VHYHUDO VSHFLILF LQVWDQFHVRI2OGHQjVFULPLQDOFRQGXFW7LUUHOO+DUULVWHVWLILHG WKDW LQ HDUO\  2OGHQ VHW XS DQG FRQVXPPDWHG D GUXJ WUDQVDFWLRQIRUDRQHHLJKWKNLORJUDPRIFRFDLQHIRU:LQJR 6LPLODUO\0LFKDHO=DMDFWHVWLILHGWKDWLQ'HFHPEHULQ  2OGHQY8QLWHG6WDWHV 1R 1R 2OGHQY8QLWHG6WDWHV  ,,, D GHDO VHW XS E\ :LQJR KH JDYH 2OGHQ  DQG 2OGHQ UHWXUQHGZLWKDTXDUWHUNLORJUDPRIFRFDLQHs$DW :KLOH ZH UHMHFW 2OGHQjV YDULRXV LQHIIHFWLYH DVVLVWDQFH FODLPVSHUWDLQLQJWRWKHm&DUORVlDOOHJDWLRQVDQGKLVIDLOXUHWR 2Q 0DUFK   XQGHUFRYHU '($ $JHQW 6WHYHQ ILOHYDULRXVSURFHGXUDOPRWLRQVZHKROGWKDW2OGHQjVFRXQVHO 0LWFKHOODFFRPSDQLHGE\$JHQW0LFKDHO%URZQDUUDQJHGWR ZDVDEVHQWDWFULWLFDOVWDJHVRIWKHWULDODQGWKDWLI2OGHQFDQ PDNHDKHURLQSXUFKDVHIURP:LQJR:LQJRVWDWHGWKDWKH HVWDEOLVK WKDW KH GLG QRW YROXQWDULO\ NQRZLQJO\ DQG ZRXOG VHQG DQ XQQDPHG SHUVRQ WR PHHW 0LWFKHOO DQG LQWHOOLJHQWO\ZDLYHKLVULJKWWRKDYHKLVRZQFRXQVHOKHPXVW FRPSOHWHWKHGHDO$WWKHVFKHGXOHGWLPHDPDQZDONHGXS EHJUDQWHGDQHZWULDO$FFRUGLQJO\ZH9$&$7(WKHGHQLDO WR0LWFKHOOjVYHKLFOHDQGVWDWHGKHZDVmRQHRI.DUOjVER\Vl RI 2OGHQjV †  PRWLRQ DQG 5(0$1' IRU IXUWKHU s$DW0LWFKHOODVNHGWKLVLQGLYLGXDOKLVQDPHDQGKH SURFHHGLQJVFRQVLVWHQWZLWKWKLVRSLQLRQ DQVZHUHGm&DUORVl%\WKHZD\KHVDLGKLVQDPH0LWFKHOO LPPHGLDWHO\VXVSHFWHGLWZDVDQDOLDV,QDQ\HYHQW0LWFKHOO UHMHFWHGWKHGUXJVRIIHUHGE\m&DUORVlDVKHVXVSHFWHGWKH KHURLQKDGEHHQmFXWlRUGLOXWHGWKURXJKFRPPLQJOLQJZLWK RWKHUVXEVWDQFHV$IWHUVXEVHTXHQWGLVFXVVLRQVZLWK:LQJR UHJDUGLQJWKHLQWHJULW\RIWKHGUXJV0LWFKHOODJUHHGWRDFFHSW WKHKHURLQ$VHFRQGPHHWLQJWRRNSODFHLQZKLFK0LWFKHOO FRQVXPPDWHGWKHGHDOZLWKWKHm&DUORVlKHKDGLQLWLDOO\PHW :KHQ 2OGHQ DSSHDUHG IRU KLV DUUDLJQPHQW LQ 1RYHPEHU 0LWFKHOOLGHQWLILHG2OGHQDVWKHm&DUORVlZKRVROGKLP KHURLQRQ0DUFK6HHs$DW,QDGGLWLRQ ZKHQ 2OGHQ ZHQW WR WKH '($ RIILFH WR JLYH KDQGZULWLQJ VDPSOHV $JHQW %URZQ SRVLWLYHO\ LGHQWLILHG 2OGHQ DV WKH m&DUORVlZKRKDGFRQVXPPDWHGWKH0DUFKGHDO%DVHGRQ WKHVH LGHQWLILFDWLRQV DOO UHIHUHQFHV WR m&DUORV /18l ZHUH RPLWWHG IURP D ODWHUILOHG VXSHUVHGLQJ LQGLFWPHQW  7KH VXSHUVHGLQJLQGLFWPHQWKRZHYHUGLGQRWVSHFLILFDOO\FKDUJH 2OGHQ ZLWK KHURLQ GLVWULEXWLRQ RQ 0DUFK  LW VLPSO\ UHPRYHG WKH SXUSRUWHG FKDUJHV DJDLQVW m&DUORV /18l LQ &RXQWVDQGRIWKHRULJLQDOLQGLFWPHQW 7KH JUDQG MXU\ WUDQVFULSW LQGLFDWHG WKDW WKH FRQGXFW IRUPHUO\DVFULEHGWRm&DUORVlZDVEHLQJLPSXWHGWR2OGHQ $GGLWLRQDOO\GLVFRYHU\RQWKHGD\EHIRUHWKHWULDOVXSSOLHG 2OGHQjV WULDO