United States v. Peterman

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21
 8QLWHG6WDWHVY 1RV 3XUVXDQW WR 6L[WK &LUFXLW 5XOH 

3HWHUPDQHWDO (/(&7521,& &,7$7,21  )(' $SS 3 WK &LU
)LOH 1DPH DS

*UDQW Y 8QLWHG 6WDWHV  )G   WK &LU 
GHFOLQLQJ WR JUDQW †  UHOLHI RQ D GHIDXOWHG FODLP RI 81,7('67$7(6&28572)$33($/6
VHQWHQFLQJHUURUEHFDXVHWKHUHZDVQRmEUHDNGRZQRIWKHWULDO
SURFHVVl6FRWWY8QLWHG6WDWHV)GWK&LU )257+(6,;7+&,5&8,7
 KROGLQJ WKDW WKH GLVWULFW FRXUW VKRXOG QRW KDYH BBBBBBBBBBBBBBBBB
FRQVLGHUHG D †  SHWLWLRQ EDVHG RQ DQ DOOHJHG
PLVDSSOLFDWLRQRIWKHVHQWHQFLQJJXLGHOLQHV
)RUWKHVHUHDVRQVZHKROGWKDWGHIHQGDQWVKDYHIDLOHGWR  ;
VKRZWKDW†ZDVmLQDGHTXDWHRULQHIIHFWLYHlIRUWKHLU 81,7(' 67$7(6 2) $0(5,&$ 
FODLPVDQGWKHUHIRUHWKHGLVWULFWFRXUWODFNHGMXULVGLFWLRQWR 3ODLQWLII$SSHOODQW 
JUDQW UHOLHI XQGHU †   :H GR QRW UHDFK %HOOjV FURVV  1RV
DSSHDOUHJDUGLQJDIXUWKHUVHQWHQFLQJUHGXFWLRQ  
Y !

,,, 
'$55(// 3(7(50$1 
$FFRUGLQJO\ ZH UHYHUVH WKH JUDQWV RI KDEHDV UHOLHI DQG 'HIHQGDQW$SSHOOHH 
UHPDQGWKHVHFDXVHVWRWKHGLVWULFWFRXUWZLWKLQVWUXFWLRQVWR 
YDFDWHWKHQHZVHQWHQFHVDQGUHLQVWDWHWKHRULJLQDOVHQWHQFHV 


