United States v. Sandlin

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21  8QLWHG6WDWHVY6DQGOLQ 1R 3XUVXDQW WR 6L[WK &LUFXLW 5XOH  (/(&7521,& &,7$7,21  )(' $SS $ WK &LU PLQLPXP SURYLVLRQ  7KH JRYHUQPHQW SUHVHQWHG HYLGHQFH )LOH 1DPH DD WKDWDJJUHJDWLQJWKHWKUHHEDWFKHVLQWRRQHDPRXQW6DQGOLQ PDQXIDFWXUHG EHWZHHQ  DQG HLJKW\WZR JUDPV RI PHWKDPSKHWDPLQHs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jVVHQWHQFHDQGUHPDQGIRUUHVHQWHQFLQJ 'HIHQGDQW$SSHOODQW  1 +DYLQJJUDQWHGUHOLHIRQWKLVEDVLVZHQHHGQRWFRQVLGHU ZKHWKHUWKHLPSRVLWLRQRIWKHPDQGDWRU\PLQLPXPVHQWHQFH 2Q3HWLWLRQIRU5HKHDULQJRIDQ YLRODWHG$SSUHQGLLQWKHSUHVHQWFDVH $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH:HVWHUQ'LVWULFWRI7HQQHVVHHDWsDFNVRQ ,,,&21&/86,21 1RnsDPHV'7RGG&KLHI'LVWULFWsXGJH )RU WKH IRUHJRLQJ UHDVRQV ZH 9$&$7( 6DQGOLQjV $UJXHG2FWREHU VHQWHQFHDQG5(0$1'IRUIXUWKHUSURFHHGLQJVFRQVLVWHQW ZLWKWKLVRSLQLRQ:HDOVR9$&$7(RXUSULRURSLQLRQLQ 'HFLGHGDQG)LOHGsXQH WKLVPDWWHULVVXHGRQ$SULOSXUVXDQWWR)HG5$SS 3 D   %HIRUH0225(&LUFXLWsXGJH+$<1(6 'LVWULFW sXGJH 7KH +RQRUDEOH :LOOLDP s +D\QHV sU 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH 0LGGOH 'LVWULFW RI 7HQQHVVHH VLWWLQJ E\ GHVLJQDWLRQ 7KH +RQRUDEOH 1DWKDQLHO 5 sRQHV 8QLWHG 6WDWHV &LUFXLW sXGJH D PHPEHU RI WKH LQLWLDO SDQHO UHWLUHG IURP WKH 6L[WK &LUFXLW HIIHFWLYH 0DUFK   DQG GLG QRW SDUWLFLSDWH LQ WKH SDQHOjV GHFLVLRQ RQ UHKHDULQJ   8QLWHG6WDWHVY6DQGOLQ 1R 1R 8QLWHG6WDWHVY6DQGOLQ  BBBBBBBBBBBBBBBBB DJJUHJDWH PRUH WKDQ  SODQWV  6HH LG DW   7KH GLVWULFW FRXUW FRQFOXGHG WKDW XQGHU WKH FRXUVH RI FRQGXFW &2816(/ HYLGHQFHRIIHUHGE\WKHJRYHUQPHQWWKHGHIHQGDQWKDGJURZQ PRUHWKDQPDULMXDQDSODQWVDQGWKXVVHQWHQFHGKHUWRWKH $5*8('%UXFH,*ULIIH\2)),&(2)%58&(,5:,1 PDQGDWRU\PLQLPXPVHQWHQFHIRUKDYLQJPDQXIDFWXUHGPRUH *5,))(<0HPSKLV7HQQHVVHHIRU$SSHOODQW7DPPL5 WKDQSODQWV6HHLGDW:HUHYHUVHGKROGLQJWKDWWKH 6LPSVRQ $66,67$17 81,7(' 67$7(6 $77251(< FRXQWRIFRQYLFWLRQRQO\FRYHUHGDQGWKDWWKHUHFRUGGLG