FRXQVHO  +RZDUG :LWWHQEHUJ ZLWK $JHQWV QHYHUWKHOHVV SUHVHUYHG KLV ULJKW WR ILOH D 5XOH  PRWLRQ $GGLWLRQDOO\ 0LWFKHOOjV DQG %URZQjV VXSSOHPHQWDO UHSRUW LPSOLFDWLQJ ZH QRWH WKDW WKH VHFRQG 5XOH  KHDULQJ GLG QRW UHODWH WR WKH FKDUJHV 2OGHQ DV m&DUORVl  /DQJ  :/  DW  DJDLQVW 2OGHQ DQG WKDW ZLWK UHJDUG WR :LWWHQEHUJjV DEVHQFH DW WKH sHQFNV KHDULQJ ZH KHOG RQ GLUHFW DSSHDO WKDW WKH sHQFNV PDWHULDOV ZHUH QRW 0RUHRYHU :LWWHQEHUJDGPLWWHGWKDWKHKDGUHDGWKHJUDQG GLVFRYHUDEOH 6HH /DQJ  :/  DW  ,Q VKRUW ZLWKRXW D MXU\ WHVWLPRQ\ RI DQ DJHQW ZKR DVVHUWHG WKDW 2OGHQ ZDV FULWLFDO VWDJH RU SUHMXGLFH VKRZLQJ 2OGHQjV FODLPV KHUH DUH PHULWOHVV  2OGHQY8QLWHG6WDWHV 1R 1R 2OGHQY8QLWHG6WDWHV  m&DUORVls$DW1HYHUWKHOHVV:LWWHQEHUJFODLPHGWKDW *LYHQWKHUHFRUGEHIRUHXVZHFDQQRWGHWHUPLQHZKHWKHU LWZDVQRWXQWLOWKHJRYHUQPHQWUHIHUUHGWR2OGHQDVm&DUORVl 2OGHQNQRZLQJO\DQGLQWHOOLJHQWO\DFFHSWHGVXEVWLWXWHFRXQVHO GXULQJWULDOWKDWKHOHDUQHGWKDW2OGHQZDVDOOHJHGWREHWKH DQGWKHUHE\ZDLYHGKLVULJKWWRKDYHKLVRZQFRXQVHOSUHVHQW m&DUORVl ZKR PDGH WKH 0DUFK   GHDO  :LWWHQEHUJ 7KHGLVWULFWFRXUWGLGQRWDVFHUWDLQZKHWKHU2OGHQKDGDQ\ DVVHUWHG WKDW KH KDG EHHQmDPEXVK>HG@l E\ WKH m&DUORVl NQRZOHGJH DV WR KLV 6L[WK $PHQGPHQW ULJKWV KLV ULJKW WR DOOHJDWLRQV DQG PRYHG WR VHYHU 2OGHQjV WULDO IURP KLV FR KDYHKLVRZQFRXQVHOKLVULJKWWRUHMHFWWKHVXEVWLWXWHFRXQVHO GHIHQGDQWV DVVHUWLQJ WKDW FRFRQVSLUDWRU 2WLV :LQJR .DUO RI KLV FRGHIHQGDQWV RU KLV ULJKW WR UHTXHVW D FRQWLQXDQFH :LQJRjV EURWKHU ZRXOG SURYLGH WHVWLPRQ\ VKRZLQJ WKDW XQWLOKLVRZQFRXQVHOFRXOGEHSUHVHQW1RUGLGWKHGLVWULFW DQRWKHU LQGLYLGXDO ZDV WKH UHDO m&DUORVl  s$ DW  FRXUWHQJDJHLQWKHNLQGRIFROORTX\HQYLVLRQHGE\)HGHUDO :LWWHQEHUJ FRQWHQGHG WKDW KLV VHYHUDQFH PRWLRQ ZRXOG 5XOH RI &ULPLQDO 3URFHGXUH  F  ZKHQ WZR FULPLQDO FR SURYLGHKLVRQO\RSSRUWXQLW\WRFDOO2WLV:LQJRVLQFH:LQJR GHIHQGDQWVDUHMRLQWO\UHSUHVHQWHGE\WKHVDPHFRXQVHO6HH KDGGHFLGHGQRWWRWHVWLI\:LWWHQEHUJIXUWKHUDOOHJHGWKDWE\ )HG5&ULP3 F :HKROGWKDWMXVWDVDGLVWULFWFRXUWLV QRW KDYLQJ QRWLFH WKDW 2OGHQ ZRXOG EH FKDUJHG ZLWK WKH UHTXLUHGWRDSSULVHDGHIHQGDQWVHHNLQJWRUHSUHVHQWKLPVHOI FRQGXFW DWWULEXWHG WR m&DUORVl KH ZDV XQDEOH IXOO\ DQG RI WKH QDWXUH RI KLV 6L[WK $PHQGPHQW ULJKWV DQG WKH DGHTXDWHO\WRGHIHQGKLVFOLHQW7KHGLVWULFWFRXUWGHQLHGWKH FRQVHTXHQFHVWKDWDWWHQGZDLYHURIWKRVHULJKWVVHH8QLWHG VHYHUDQFH PRWLRQ FRQFOXGLQJ WKDW :LWWHQEHUJ KDG 