81,7(' 67$7(6 2) $0(5,&$ 
3ODLQWLII$SSHOODQW 

Y 

&5$,* )25(67 

'HIHQGDQW$SSHOOHH 

 
81,7(' 67$7(6 2) $0(5,&$ 
3ODLQWLII$SSHOODQW 
&URVV$SSHOOHH 


Y 





 8QLWHG6WDWHVY 1RV 1RV 8QLWHG6WDWHVY 
3HWHUPDQHWDO 3HWHUPDQHWDO

52%(57 %(//  QRWDQDGGLWLRQDODOWHUQDWLYHRUVXSSOHPHQWDOUHPHG\WRWKDW
 SUHVFULEHGXQGHU†l&KDUOHV)GDWFLWDWLRQV
'HIHQGDQW$SSHOOHH RPLWWHG
&URVV$SSHOODQW 
1 :HLQYRNHGWKHSUHYDLOLQJVWDQGDUGWKDWLVVDLGWRZDUUDQW
WKHEULQJLQJRIVXFK†SHWLWLRQVLQRXU&KDUOHVRSLQLRQ
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW ZKHQZHQRWHGWKDWm>Q@RFLUFXLWFRXUWKDVWRGDWHSHUPLWWHG
IRUWKH1RUWKHUQ'LVWULFWVRI2KLRDW&OHYHODQGDQG$NURQ DSRVW$('3$SHWLWLRQHUZKRZDVQRWHIIHFWLYHO\PDNLQJD
1Rn3DWULFLD$*DXJKDQsDPHV6*ZLQ FODLPRIµDFWXDOLQQRFHQFHjWRXWLOL]H†YLD†jV
'DQ$3ROVWHU'LVWULFWsXGJHV µVDYLQJV FODXVHj DV D ZD\ RI FLUFXPYHQWLQJ † jV
UHVWULFWLRQV RQ WKH ILOLQJ RI VHFRQG RU VXFFHVVLYH KDEHDV
$UJXHG1RYHPEHU SHWLWLRQVl,GDW7KHVHmDFWXDOLQQRFHQFHlFDVHVKDYH
DULVHQ IURP D FRPPRQ IDFWXDO VFHQDULR VRPH SULVRQHUV
'HFLGHGDQG)LOHG$SULO FRQYLFWHGRImXVLQJlDILUHDUPGXULQJDGUXJFULPHRUYLROHQW
FULPHIRXQGWKHPVHOYHVLQQRFHQWZKHQWKH6XSUHPH&RXUW
%HIRUH5<$1DQG1255,6&LUFXLWsXGJHV('*$5 VXEVHTXHQWO\GHILQHGmXVHlLQDUHVWULFWLYHPDQQHULQ%DLOH\
&KLHI'LVWULFWsXGJH
Y 8QLWHG 6WDWHV  86    6HH  86&
BBBBBBBBBBBBBBBBB †F7KHVHSULVRQHUVZKRFRXOGQRWHVWDEOLVKWKHLU
LQQRFHQFHEHIRUH%DLOH\ZHUHEDUUHGIURP†UHOLHIDIWHU
&2816(/ %DLOH\ EHFDXVH VXFFHVVLYH †  SHWLWLRQV DUH OLPLWHG WR
QHZO\GLVFRYHUHGHYLGHQFHRUDQHZDQGUHWURDFWLYHUXOHRI
$5*8('  (OL]DEHWK ' &ROOHU\ 81,7(' 67$7(6 FRQVWLWXWLRQDOODZ6HH86&†,QUH'DYHQSRUW
'(3$570(17 2) s867,&( &5,0,1$/ ',9,6,21 )GWK&LU7ULHVWPDQY8QLWHG6WDWHV
$33(//$7(6(&7,21:DVKLQJWRQ'&IRU$SSHOODQW )GG&LU,QUH'RUVDLQYLO)GG
'HQQLV * 7HUH] $66,67$17 )('(5$/ 38%/,& &LUVHHDOVR%RXVOH\Y8QLWHG6WDWHV86
'()(1'(5 &OHYHODQG 2KLR +HQU\ ) 'H%DJJLV KROGLQJLQD†FDVHWKDWWKHIDLOXUHWR
&OHYHODQG2KLRsRVHSK70F*LQQHVV&OHYHODQG2KLRIRU UDLVHD%DLOH\FODLPRQGLUHFWUHYLHZFDQEHRYHUFRPHE\D
$SSHOOHHV21%5,()(OL]DEHWK'&ROOHU\'DYLG6.ULV VKRZLQJRImDFWXDOLQQRFHQFHl
/LQGD 0 %HW]HU 81,7(' 67$7(6 '(3$570(17 2)
s867,&(&5,0,1$/',9,6,21$33(//$7(6(&7,21 :LWKRXWGHWHUPLQLQJWKHH[DFWVFRSHRIWKHVDYLQJVFODXVH
:DVKLQJWRQ '& IRU $SSHOODQW  'HQQLV * 7HUH] ZHFRQFOXGHWKDWGHIHQGDQWVjFODLPVGRQRWIDOOZLWKLQDQ\
$66,67$17)('(5$/38%/,&'()(1'(5&OHYHODQG DUJXDEOH FRQVWUXFWLRQ RI LW EHFDXVH GHIHQGDQWV KDYH QRW
2KLR +HQU\ ) 'H%DJJLV &OHYHODQG 2KLR sRVHSK 7 VKRZQDQLQWHUYHQLQJFKDQJHLQWKHODZWKDWHVWDEOLVKHVWKHLU
0F*LQQHVV&OHYHODQG2KLRIRU$SSHOOHHV DFWXDOLQQRFHQFH8QGHU&KDUOHVLISHWLWLRQHUVGRQRWPDNH
DFODLPIRUDFWXDOLQQRFHQFHWKH\DUHQRWHQWLWOHG WRUHOLHI
WKURXJK†jVVDYLQJVFODXVH%HOO3HWHUPDQDQG)RUHVW
GRQRWDUJXHLQQRFHQFHEXWLQVWHDGFKDOOHQJHWKHLUVHQWHQFHV

&RXUWV KDYH JHQHUDOO\ GHFOLQHG WR FROODWHUDOO\ UHYLHZ
7KH +RQRUDEOH 5 $OODQ (GJDU &KLHI 8QLWHG 6WDWHV 'LVWULFW sXGJH VHQWHQFHVWKDWIDOOZLWKLQWKHVWDWXWRU\PD[LPXP6HHHJ
IRU WKH (DVWHUQ 'LVWULFW RI 7HQQHVVHH VLWWLQJ E\ GHVLJQDWLRQ
 8QLWHG6WDWHVY 1RV 1RV 8QLWHG6WDWHVY 
3HWHUPDQHWDO 3HWHUPDQHWDO