sDFNVRQ 7HQQHVVHH IRU $SSHOOHH  21 %5,()  %UXFH , QRWGLVFORVHHYLGHQFHmWKDW5HWWHOOHFXOWLYDWHGPDULMXDQDRQ *ULIIH\2)),&(2)%58&(,5:,1*5,))(<0HPSKLV DFRQWLQXRXVEDVLVl,GDWm5DWKHU5HWWHOOHjVDQG 7HQQHVVHH 6WHSKHQ % 6KDQNPDQ 2)),&( 2) 7+( PDULMXDQDFURSVZHUHWKHSURGXFWVRIGLVWLQFWJURZLQJ )('(5$/ 38%/,& '()(1'(5 )25 7+( :(67(51 VHDVRQV VHSDUDWHG E\ VHYHUDO PRQWKV LQ ZKLFK 5HWWHOOH ',675,&7 2) 7(11(66(( 0HPSKLV 7HQQHVVHH IRU DSSDUHQWO\GLGQRWJURZDQ\SODQWVl,G $SSHOODQW  7DPPL 5 6LPSVRQ $66,67$17 81,7(' 67$7(6$77251(<sDFNVRQ7HQQHVVHHIRU$SSHOOHH ,QUHDFKLQJWKLVFRQFOXVLRQZHGLGQRWSURYLGHDQmH[DFW GHILQLWLRQl RI WKH WHUP mD YLRODWLRQl LQ WKH PDQXIDFWXULQJ BBBBBBBBBBBBBBBBBBBBBB FRQWH[WEXWLQGLFDWHGWKDWLQVRPHFDVHVPDQXIDFWXULQJZLOO LQYROYHDQRQJRLQJRUmFRQWLQXLQJlSURFHVV,G7KXVLIWKH $0(1'('23,1,21 5HWWHOOHGHIHQGDQWKDGJURZQPDULMXDQDSODQWV\HDUURXQGIRU BBBBBBBBBBBBBBBBBBBBBB VHYHUDO\HDUVVKHFRXOGKDYHEHHQVHQWHQFHGIRUWKHDJJUHJDWH QXPEHU RI SODQWV RYHU WKH ZKROH SHULRG  %XW ZKHUH WKH 3(5&85,$0'HIHQGDQW$SSHOODQW7KRPDV&6DQGOLQ JURZLQJVHDVRQVLHWKHDFWVRIPDQXIDFWXULQJZHUHGLVWLQFW m6DQGOLQl  ZDV FKDUJHG LQ D IRXUFRXQW LQGLFWPHQW LQ WKH WKH\ KDG WR EH WUHDWHG DV GLVWLQFW YLRODWLRQV RI  86& 8QLWHG 6WDWHV 'LVWULFW &RXUW IRU WKH :HVWHUQ 'LVWULFW RI †  D   DQG WKXV WKH\ FRXOG QRW EH DJJUHJDWHG IRU 7HQQHVVHHZLWKYDULRXVGUXJUHODWHGFRXQWV6DQGOLQSOHDGHG SXUSRVHV RI WKH PDQGDWRU\ PLQLPXPV UHTXLUHG E\ WKDW JXLOW\WRWKHILUVWFRXQWRIWKHLQGLFWPHQWPDQXIDFWXULQJDQG SURYLVLRQ DWWHPSWLQJ WR PDQXIDFWXUH LQ H[FHVV RI ILIW\ JUDPV RI PHWKDPSKHWDPLQHLQYLRODWLRQRI86&† D  DQG ,Q WKH SUHVHQW FDVH WKH UHFRUG LQGLFDWHV WKDW 6DQGOLQ WKH UHPDLQLQJ FRXQWV ZHUH GLVPLVVHG SXUVXDQW WR WKH PDQXIDFWXUHGWKHPHWKDPSKHWDPLQHDWLVVXHLQWKUHHEDWFKHV JRYHUQPHQWjVPRWLRQ$OWKRXJKWKHDSSOLFDEOHVHQWHQFLQJ RYHUDSHULRGRIDOPRVWWKUHHPRQWKV0DUFKWKURXJK0D\ UDQJHIRUWKLVFRXQWZDVRQO\ILIW\RQHWRVL[W\WKUHHPRQWKV 