6WDWHVY+HUQDQGH])G WK&LU D DSSURSULDWHO\FURVVH[DPLQHGWKHLVVXHDQGmGHDOWZLWKLWDV VLPLODUFROORTX\LVUHTXLUHGZKHQDWDQ\SRLQWLQDWULDOD ZHOODVLWFRXOGEHGHDOWZLWKLI\RXjGNQRZQDERXWLWDPRQWK FULPLQDOGHIHQGDQWDJUHHVWRDFFHSWWKHVXEVWLWXWHFRXQVHORI EHIRUHls$DW DFRGHIHQGDQW6XFKDQH[SODQDWLRQLVFRQWHPSODWHGE\5XOH  F DQGPDQGDWHGE\WKH&RQVWLWXWLRQjVUHTXLUHPHQWWKDW $W WULDO LQ DGGLWLRQ WR WKH m&DUORVl WHVWLPRQ\ WKH ZH UHFRJQL]H D 6L[WK $PHQGPHQW ZDLYHU RQO\ ZKHQ D JRYHUQPHQW LQWURGXFHG ZLUHWDS WHVWLPRQ\ LQ ZKLFK .DUO FULPLQDOGHIHQGDQWNQRZLQJO\LQWHOOLJHQWO\DQGYROXQWDULO\ :LQJRGLVFXVVHGHIIRUWVE\2OGHQDQGRWKHUVWRORFDWHYDULRXV DJUHHVWRVXUUHQGHUKLVULJKWWRFRXQVHO GUXJ SDUDSKHUQDOLD EHIRUH VHDUFK ZDUUDQWV ZHUH H[HFXWHG 2OGHQUHVSRQGHGWRWKHm&DUORVlFKDUJHVE\FRQWHQGLQJWKDW %HFDXVHWKHFXUUHQWUHFRUGGRHVQRWDOORZXVWRGHWHUPLQH WKHDJHQWVWHVWLILHGm&DUORVlZDVILIW\WRVL[W\SRXQGVOLJKWHU ZKHWKHU2OGHQNQRZLQJO\DQGLQWHOOLJHQWO\ZDLYHGKLV6L[WK WKDQ 2OGHQ  7KH JRYHUQPHQW KRZHYHU FRXQWHUHG WKLV $PHQGPHQWULJKWVZHUHPDQGIRUDQHYLGHQWLDU\KHDULQJRQ DVVHUWLRQZLWKWHVWLPRQ\IURP=DMDFZKRVWDWHGWKDW2OGHQ WKHH[WHQWRI2OGHQjVDZDUHQHVVRIKLVULJKWWRKDYHKLVRZQ KDGJDLQHGDSSUR[LPDWHO\VL[W\SRXQGV$GGLWLRQDOO\ERWK FRXQVHO SUHVHQW  ,I 2OGHQ FDQ HVWDEOLVK WKDW KH GLG QRW $JHQWV 0LWFKHOO DQG %URZQ SRVLWLYHO\ LGHQWLILHG 2OGHQ DV YROXQWDULO\ NQRZLQJO\ DQG LQWHOOLJHQWO\ ZDLYH KLV ULJKW WR m&DUORVl DW WULDO  6HH s$ DW    2OGHQ ZDV KDYHKLVFRXQVHOSUHVHQW2OGHQPXVWEHJUDQWHGDQHZWULDO XOWLPDWHO\FRQYLFWHGRIWKHFRQVSLUDF\FKDUJHDQGVHQWHQFHG JLYHQ RXU FRQFOXVLRQ WKDW :LWWHQEHUJjV sXQH  DQG  WR  PRQWKV  2Q GLUHFW DSSHDO 2OGHQ DVVHUWHG WKDW WKH DEVHQFHVRFFXUUHGDWFULWLFDOVWDJHVRI2OGHQjVWULDO JRYHUQPHQW FRQVWUXFWLYHO\ DPHQGHG WKH LQGLFWPHQW E\ FKDUJLQJKLPZLWKWKHFRQGXFWDWWULEXWHGWRm&DUORVlDQGWKDW WKHGLVWULFWFRXUWHUUHGLQGHQ\LQJKLVVHYHUDQFHPRWLRQ6HH  /DQJ:/DW 7KLVFRXUWVXPPDULO\UHMHFWHG 2OGHQ DOVR FLWHV :LWWHQEHUJjV DEVHQFHV DW WZR 5XOH  KHDULQJV DQG D sHQFNV PDWHULDO KHDULQJ 2OGHQ KRZHYHU GRHV QRW DYHU WKDW WKHVH 2OGHQjVFODLPV,G DEVHQFHV RFFXUUHG DW FULWLFDO VWDJHV RI KLV WULDO DQG EHFDXVH KH KDV QRW VKRZQ DQ\ SUHMXGLFH IURP WKHVH DEVHQFHV ZH FDQQRW FRQFOXGH WKDW :LWWHQEHUJ SURYLGHG LQHIIHFWLYH DVVLVWDQFH E\ PLVVLQJ WKHVH KHDULQJV :H DOVR QRWH WKDW HYHQ WKRXJK :LWWHQEHUJ PLVVHG RQH 5XOH  KHDULQJ KH  2OGHQY8QLWHG6WDWHV 1R 1R 2OGHQY8QLWHG6WDWHV  :H QRZ FRQVLGHU ZKHWKHU 