UHPHG\E\PRWLRQLVLQDGHTXDWHRULQHIIHFWLYHWRWHVWWKH BBBBBBBBBBBBBBBBB
OHJDOLW\RIKLVGHWHQWLRQ
23,1,21
$\HDUSHULRGRIOLPLWDWLRQVKDOODSSO\WRDPRWLRQ BBBBBBBBBBBBBBBBB
XQGHUWKLVVHFWLRQ
$/$1(1255,6&LUFXLWsXGJH'DUUHOO3HWHUPDQ&UDLJ
86&† )RUHVW DQG 5REHUW %HOO SOHDGHG JXLOW\ WR FRQVSLULQJ WR
SRVVHVV DQG GLVWULEXWH FRFDLQH LQ YLRODWLRQ RI  86&
'HIHQGDQWVLQWKHLQVWDQWFDVHVFDQQRWUDLVHWKHLUFODLPVLQ †3HWHUPDQDQG%HOOHDFKILOHGDQXQVXFFHVVIXODSSHDO
D†PRWLRQIRUVHYHUDOUHDVRQV)LUVWWKHRQH\HDUOLPLW DQG VHYHUDO FROODWHUDO DWWDFNV FKDOOHQJLQJ WKHLU VHQWHQFHV
EDUVWKHLUPRWLRQV,QDGGLWLRQDVHFRQGRUVXFFHVVLYHPRWLRQ 3HWHUPDQ%HOODQG)RUHVWWKHQILOHGWKHLQVWDQWKDEHDVFRUSXV
LV RQO\ SHUPLWWHG LI WKH FRXUW RI DSSHDOV FHUWLILHV WKDW WKH SHWLWLRQVXQGHU86&†7KHGLVWULFWFRXUWJUDQWHG
GHIHQGDQWKDVSUHVHQWHGQHZO\GLVFRYHUHGHYLGHQFHRUDQHZ WKH SHWLWLRQV DQG GHIHQGDQWV ZHUH UHVHQWHQFHG WR VKRUWHU
DQGUHWURDFWLYHUXOHRIFRQVWLWXWLRQDOODZWKDWZDVSUHYLRXVO\ WHUPV7KHJRYHUQPHQWDSSHDOVDUJXLQJWKDWWKHGLVWULFWFRXUW
XQDYDLODEOH   86& †   %HOO DQG 3HWHUPDQ DUH GLG QRW KDYH MXULVGLFWLRQ RYHU WKH †  SHWLWLRQV  :H
SUHFOXGHG IURP SUHVHQWLQJ DQRWKHU †  PRWLRQ EHFDXVH UHYHUVHWKHGLVWULFWFRXUWDQGUHLQVWDWHWKHRULJLQDOVHQWHQFHV
WKH\DUHQRWDVVHUWLQJDQHZUXOHRIFRQVWLWXWLRQDOODZRUQHZ
HYLGHQFH6LQFH)RUHVWGLGQRWILOHSUHYLRXV†PRWLRQV ,
KHZRXOGQRWKDYHWRPHHWWKLVVWDQGDUGEXWKLVFODLPOLNH
WKRVHRI%HOODQG3HWHUPDQZRXOGVWLOOEHEDUUHGE\WKHRQH 'HIHQGDQWV ZHUH SDUW RI D ODUJH FRFDLQH FRQVSLUDF\ LQ
\HDUUXOH @l&KDUOHV)G %HOODQG3HWHUPDQDSSHDOHGWKHLUVHQWHQFHVLQ%HOO
DWFLWDWLRQVRPLWWHG DOOHJHGWKDWKHZDVQRWDFFRXQWDEOHIRUWKHZKROHDPRXQWRI
FRFDLQHDQGWKDWWKHJRYHUQPHQWKDGQRWPHWLWVEXUGHQRI
7KH FLUFXPVWDQFHV LQ ZKLFK †  LV LQDGHTXDWH DQG SURRIRQWKHGUXJDPRXQWDWWULEXWHGWRKLP3HWHUPDQDUJXHG
LQHIIHFWLYH DUH QDUURZ IRU WR FRQVWUXH †  UHOLHI PXFK WKDWWKHIXOOGUXJDPRXQWZDVQRWUHDVRQDEO\IRUHVHHDEOHLQ
PRUHOLEHUDOO\WKDQ†UHOLHIZRXOGGHIHDWWKHSXUSRVHRI KLVFDVH7KLVFRXUWDIILUPHGWKHLUVHQWHQFHV8QLWHG6WDWHV
WKHUHVWULFWLRQV&RQJUHVVSODFHGRQWKHILOLQJRIVXFFHVVLYH Y%HOO1RV:/WK&LU
SHWLWLRQVIRUFROODWHUDOUHOLHI6HH$QWLWHUURULVPDQG(IIHFWLYH 'HF%HOODQG3HWHUPDQHDFKSURFHHGHGWRILOH
'HDWK3HQDOW\$FWRI3XE/1R6WDW VHYHUDOFROODWHUDODWWDFNVRQWKHLUVHQWHQFHVZKLFKWKHGLVWULFW
 DPHQGLQJ  86& †  m$('3$l  $V ZH FRXUWWUHDWHGDVPRWLRQVXQGHU86&†DQGGHQLHG
H[SODLQHGLQ&KDUOHVm>W@KHUHPHG\DIIRUGHGXQGHU†LV )RUHVWDWWHPSWHGWRDSSHDOEXWKLVDSSHDOZDVGLVPLVVHGDV
 8QLWHG6WDWHVY 1RV 1RV 8QLWHG6WDWHVY 
3HWHUPDQHWDO 3HWHUPDQHWDO