7KHUHFRUGGRHVQRWLQGLFDWHKRZHYHUWKDW6DQGOLQ WKHGLVWULFWFRXUWVHQWHQFHG6DQGOLQWRWKHWHQ\HDUPDQGDWRU\ PDQXIDFWXUHG WKHVH EDWFKHV LQ DQ\WKLQJ UHVHPEOLQJ D PLQLPXPXQGHU86&† E  $ YLLL IRUDYLRODWLRQ mFRQWLQXLQJlEDVLVDQGWKHJRYHUQPHQWGLGQRWSURGXFHDQ\ RI †  D   mLQYROYLQJ  JUDPV RU PRUH RI HYLGHQFH WR WKDW HIIHFW  :LWKRXW D VSHFLILF ILQGLQJ ZLWK PHWKDPSKHWDPLQHl  6DQGOLQ QRZ DSSHDOV KLV VHQWHQFH UHVSHFWWRWKLVLVVXHWKHGLVWULFWFRXUWHUUHGLQDJJUHJDWLQJWKH DUJXLQJLQWHUDOLDWKDWWKHGLVWULFWFRXUWHUUHGLQVHQWHQFLQJ TXDQWLWLHVRIPHWKDPSKHWDPLQHWKDW6DQGOLQPDQXIDFWXUHGIRU KLPWRWKHPDQGDWRU\PLQLPXPEHFDXVHWKHJRYHUQPHQWGLG VHQWHQFLQJ SXUSRVHV  %DVHG RQ :LQVWRQ DQG 5HWWHOOH WKH QRWSURYHWKDWKHHQJDJHGLQDQ\VLQJOHDFWRIPDQXIDFWXULQJ GLVWULFW FRXUW VKRXOG KDYH LQVWHDG WUHDWHG HDFK EDWFK RI WKDWSURGXFHGILIW\RUPRUHJUDPVRIPHWKDPSKHWDPLQH)RU PHWKDPSKHWDPLQHDVDVHSDUDWHmYLRODWLRQlRI† D  LQ WKHUHDVRQVVWDWHGEHORZZH9$&$7(6DQGOLQj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jVFRQIHVVLRQRQ6HSWHPEHUD YLRODWLRQRI86&† D  )RUWKLVUHDVRQZHKHOG IHGHUDOJUDQGMXU\UHWXUQHGDIRXUFRXQWLQGLFWPHQWDJDLQVW WKDW WKH :LQVWRQ GHIHQGDQW FRXOG QRW EH VHQWHQFHG WR D KLP7KHLQGLFWPHQWFKDUJHG6DQGOLQZLWKPDQXIDFWXULQJDQG PDQGDWRU\WHUPRIOLIHLPSULVRQPHQWXQGHU† E  $  DWWHPSWLQJ WR PDQXIDFWXUH LQ H[FHVV RI ILIW\ JUDPV RI ,Q UHDFKLQJ WKLV FRQFOXVLRQ ZH ORRNHG WR WKH OHJLVODWLYH PHWKDPSKHWDPLQH LQ YLRODWLRQ RI  86& †  D   KLVWRU\RIWKHVWDWXWHDQGGHWHUPLQHGWKDWLQXVLQJWKHWHUPmD SRVVHVVLRQZLWKLQWHQWWRGLVWULEXWHLQH[FHVVRIILIW\JUDPVRI YLRODWLRQl LQ †  E  $  &RQJUHVV LQWHQGHG WR WDUJHW PHWKDPSKHWDPLQH LQ YLRODWLRQ RI  86& †  D   PDMRU GUXJ GHDOHUV DQG PDQXIDFWXUHUV DV RSSRVHG WR PDQXIDFWXULQJ DQG DWWHPSWLQJ WR PDQXIDFWXUH D FRQWUROOHG VPDOOWLPHGHDOHUVDQGXVHUV:LQVWRQ)GDWm,I VXEVWDQFHFUHDWLQJDVXEVWDQWLDOULVNRIKDUPWRKXPDQOLIHLQ ZHZHUHWRFRQVWUXH86&† E  $ DVDSSO\LQJWR YLRODWLRQRI86&†DQGRIHVWDEOLVKLQJDSODFHIRU DJJUHJDWH DPRXQWV RI GUXJV KHOG RQ YDULRXV