2OGHQ ZDLYHG KLV 6L[WK 2OGHQ VXEVHTXHQWO\ ILOHG D †  SHWLWLRQ WR YDFDWH $PHQGPHQW SURWHFWLRQV GXULQJ :LWWHQEHUJjV DEVHQFHV RQ DVVHUWLQJLQHIIHFWLYHDVVLVWDQFHRIFRXQVHODQGWKDW:LWWHQEHUJ sXQHDQG2QsXQH:LWWHQEHUJLQIRUPHGWKHFRXUWWKDW GHQLHG KLP DVVLVWDQFH DOWRJHWKHU E\ KLV VHYHUDO DEVHQFHV EHFDXVHKHKDGWRDWWHQGDIXQHUDOWKHQH[WGD\KHZRXOGEH GXULQJWKHWULDO2OGHQHPSKDVL]HG:LWWHQEHUJjVDEVHQFHV DEVHQWIURPWKHFRXUWURRP7KHH[FKDQJHEHWZHHQ2OGHQjV GXULQJ WZR SDUWLFXODU HSLVRGHV RI WKH WULDO ZKHQ WKH FRXQVHODQGWKHFRXUWSURFHHGHGDVIROORZV SURVHFXWLRQ LQWURGXFHG HYLGHQFH DOOHJHGO\ SHUWDLQLQJ WR 2OGHQjV JXLOW  2Q sXQH   $JHQW 0LFKDHO %URZQ 0U:LWWHQEHUJ0\FOLHQWKDVQRREMHFWLRQVWRKDYLQJ DPRQJRWKHUVDWWHVWHGWRWKHFULPLQDODFWLYLWLHVRI2OGHQjVFR 7LPRWK\%DUNRYLF>2WLV:LQJRjVFRXQVHO@LQP\DEVHQFH GHIHQGDQWVDQGZLWQHVVsRDQQH3HUVRQWHVWLILHGWKDW2OGHQ WDNHQRWHVRUZKDWHYHU$QG,ZRXOGMXVWOLNHWRSODFHLW ZDV SUHVHQW DW D KHURLQ SXUFKDVH VKH PDGH DW D ORFDO RQWKHUHFRUGDW>VLF@P\FOLHQWDFNQRZOHGJHWKDW UHVLGHQFH 6HH s$ DW   $GGLWLRQDOO\ RQ sXQH  WKH JRYHUQPHQW SUHVHQWHG ZLUHWDS HYLGHQFH RI D FRQYHUVDWLRQ 7KH&RXUW0U2OGHQLVWKDWDJUHHDEOHZLWK\RX" EHWZHHQ2WLVDQG.DUO:LQJRLQZKLFK.DUODVNV2WLVZKR LV ZLWK KLP 2WLV UHVSRQGV WKDW KH LV ZLWK 2OGHQ DQG WKH 'HIHQGDQW2OGHQ/DQJjVFRXQVHO@0U:LWWHQEHUJKDVFDOOHGDQGDVNHG ,QHIIHFWLYH DVVLVWDQFH RI FRXQVHO FODLPV SUHVHQW PL[HG WKDW,DJDLQVWDQGLQIRU0U2OGHQ,jYHGLVFXVVHGLWZLWK TXHVWLRQVRIODZDQGIDFWWKDWZHUHYLHZGHQRYR6HH8QLWHG 0U2OGHQ>7R2OGHQ@/DQJjVFRXQVHO@9HU\JRRG7KDQN\RX FRXQVHOjVSHUIRUPDQFHZDVSURIHVVLRQDOO\GHILFLHQWVHFRQG ZHGHWHUPLQHZKHWKHUWKHGHILFLHQWSHUIRUPDQFHSUHMXGLFHG 7KH&RXUW2ND\7KDQNV WKH GHIHQGDQWjV FRQVWLWXWLRQDO LQWHUHVWV  6HH 6WULFNODQG Y :DVKLQJWRQ86  5LFNPDQY%HOO s$DW )G WK&LU *UDYOH\Y0LOOV)G  WK&LU   2OGHQY8QLWHG6WDWHV 1R 1R 2OGHQY8QLWHG6WDWHV  ,Q DVVHVVLQJ FRXQVHOjV SHUIRUPDQFH ZH LQTXLUH ZKHWKHU +HUH EHIRUH ZH FRQVLGHU ZKHWKHU 2OGHQ NQRZLQJO\ DQG mFRXQVHOjVUHSUHVHQWDWLRQIHOOEHORZDQREMHFWLYHVWDQGDUGRI LQWHOOLJHQWO\ ZDLYHG KLV 6L[WK $PHQGPHQW ULJKWV ZH PXVW UHDVRQDEOHQHVVl DV PHDVXUHG E\ mSUHYDLOLQJ SURIHVVLRQDO ILUVW FRQVLGHU ZKHWKHU WKH DEVHQFHV RI 2OGHQjV FRXQVHO QRUPVl5LFNPDQ)GDW TXRWLQJ6WULFNODQG RFFXUUHGDWDVXIILFLHQWO\mFULWLFDOlVWDJHRIWKHWULDOWRWULJJHU 86 DW    7KLV REMHFWLYH UHDVRQDEOHQHVV VWDQGDUG WKHSURWHFWLRQVRI&URQLF2OGHQjVFRXQVHO:LWWHQEHUJZDV HQFRPSDVVHV