XQWLPHO\  +H GLG QRW ILOH DQ\ FROODWHUDO DWWDFNV EHIRUH WKH 1'2KLR6HSW7KHFRXUWRUGHUHGDKHDULQJRQ
LQVWDQW†SHWLWLRQ WKHVH GHIHQGDQWVj SDUWLFLSDWLRQ LQ WKH FRQVSLUDF\ DQG WKH
WKUHH ZHUH UHVHQWHQFHG EDVHG RQ OHVVHU DPRXQWV  %HOO
,QWKHPHDQWLPHDQRWKHUFRQVSLUDWRULQWKHVDPHGUXJULQJ UHFHLYHG  PRQWKV 3HWHUPDQ  PRQWKV DQG )RUHVW 
9LFWRU0LOOHGJHDFKLHYHGDVHQWHQFHUHGXFWLRQLQIURP PRQWKV DQG HDFK ZDV DOVR VHQWHQFHG WR ILYH \HDUV RI
KLVRULJLQDOVHQWHQFHRIPRQWKVIRUWKHFRQVSLUDF\FKDUJH VXSHUYLVHG UHOHDVH ZLWK FUHGLW IRU WLPH VHUYHG  7KH\ DUH
7KHGLVWULFWFRXUWDOORZHGKLPWRWDNHDODWHDSSHDOIURPKLV FXUUHQWO\RQVXSHUYLVHGUHOHDVH
 FRQYLFWLRQ DQG VHQWHQFH VLQFH WKH FRXUW KDG QRW
LQIRUPHG 0LOOHGJH RI KLV ULJKW WR DSSHDO DIWHU WKH LQLWLDO 7KHJRYHUQPHQWDSSHDOVIURPWKHJUDQWVRIKDEHDVUHOLHI
VHQWHQFLQJ/LNH3HWHUPDQ%HOODQG)RUHVW0LOOHGJHKDG DUJXLQJWKDWWKHGLVWULFWFRXUWGLGQRWKDYHMXULVGLFWLRQRYHU
RULJLQDOO\ EHHQ VHQWHQFHG EDVHG RQ WKH IXOO  WR  WKH†SHWLWLRQVEHFDXVHSULVRQHUVPXVWVHHNFROODWHUDO
NLORJUDPV LQYROYHGLQWKHFRQVSLUDF\7KLVFRXUWUHYHUVHG UHOLHI XQGHU  86& †  XQOHVV WKH\ FDQ VKRZ WKDW
0LOOHGJHjV VHQWHQFH RQ GLUHFW DSSHDO FRQFOXGLQJ WKDW WKH †LVmLQDGHTXDWHRULQHIIHFWLYHlZKLFKWKHJRYHUQPHQW
GLVWULFW FRXUW KDG QRW PDGH DGHTXDWH IDFWXDO ILQGLQJV WR FODLPVGHIHQGDQWVKDYHQRWGHPRQVWUDWHG%HOOFURVVDSSHDOV
VXSSRUWWKHGUXJDPRXQWDWWULEXWHGWR0LOOHGJH8QLWHG6WDWHV DUJXLQJWKDWLQWKHUHVHQWHQFLQJKHDULQJKHZDVGHQLHG
Y0LOOHGJH)GWK&LU2QUHPDQG DQHYLGHQWLDU\KHDULQJWKDWVKRXOGKDYHUHVXOWHGLQDUHGXFWLRQ
0LOOHGJHZDVUHVHQWHQFHGWRPRQWKVRILPSULVRQPHQW RIKLVRIIHQVHOHYHO
EDVHGRQNLORJUDPVRIFRFDLQH
,,
:KHQ 3HWHUPDQ )RUHVW DQG %HOO OHDUQHG RI WKHLU