VHSDUDWH WKHPDQXIDFWXUHRIDFRQWUROOHGVXEVWDQFHLQYLRODWLRQRI RFFDVLRQVLWFRXOGEHXVHGDJDLQVWVPDOOWLPHGHDOHUVRUXVHUV 86&†2Q0D\6DQGOLQSOHDGHGJXLOW\DWD ZKRQHYHUSRVVHVVPRUHWKDQDIHZJUDPVDWDWLPHl,GDW SOHD KHDULQJ EHIRUH WKH GLVWULFW MXGJH WR &RXQW , RI WKH   :LQVWRQ WKXV VSHFLILFDOO\ KHOG WKDW GLVFUHWH DFWV RI LQGLFWPHQWPDQXIDFWXULQJDQGDWWHPSWLQJWRPDQXIDFWXUHLQ SRVVHVVLRQFDQQRWEHDJJUHJDWHGIRUSXUSRVHVRIFDOFXODWLQJ H[FHVVRIILIW\JUDPVRIPHWKDPSKHWDPLQHLQYLRODWLRQRI WKH TXDQWLW\ QHFHVVDU\ WR WULJJHU D PDQGDWRU\PLQLPXP 86&† D   VHQWHQFHIRUmDYLRODWLRQlRI86&† D   7KHSUREDWLRQRIILFHUVXEVHTXHQWO\SUHSDUHGD3UH6HQWHQFH %HFDXVH :LQVWRQ LQYROYHG SRVVHVVLRQ UDWKHU 5HSRUW m365l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†  E  $ YLLL  IRU D YLRODWLRQ RI †  D  ,,$1$/<6,6 mLQYROYLQJJUDPVRUPRUHRIPHWKDPSKHWDPLQHlKRZHYHU ZDVWHQ\HDUV2Q0D\6DQGOLQ ILOHGDSRVLWLRQ 2QDSSHDO6DQGOLQUDLVHVWZRDUJXPHQWVQRWUDLVHGEHORZ SDSHU LQ ZKLFK KH REMHFWHG WR LPSRVLWLRQ RI WKH WHQ\HDU  WKDWWKHGLVWULFWFRXUWHUUHGLQVHQWHQFLQJKLPSXUVXDQWWR PDQGDWRU\PLQLPXPVHQWHQFHDUJXLQJWKDWWKHPDQGDWRU\ WKHPDQGDWRU\PLQLPXPEHFDXVHWKDWPLQLPXPDSSOLHVRQO\ PLQLPXPVHQWHQFHDSSOLHVRQO\LIWKHRIIHQVHLQYROYHGWKH ZKHUHWKHTXDQWLW\LQTXHVWLRQZDVPDQXIDFWXUHGLQDVLQJOH PDQXIDFWXUH RI ILIW\ JUDPV RU PRUH RI mSXUHl DFW RI PDQXIDFWXULQJ DQG   WKDW KLV VHQWHQFH YLRODWHV PHWKDPSKHWDPLQH RU PRUH WKDQ  JUDPV RI D VXEVWDQFH $SSUHQGLY1HZs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m:KHUHDFULPLQDOGHIHQGDQWKDVIDLOHG DPRXQWVPDQXIDFWXUHGLQWKHWKUHHEDWFKHVIRUSXUSRVHVRI WRREMHFWEHORZKHRUVKHPXVWGHPRQVWUDWHWKDWWKHHUURUZDV UHDFKLQJ WKH WKUHVKROG DPRXQW WULJJHULQJ WKH WHQ\HDU SODLQ DV GHILQHG E\ )HG5&ULP3  E  EHIRUH ZH PD\ PDQGDWRU\PLQLPXPVHQWHQFH H[HUFLVHRXUGLVFUHWLRQWRFRUUHFWWKHHUURUl,G7KHUHIRUH IRU6DQGOLQWRREWDLQUHOLHIKHPXVWVKRZWKDWWKHUHZDVHUURU $W WKH VHQWHQFLQJ KHDULQJ ZKLFK ZDV KHOG RQ 0D\  WKDWWKHHUURUZDVSODLQDQGWKDWLWDIIHFWHGKLVVXEVWDQWLDO