VWUDWHJLF OLWLJDWLRQ FKRLFHV WKDW VLPSO\ IDLO WR DEVHQWRQQXPHURXVRFFDVLRQVGXULQJWULDO6SHFLILFDOO\RQ EHDU IUXLW  6HH 6WULFNODQG  86 DW   7R HVWDEOLVK sXQHDQGsXQH:LWWHQEHUJZDVDEVHQWZKHQWKH SUHMXGLFH D GHIHQGDQW PXVW GHPRQVWUDWH D UHDVRQDEOH JRYHUQPHQW SUHVHQWHG HYLGHQFH WKDW SHUWDLQHG WR 2OGHQjV SUREDELOLW\WKDWmEXWIRUFRXQVHOjVXQSURIHVVLRQDOHUURUVWKH JXLOW  2Q sXQH  $JHQW %URZQ GHVFULEHG WKH FULPLQDO UHVXOW RI WKH SURFHHGLQJ ZRXOG KDYH EHHQ GLIIHUHQWl DFWLYLWLHV RI 2OGHQjV FRGHIHQGDQWV DQG ZLWQHVV sRDQQH 5LFNPDQ)GDW TXRWLQJ6WULFNODQG86DW 3HUVRQWHVWLILHGWKDW2OGHQZDVSUHVHQWDWDKHURLQSXUFKDVH  3UHMXGLFHLVSUHVXPHGKRZHYHUZKHQDGHIHQGDQW VKHPDGHDWDORFDOUHVLGHQFH6HHs$DW,QDGGLWLRQRQ GHPRQVWUDWHVDFWXDOFRQIOLFWVRILQWHUHVWWKDWFRPSURPLVHDQ sXQHWKHJRYHUQPHQWSUHVHQWHGZLUHWDSHYLGHQFHREWDLQHG DWWRUQH\jV DELOLW\ WR DGYRFDWH KLV FOLHQWjV LQWHUHVWV VHH LG E\$JHQW0LWFKHOO7KLVHYLGHQFHLQFOXGHGDFRQYHUVDWLRQ FLWLQJ 6WULFNODQG  86 DW   RU ZKHQ FRXQVHO LV EHWZHHQ2WLVDQG.DUO:LQJRLQZKLFK2WLVUHSUHVHQWHGWKDW FRPSOHWHO\GHQLHGGXHWRDEVHQFHDWDFULWLFDOVWDJHRIDWULDO 2OGHQZDVZLWKKLPDQGWKH:LQJREURWKHUVSURFHHGHGWR 6HH8QLWHG6WDWHVY&URQLF86Q   FRQYHUVH DERXW GUXJUHODWHG DFWLYLW\  6HH 7U ;9,,, DW  7KHHYLGHQFHSUHVHQWHGRQsXQHDQGUHODWLQJWR2OGHQjV 2OGHQFRQWHQGVKLVFRXQVHOZDVFRQVWLWXWLRQDOO\GHILFLHQW SUHVHQFH DW GUXJ GHDOV DQG WKH :LQJR EURWKHUVj DSSDUHQW IRUIDLOLQJWRREWDLQPDWHULDOHYLGHQFHIDLOLQJWRILOHYDULRXV FRPIRUWLQGLVFXVVLQJFULPLQDODFWLYLW\DURXQGKLPWHQGVWR PRWLRQVDQGH[FHVVLYHDEVHQFH+HDGGLWLRQDOO\DVVHUWVWKDW LPSOLFDWH 2OGHQ LQ WKH GUXJ FRQVSLUDF\ RI ZKLFK KH ZDV KHZDVGHQLHG6L[WK$PHQGPHQWHIIHFWLYHDVVLVWDQFHE\WKH FRQYLFWHG DJJUHJDWHHIIHFWRIWKHVHSXUSRUWHGHUURUV:HZLOOGLVFXVV HDFKDOOHJDWLRQLQWXUQ :KHQ WKH JRYHUQPHQW SUHVHQWV HYLGHQFH SUREDWLYH RI D GHIHQGDQWjVFXOSDELOLW\LQFULPLQDODFWLYLW\RUHYLGHQFHWKDW $ IXUWKHU LPSOLFDWHV D GHIHQGDQW LQ FULPLQDO FRQGXFW WKDW SRUWLRQRIDFULPLQDOWULDOLVVXIILFLHQWO\FULWLFDOWRWKHXOWLPDWH 2OGHQ ILUVW DVVHUWV WKDW KLV WULDO FRXQVHO SURYLGHG TXHVWLRQ RI JXLOW WR WULJJHU WKH SURWHFWLRQV RI &URQLF  6HH FRQVWLWXWLRQDOO\ GHILFLHQW UHSUHVHQWDWLRQ E\ IDLOLQJ WR OHDUQ *UHHQ  )G DW  KROGLQJ WKDW m>W@KH DEVHQFH RI VRRQHUWKDWWKHJRYHUQPHQWLQWHQGHGWRDVFULEHWKH0DUFK FRXQVHOGXULQJWKHWDNLQJRIHYLGHQFHRQWKHGHIHQGDQWjVJXLOW FULPLQDOFRQGXFWRIm&DUORVlWRKLP1RWZLWKVWDQGLQJ LVSUHMXGLFLDOSHUVHlDQGWKHUHIRUHIRUHFORVHVDKDUPOHVVHUURU