Court Opinion

ID: 2969846
Source: CourtListenerOpinion
Date Created: 2015-09-22 15:58:38.34321+00
Date Added: 2024-06-11T11:40:49.209773
License: Public Domain

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21
     2QLIHUY7\V]NLHZLF]                           1R                    3XUVXDQW WR 6L[WK &LUFXLW 5XOH 

                                                                             (/(&7521,& &,7$7,21  )(' $SS 3 WK &LU

VXEVWDQWLDOSDVVDJHRIWLPHKDVFUHDWHGVHWWOHGH[SHFWDWLRQVDV                          )LOH 1DPH DS

WRWKHILQDOLW\RIWKHVHQWHQFHLPSRVHG6HHHJ'H:LWWY
9HQWHWRXOR)GVW&LUKDEHDVUHOLHI
RUGHUHGZKHUHVWDWHVRXJKWWRUHLQVWDWHVHQWHQFHDIWHU'H:LWW           81,7('67$7(6&28572)$33($/6
KDGEHHQUHOHDVHGIURPSULVRQ8QLWHG6WDWHVY/XQGLHQ                          )257+(6,;7+&,5&8,7
)GWK&LUUHMHFWLQJGXHSURFHVVFODLPEXW                           BBBBBBBBBBBBBBBBB
QRWLQJWKDWmGXHSURFHVVPD\DOVREHGHQLHGZKHQDVHQWHQFH
LV HQKDQFHG DIWHU WKH GHIHQGDQW KDV VHUYHG VR PXFK RI KLV
VHQWHQFH WKDW KLV H[SHFWDWLRQV DV WR LWV ILQDOLW\ KDYH
FU\VWDOOL]HGDQGLWZRXOGEHIXQGDPHQWDOO\XQIDLUWRGHIHDW              *(25*( ) 21,)(5                ;
WKHPl8QGHU$('3$WKHVHFDVHVKDYHQREHDULQJRQRXU                          3HWLWLRQHU$SSHOOHH     
GLVSRVLWLRQRI2QLIHUjVFODLPDVRXULQTXLU\LVOLPLWHGWRDQ                                              
H[DPLQDWLRQRIWKHOHJDOODQGVFDSHDVLWZRXOGKDYHDSSHDUHG                                                  1R
WR WKH 0LFKLJDQ VWDWH FRXUWV LQ OLJKW RI 6XSUHPH &RXUW                     Y                     
SUHFHGHQWDWWKHWLPH2QLIHUjVFRQYLFWLRQEHFDPHILQDO$V                                                 !
                                                                                                           
QRWHGDERYHFDVHVVXFKDV%HQ]DQG%R]]DGRQRWGLVFXVVGXH             =%,*1,(: 7<6=.,(:,&=             
SURFHVVQRUGRWKH\PHQWLRQWKHSRVVLELOLW\ODWHUGHYHORSHG            :DUGHQ                           
LQ RXU VLVWHU FLUFXLWV WKDW D SULVRQHUjV H[SHFWDWLRQ LQ WKH           5HVSRQGHQW$SSHOODQW 
ILQDOLW\ RI KLV RU KHU VHQWHQFH PD\ FU\VWDOL]H LQWR D GXH                                        
SURFHVVULJKWQRWWRKDYHWKDWVHQWHQFHDGMXVWHGXSZDUGVHYHQ                                            1
LQ RUGHU WR FRUUHFW OHJDO HUURUV LQ VHQWHQFLQJ  7KXV WKH
0LFKLJDQVWDWHFRXUWVGLGQRWUXOHXQUHDVRQDEO\ZKHQWKH\                      $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
UHMHFWHG2QLIHUjVGXHSURFHVVFODLP                                       IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW%D\&LW\
                                                                           1Rn9LFWRULD$5REHUWV'LVWULFWsXGJH
                                 9
                                                                                         $UJXHG0DUFK
  7KH GHFLVLRQ RI WKH 0LFKLJDQ FRXUWV WR UHMHFW 2QLIHUjV
FRQVWLWXWLRQDO FODLPV ZDV QHLWKHU FRQWUDU\ WR QRU DQ                        'HFLGHGDQG)LOHGsXQH
XQUHDVRQDEOHDSSOLFDWLRQRIFOHDUO\HVWDEOLVKHGIHGHUDOODZDV
GHWHUPLQHG E\ WKH 6XSUHPH &RXUW  )RU WKLV UHDVRQ ZH             %HIRUH.(,7+1255,6DQG'$8*+75(<&LUFXLW
UHYHUVHWKHGLVWULFWFRXUWjVJUDQWRIKDEHDVUHOLHI                                          sXGJHV
                                                                                           BBBBBBBBBBBBBBBBB
                                                                                                &2816(/
                                                                        $5*8('%UDG+%HDYHU2)),&(2)7+($77251(<
                                                                        *(1(5$/ +$%($6 &25386 ',9,6,21 /DQVLQJ
                                                                        0LFKLJDQIRU$SSHOODQW0HOYLQ+RXVWRQ'HWURLW0LFKLJDQ
                                                                        IRU$SSHOOHH21%5,()%UDG+%HDYHU 2)),&(2)
                                                                        7+( $77251(< *(1(5$/ +$%($6 &25386

                                                                                                     
     2QLIHUY7\V]NLHZLF]                         1R      1R                           2QLIHUY7\V]NLHZLF]          