WKHJRYHUQPHQWSUHVHQWHGWKHWHVWLPRQ\RIDGUXJWDVN ULJKWV6HH8QLWHG6WDWHVY9LQFHQW)G WK IRUFH DJHQW ZKR LQWHUYLHZHG 6DQGOLQ RQ WKH GD\ RI KLV &LU (YHQLIDOORIWKHVHIDFWRUVH[LVWZHPD\DEVWDLQ FRQIHVVLRQ7KHDJHQWWHVWLILHGWKDW6DQGOLQZDVFRKHUHQW IURP LQWHUYHQWLRQ XQOHVV WKH HUURU DIIHFWHG WKH IDLUQHVV WKDWKHDSSHDUHGWRXQGHUVWDQGWKHDJHQWjVTXHVWLRQVDQGWKDW LQWHJULW\RUSXEOLFUHSXWDWLRQRIWKHSURFHHGLQJ6HHLG KLVFRQIHVVLRQDSSHDUHGWREHYROXQWDU\7KHDJHQWWHVWLILHG WKDW 6DQGOLQ LQIRUPHG KLP WKDW KH KDG PDGH :HILUVWFRQVLGHU6DQGOLQjVFRQWHQWLRQWKDWWKHGLVWULFWFRXUW PHWKDPSKHWDPLQH LQ 0F1DLU\ &RXQW\ RQ WKUHH RFFDVLRQV HUUHGLQLPSRVLQJWKHPDQGDWRU\PLQLPXPVHQWHQFHEDVHGRQ DQG WKDW 6DQGOLQ SURYLGHG WKH RIILFHU ZLWK D VWHSE\VWHS WKH TXDQWLW\ RI GUXJV WKDW KH DGPLWWHG WR PDQXIDFWXULQJ SURFHGXUH RI WKH PDQQHU LQ ZKLFK KH PDQXIDFWXUHG 6DQGOLQQRZDUJXHVWKDWWKHGLVWULFWFRXUWHUUHGE\WUHDWLQJKLV PHWKDPSKHWDPLQH7KHJRYHUQPHQWDOVRSUHVHQWHGWHVWLPRQ\ WKUHH DFWV RI PDQXIDFWXULQJ DV RQH YLRODWLRQ RI  86& RIDIRUHQVLFFKHPLVWZKRH[DPLQHG6DQGOLQjVVWDWHPHQWWR †  D   LQ FDOFXODWLQJ GUXJ TXDQWLW\ LQ GHWHUPLQLQJ WKHDJHQWDQGKLVPHWKDPSKHWDPLQHUHFLSH%DVHGXSRQWKH ZKHWKHUWRDSSO\WKH PDQGDWRU\PLQLPXPSURYLVLRQXQGHU WHVWLPRQ\ RI WKLV FKHPLVW WKH GLVWULFW FRXUW IRXQG WKDW WKH † E  $ YLLL ,QVXSSRUW6DQGOLQFLWHV8QLWHG6WDWHV DPRXQW RI PHWKDPSKHWDPLQH PDQXIDFWXUHG LQ WKH WKUHH Y:LQVWRQ)G WK&LU DQG8QLWHG6WDWHVY EDWFKHVWRZKLFK6DQGOLQKDGDGPLWWHGmHDVLO\UHDFKH>G@WKH 5HWWHOOH)G WK&LU IRUWKHSURSRVLWLRQWKDW DPRXQWZKLFKZRXOGJLYHXVDWHQ\HDUVWDWXWRU\PLQLPXPl DPDQGDWRU\PLQLPXPVHQWHQFHSXUVXDQWWR† E  $  DQGWKXVVHQWHQFHG6DQGOLQWRWKHPDQGDWRU\PLQLPXPRIWHQ DSSOLHV RQO\ WR D GHIHQGDQW ZKR KDV FRPPLWWHG D VLQJOH \HDUVsRLQW$SSHQGL[ ms$l DW7KLVDSSHDOIROORZHG YLRODWLRQ RI †  D   LQYROYLQJ PRUH WKDQ WKH WKUHVKROG DPRXQWRIGUXJVUHTXLUHGE\† E  $ +HDUJXHVWKDW WKHGLVWULFWFRXUWHUUHGLQDJJUHJDWLQJWKHTXDQWLWLHVRIGUXJV WKDW KH DGPLWWHG KDYLQJ SURGXFHG LQ WKUHH DFWV RI