WKDW WKH VXSHUVHGLQJ JUDQG MXU\ WUDQVFULSW FRQWDLQHG WKLV DQDO\VLV FI9LQHVY8QLWHG6WDWHV)G WK LQIRUPDWLRQDQGWULDOFRXQVHO:LWWHQEHUJjVDGPLVVLRQWKDWKH &LU  ILQGLQJLQDPXOWLGHIHQGDQWFDVHWKDWDEVHQFHRI GLVFRYHUHGDQDOOHJDWLRQRI2OGHQDVm&DUORVlLQWKHJUDQG FRXQVHOGXULQJWDNLQJRIQRQLQFXOSDWRU\HYLGHQFHZDVQRW MXU\WHVWLPRQ\VHHs$DW:LWWHQEHUJVWDWHGWKDWKHZDV SUHMXGLFLDO SHU VH   :H WKHUHIRUH KROG WKDW WKH WULDO mDPEXVK>HG@l DW WULDO E\ WKH JRYHUQPHQWjV DOOHJDWLRQV WKDW SURFHHGLQJVRIsXQHDQGsXQHZHUHVXIILFLHQWO\FULWLFDO 2OGHQ ZDV m&DUORVl  s$ DW   2OGHQ FRQWHQGV WKDW VWDJHV RI 2OGHQjV WULDO WKDW KH ZDV FRQVWLWXWLRQDOO\ GHQLHG EHFDXVH :LWWHQEHUJ GLG QRW DQWLFLSDWH WKH m&DUORVl FRXQVHOLIKHGLGQRWNQRZLQJO\DQGLQWHOOLJHQWO\ZDLYHKLV DOOHJDWLRQV:LWWHQEHUJGLGQRWSXUVXHLQYHVWLJDWHRUGHYHORS ULJKWWRFRXQVHOGXULQJWKHVHSURFHHGLQJV LQIRUPDWLRQWKDWPLJKWKDYHH[RQHUDWHGKLPLQFOXGLQJ2WLV  2OGHQY8QLWHG6WDWHV 1R 1R 2OGHQY8QLWHG6WDWHV   :/  DW  WK &LU   XQSXEOLVKHG :LQJRjV DOOHJHG VWDWHPHQW WKDW KH FRXOG LGHQWLI\ WKH WUXH GLVSRVLWLRQ  m&DUORVl6HH2OGHQjV%UDW & :KLOH:LWWHQEHUJGLGSUHVHQWDPLVWDNHQLGHQWLW\GHIHQVH KLVDELOLW\WRHIIHFWLYHO\GHIHQG2OGHQZDVVHULRXVO\KDPSHUHG 7KLUG 2OGHQ FRQWHQGV WKDW KH GLG QRW KDYH DQ\ E\KLVSUHWULDOXQDZDUHQHVVWKDWWKHJRYHUQPHQWLQWHQGHGWR UHSUHVHQWDWLRQGXULQJWKRVHRFFDVLRQVZKHQKLVFRXQVHOZDV DOOHJHWKDW2OGHQZDVm&DUORVl$VWKLV&RXUWQRWHGRQGLUHFW DEVHQWIURPWKHFRXUWURRPDQGWKDWKHGLGQRWNQRZLQJO\DQG DSSHDO WKH JUDQG MXU\ WUDQVFULSW DQG sHQFNV SUHWULDO LQWHOOLJHQWO\ DFFHSW VXEVWLWXWH FRXQVHO RQ WKRVH RFFDVLRQV GLVFORVXUHoDOEHLWWKHGD\EHIRUHWULDOoSURYLGHGQRWLFHRIWKH :KLOH6L[WK$PHQGPHQWMXULVSUXGHQFHJHQHUDOO\UHTXLUHVD JRYHUQPHQWjVFODLPVRQWKHm&DUORVlLVVXH6HH/DQJ FODLPDQW WR GHPRQVWUDWH GHILFLHQW UHSUHVHQWDWLRQ DQG :/DW 0RUHRYHUDVSUHYLRXVO\QRWHGFRXQVHO SUHMXGLFH ZH SUHVXPH SUHMXGLFH ZKHQ D GHIHQGDQW DGPLWWHGWKDWKHUHYLHZHGDQRIILFHUjVJUDQGMXU\VWDWHPHQW GHPRQVWUDWHVDFWXDOFRQIOLFWVRILQWHUHVWWKDWFRPSURPLVHDQ WKDW WKH DXWKRULWLHV mGHWHUPLQHGl WKDW m&DUORVl ZDV 2OGHQ DWWRUQH\jV DELOLW\ WR DGYRFDWH KLV FOLHQWjV LQWHUHVWV VHH s$DW'HVSLWHWKLVQRWLFH:LWWHQEHUJZDVZKROO\ 5LFNPDQ  )G DW  FLWLQJ 6WULFNODQG  86 DW VXUSULVHGE\WKHm&DUORVlDOOHJDWLRQVDQGDGPLWWHGO\KDGQRW  RUZKHQFRXQVHOLVFRPSOHWHO\GHQLHGGXHWRDEVHQFHDW GHYHORSHGRULQYHVWLJDWHGWKHH[LVWHQFHRIDSXUSRUWHGWUXH DmFULWLFDOVWDJHlRIDWULDO6HH&URQLF86DW