FRFRQVSLUDWRUjV UHVHQWHQFLQJ WKH\ ILOHG WKH LQVWDQW †  :HUHYLHZDGLVWULFWFRXUWjVOHJDOFRQFOXVLRQVLQDKDEHDV
SHWLWLRQV  7KH\ DUJXHG WKDW WKHUH KDG EHHQ DQ LQWHUYHQLQJ FRUSXVGHFLVLRQGHQRYR&KDUOHVY&KDQGOHU)G
FKDQJH LQ WKH ODZ DQG WKDW †  ZKRVH VWDWXWH RI  WK  &LU  SHU FXULDP  6HFWLRQ  LV WKH
OLPLWDWLRQV DQG UHVWULFWLRQV RQ VXFFHVVLYH SHWLWLRQV EDUUHG SULPDU\DYHQXHIRUUHOLHIIRUIHGHUDOSULVRQHUVSURWHVWLQJWKH
WKHLU FODLPV ZDV LQDGHTXDWH DQG LQHIIHFWLYH WR UHGUHVV WKH OHJDOLW\ RI WKHLU VHQWHQFH ZKLOH †  LV DSSURSULDWH IRU
ZURQJ7KHGLVWULFWFRXUWJUDQWHGWKHSHWLWLRQV,WIRXQGWKDW FODLPV FKDOOHQJLQJ WKH H[HFXWLRQ RU PDQQHU LQ ZKLFK WKH
WKHODZKDGFKDQJHGVLQFHWKHRULJLQDOVHQWHQFLQJWRUHTXLUH VHQWHQFH LV VHUYHG  +RZHYHU D IHGHUDO SULVRQHU PD\ DOVR
LQGLYLGXDOL]HGILQGLQJVIRUGUXJFRQVSLUDWRUVjVHQWHQFHV7R FKDOOHQJH WKH YDOLGLW\ RI KLV FRQYLFWLRQ RU VHQWHQFH XQGHU
GHQ\ D ZULW RI KDEHDV FRUSXV LQ VXFK FLUFXPVWDQFHV †  LI †  LV mLQDGHTXDWH RU LQHIIHFWLYH WR WHVW WKH
FRQFOXGHGWKHFRXUWmZRXOGEHDPLVFDUULDJHRIMXVWLFHLQWKDW OHJDOLW\RIKLVGHWHQWLRQlDFFRUGLQJWRWKHmVDYLQJVFODXVHlRI
>GHIHQGDQWV KDYH@ D GXH SURFHVV ULJKW WR EH VHQWHQFHG RQ 86&†ZKLFKVWDWHV
DFFXUDWH LQIRUPDWLRQl  3HWHUPDQ Y /DPDQQD 1R
&9VOLSRSDW1'2KLR6HSW)RUHVW $QDSSOLFDWLRQIRUDZULWRIKDEHDVFRUSXVLQEHKDOIRI
Y/DPDQQD1R&9VOLSRSDW1'2KLR6HSW DSULVRQHUZKRLVDXWKRUL]HGWRDSSO\IRUUHOLHIE\PRWLRQ
%HOOY/DPDQQD1R&9VOLSRSDW SXUVXDQW WR WKLV VHFWLRQ VKDOO QRW EH HQWHUWDLQHG LI LW
DSSHDUVWKDWWKHDSSOLFDQWKDVIDLOHGWRDSSO\IRUUHOLHIE\
PRWLRQWRWKHFRXUWZKLFKVHQWHQFHGKLPRUWKDWVXFK
FRXUWKDVGHQLHGKLPUHOLHIXQOHVVLWDOVRDSSHDUVWKDWWKH

7KH GLVWULFW FRXUW GHQLHG 0LOOHGJHjV †  SHWLWLRQ EXW UHHQWHUHG
MXGJPHQW ZKLFK SHUPLWWHG 0LOOHGJH WR WDNH D GLUHFW DSSHDO