m7KH m&DUORVlRUSUREHGRWKHUSRVVLEOHGHIHQVHVRQWKLVLVVXH7KH SUHVXPSWLRQWKDWFRXQVHOjVDVVLVWDQFHLVHVVHQWLDOUHTXLUHVXV GXW\ WR GHYHORS SUHGLFDWH IDFWV XQGHUO\LQJ D FULPLQDO WR FRQFOXGH WKDW D WULDO LV XQIDLU LI WKH DFFXVHG LV GHQLHG SURVHFXWLRQLVSDUDPRXQW6HHHJ&ROHVY3H\WRQ)G FRXQVHODWDFULWLFDOVWDJHRIKLVWULDOl VHHDOVR*UHHQY$UQ  WK&LU  m&RXQVHOPXVWFRQGXFWDSSURSULDWH )G  WK&LU YDFDWHGDQGUHPDQGHGRQ LQYHVWLJDWLRQVERWKIDFWXDODQGOHJDOWRGHWHUPLQHLIPDWWHUV RWKHUJURXQGV86  UHLQVWDWHGRQUHPDQG RIGHIHQVHFDQEHGHYHORSHGDQGWRDOORZKLPVHOIHQRXJK )G WK&LU  WLPHIRUUHIOHFWLRQDQGSUHSDUDWLRQIRUWULDOl %\IDLOLQJWR GR VR :LWWHQEHUJ SURYLGHG 2OGHQ ZLWK FRQVWLWXWLRQDOO\ 1HYHUWKHOHVV UHSUHVHQWDWLRQ RU ODFN WKHUHRI WKDW ZRXOG GHILFLHQWUHSUHVHQWDWLRQ RWKHUZLVHFRQVWLWXWHDFRQVWLWXWLRQDOYLRODWLRQPD\EHH[FXVHG ZKHQ D GHIHQGDQW NQRZLQJO\ DQG LQWHOOLJHQWO\ ZDLYHV KLV 1RWZLWKVWDQGLQJ FRXQVHOjV SURYLVLRQ RI LQHIIHFWLYH 6L[WK $PHQGPHQW ULJKW WR FRXQVHO  6HH 8QLWHG 6WDWHV Y UHSUHVHQWDWLRQ2OGHQKDVQRWHVWDEOLVKHGD6L[WK$PHQGPHQW 1LFKROV)G WK&LU VHHDOVR8QLWHG YLRODWLRQRQWKHm&DUORVlFODLPEHFDXVHKHFDQQRWHVWDEOLVK 6WDWHV Y 6WUDXJKWHU  )G   WK &LU  SUHMXGLFH)LUVWLWLVQRWDEOHWKDWRXWVLGHRIWKHDOOHJHG2WLV KROGLQJ WKDW NQRZLQJ DQG LQWHOOLJHQW ZDLYHU RI 6L[WK :LQJRWHVWLPRQ\2OGHQKDVQRWVSHFLILFDOO\LGHQWLILHGDQ\ $PHQGPHQWULJKWVSUHFOXGHGFKDOOHQJHWRFRXQVHOjVSXUSRUWHG H[FXOSDWRU\SRVVLELOLWLHVWKDWZHUHEDUUHGE\FRXQVHOjVEHODWHG FRQIOLFWRILQWHUHVW  NQRZOHGJHRIWKHm&DUORVlDOOHJDWLRQV)XUWKHUERWK$JHQWV 0LWFKHOODQG%URZQSRVLWLYHO\LGHQWLILHG2OGHQDVm&DUORVl s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j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† D  SURYLGHVWKDWLWLVXQODZIXOWRGLVWULEXWHD IRUIDLOLQJWRILOHYDULRXVSURFHGXUDOPRWLRQV6SHFLILFDOO\ mFRQWUROOHG VXEVWDQFHl  %RWK KHURLQ DQG FRFDLQH DUH 2OGHQDOOHJHVWKDWFRXQVHOSURYLGHGLQHIIHFWLYHUHSUHVHQWDWLRQ SURVFULEHGmFRQWUROOHGVXEVWDQFHVlXQGHU† D 6HHHJ E\IDLOLQJWRFKDOOHQJHWKHLQGLFWPHQWIDLOLQJWRPRYHIRUD 8QLWHG6WDWHVYsRQHV1R:/DW  PLVWULDO DQG IDLOLQJ WR UHTXHVW D VSHFLDO YHUGLFW  7KHVH WK &LU   XQSXEOLVKHG GLVSRVLWLRQ   0RUHRYHU WKH FODLPVDUHZLWKRXWPHULW GLVWULFWFRXUWQRWWKHMXU\GHWHUPLQHVWKHNLQGDQGTXDQWLWLHV RImFRQWUROOHGVXEVWDQFHVlIRUWKHSXUSRVHVRIVHQWHQFLQJ6HH 2OGHQLQLWLDOO\FODLPVWKDWWKHLQGLFWPHQWVKRXOGKDYHEHHQ (GZDUGVY8QLWHG6WDWHV6&W   m7KH FKDOOHQJHGIRUYDULDQFH6SHFLILFDOO\2OGHQFRQWHQGVWKDWWKH 6HQWHQFLQJ*XLGHOLQHVLQVWUXFWWKHMXGJHLQDFDVHOLNHWKLV MXU\PLJKWKDYHPLVXQGHUVWRRGWKHFKDUJHVLWUHWXUQHGDJDLQVW RQHWRGHWHUPLQHERWKWKHDPRXQWDQGWKHNLQGRIµFRQWUROOHG KLP7KLVFODLPIDLOVKRZHYHUEHFDXVHWKHJUDQGMXU\KHDUG VXEVWDQFHVjIRUZKLFKDGHIHQGDQWVKRXOGEHKHOGDFFRXQWDEOH D'($DJHQWjVWHVWLPRQ\WKDW2OGHQZDVm&DUORVlDQG2OGHQ oDQGWKHQWRLPSRVHDVHQWHQFHWKDWYDULHVGHSHQGLQJXSRQ KDVQRWHVWDEOLVKHGSUHMXGLFHIURPDQ\SXUSRUWHGYDULDQFH DPRXQW DQG NLQGl  8QLWHG 6WDWHV Y 5H\  )G  2OGHQDOVRFKDOOHQJHVFRXQVHOjVUHSUHVHQWDWLRQIRUIDLOLQJWR  WK&LU  m%HFDXVHWKHTXDQWLW\SRVVHVVHGLVQRW PRYH IRU D PLVWULDO RQ WKH JRYHUQPHQWjV SXUSRUWHG DQHOHPHQWRIWKHRIIHQVHXQGHU86&† D DVSHFLDO SUHVHQWDWLRQRImH[WUDQHRXVHYLGHQFHl2OGHQYDJXHO\DQG LQWHUURJDWRU\UHJDUGLQJWKHDPRXQWRIFRFDLQHLQYROYHGLVQRW ZLWKRXW DQ\ FLWDWLRQ WR WKH UHFRUG FRQWHQGV WKDW WKH UHTXLUHGE\WKHVWDWXWHl 8QLWHG6WDWHVY0RUHQR)G SURVHFXWLRQjVHYLGHQFHRIGUXJGLVWULEXWLRQLQmRWKHUSDUWVRI  WK&LU  DVVHUWLQJWKDWEHFDXVH† E mVHWV WKH FRXQWU\ DQG WKH 3KLOOLSSLQHV ZHUH XVHGl WR EROVWHU WKH IRUWK SHQDOW\ SURYLVLRQV RQO\ DQG QRW VHSDUDWH µOHVVHU FRQVSLUDF\ FKDUJH  6HH LG  +RZHYHU WKLV DOOHJDWLRQ LV LQFOXGHGjRIIHQVHVWKHVHQWHQFLQJMXGJHQRWWKHMXU\KDV HQFRPSDVVHG ZLWKLQ WKH SULRU DOOHJDWLRQV RI RYHUEURDG WKH SUHURJDWLYH WR PDNH D GHWHUPLQDWLRQ RI WKH TXDQWLW\ RI DGPLVVLELOLW\WKDWZHUHGLVPLVVHGRQGLUHFWDSSHDO6HH/DQJ GUXJV LQYROYHG LQ WKH VFKHPH DQG VHQWHQFH DFFRUGLQJO\l  :/DW 0RUHRYHU2OGHQKDVQRWDGYDQFHG 7KXV DV WKH GLVWULFW FRXUW IRXQG HYHQ LI WKHUH ZHUH D DQ\ ZD\ WKDW KLV LQWHUHVWV ZHUH FRPSURPLVHG E\ WKH VLJQLILFDQW SRVVLELOLW\ RI YDULDQFH RQ 2OGHQjV FRFDLQH DQG DGPLVVLELOLW\RIWKHHYLGHQFHKHYDJXHO\UHIHUVWRDQGKDVQRW KHURLQ GLVWULEXWLRQ FKDUJHV WKH YDULDQFH LV QRW SUHMXGLFLDO HYHQDWWHPSWHGWRDOOHJHWKDWKHZDVSUHMXGLFHG JLYHQWKHEURDGHUDPELWRI† D %HFDXVH2OGHQKDVQRW VKRZQ WKDW KH ZDV HQWLWOHG WR D VSHFLDO YHUGLFW KH FDQQRW HVWDEOLVK WKDW KLV FRXQVHO ZDV FRQVWLWXWLRQDOO\ GHILFLHQW LQ IDLOLQJWRUHTXHVWRQH6HH8QLWHG6WDWHVY/LWWOH1R  2OGHQ DGGLWLRQDOO\ FODLPV WKDW :LWWHQEHUJ VKRXOG KDYH UHTXHVWHG D mOHVVHU LQFOXGHG RIIHQVHl LQVWUXFWLRQ 2OGHQ KRZHYHU GRHV QRW FLWH DQ\ HYLGHQFH WKDW VXSSRUWV KLV FODLP QRU GRHV KH DWWHPSW WR UHIXWH VXEVWDQWLDO HYLGHQFH VKRZLQJ WKDW KH IDFLOLWDWHG WKH GLVWULEXWLRQ DFWLYLWLHV RI .DUO :LQJR $FFRUGLQJO\ 2OGHQjV FODLP LV ZLWKRXW PHULW