',9,6,21 /DQVLQJ 0LFKLJDQ IRU $SSHOODQW  0HOYLQ            LQDGGLWLRQWRWKHDOUHDG\LPSRVHGSULVRQWHUP%R]]D
+RXVWRQ'HWURLW0LFKLJDQIRU$SSHOOHH                          86 DW   7KH 6XSUHPH &RXUW UHMHFWHG %R]]DjV
                                                                     DUJXPHQWWKDWWKHWULDOFRXUWjVGHFLVLRQWRLQFUHDVHDVHQWHQFH
                     BBBBBBBBBBBBBBBBB                               WKDW ZDV PLVWDNHQO\ OHQLHQW YLRODWHG WKH GRXEOH MHRSDUG\
                                                                     FODXVH
                         23,1,21
                     BBBBBBBBBBBBBBBBB                                 ,IWKLVLQDGYHUWHQWHUURUFDQQRWEHFRUUHFWHGLQWKHPDQQHU
                                                                       XVHG KHUH E\ WKH WULDO FRXUW QR YDOLG DQG HQIRUFHDEOH
  $/$1(1255,6&LUFXLWsXGJH=ELJQLHZ7\V]NLHZLF]                VHQWHQFHFDQEHLPSRVHGDWDOO7KLV&RXUWKDVUHMHFWHG
ZDUGHQRIWKH0LFKLJDQSULVRQZKHUHSHWLWLRQHULVSUHVHQWO\            WKHmGRFWULQHWKDWDSULVRQHUZKRVHJXLOWLVHVWDEOLVKHG
LQFDUFHUDWHG DSSHDOV IURP WKH GLVWULFW FRXUWjV GHFLVLRQ WR     E\DUHJXODUYHUGLFWLVWRHVFDSHSXQLVKPHQWDOWRJHWKHU
JUDQW KDEHDV UHOLHI WR SHWLWLRQHU *HRUJH 2QLIHU  )RU WKH     EHFDXVH WKH FRXUW FRPPLWWHG DQ HUURU LQ SDVVLQJ WKH
UHDVRQVWKDWIROORZZHQRZUHYHUVH                                    VHQWHQFHl  7KH &RQVWLWXWLRQ GRHV QRW UHTXLUH WKDW
                                                                       VHQWHQFLQJVKRXOGEHDJDPHLQZKLFKDZURQJPRYHE\
                                ,                                     WKHMXGJHPHDQVLPPXQLW\IRUWKHSULVRQHU,QWKLVFDVH
                                                                       WKHFRXUWmRQO\VHWDVLGHZKDWLWKDGQRDXWKRULW\WRGR
   2Q0D\2QLIHUZDVFRQYLFWHGRIWKHNLGQDSSLQJ              DQG VXEVWLWXWHG GLUHFWLRQV UHTXLUHG E\ WKH ODZ WR EH
DQGUDSHRIDILIWHHQ\HDUROGVFKRROJLUODQGVHQWHQFHGWRWZR         GRQH XSRQ WKH FRQYLFWLRQ RI WKH RIIHQGHUl  ,W GLG QRW
FRQFXUUHQW WHUPV RI  WR  \HDUVj LPSULVRQPHQW   2Q       WZLFH SXW SHWLWLRQHU LQ MHRSDUG\ IRU WKH VDPH RIIHQVH
$XJXVWIROORZLQJ2QLIHUjVDSSDUHQWUHKDELOLWDWLRQLQ          7KHVHQWHQFHDVFRUUHFWHGLPSRVHVDYDOLGSXQLVKPHQW
SULVRQDQGZLWKWKHVXSSRUWRIWKHSDUROHERDUGWKH0DFRPE            IRUDQRIIHQVHLQVWHDGRIDQLQYDOLGSXQLVKPHQWIRUWKDW
&RXQW\SURVHFXWRUjVRIILFHEURXJKWDPRWLRQEHIRUHWKHWULDO           RIIHQVH
FRXUW WR UHVHQWHQFH 2QLIHU  $FWLQJ XSRQ WKH SURVHFXWRUjV
PRWLRQ WKH WULDO FRXUW UHGXFHG 2QLIHUjV VHQWHQFH WR D       %R]]D  86 DW  LQWHUQDO FLWDWLRQV DQG IRRWQRWH
PLQLPXPWHUPRIILYH\HDUVZKLFKLPPHGLDWHO\PDGHKLP               RPLWWHGVHHDOVR1RUWK&DUROLQDY3HDUFH86
HOLJLEOHIRUSDUROH+HZDVSDUROHGLQ6HSWHPEHUDQG          KROGLQJWKDWWKHGRXEOHMHRSDUG\FODXVHLVQRWYLRODWHG
VXFFHVVIXOO\ FRPSOHWHG KLV WZR\HDU WHUP RI SDUROH RQ         ZKHQDGHIHQGDQWKDVKLVRULJLQDOFRQYLFWLRQVHWDVLGHEXW
6HSWHPEHU                                                WKHQKDVDPRUHVHYHUHVHQWHQFHLPSRVHGXSRQUHFRQYLFWLRQ
                                                                     RYHUUXOHGRQRWKHUJURXQGVE\$ODEDPDY6PLWK86
  2QLIHUjVUHKDELOLWDWLRQZDVKRZHYHUQRWORQJOLYHG2Q          8QLWHG6WDWHVY%HQ]86
0DUFKKHDEGXFWHGUDSHGDQGNLOOHGDQHOHYHQ\HDU        KROGLQJWKDWDGLVWULFWFRXUWPD\GXULQJWKHVHVVLRQLQZKLFK
ROGJLUODVVKHZDVZDONLQJWRVFKRRO,PPHGLDWHO\IROORZLQJ        DVHQWHQFHLVHQWHUHGDPHQGDVHQWHQFHGRZQZDUGV
WKLVDWWDFN0LFKLJDQjVDWWRUQH\JHQHUDOILOHGDPRWLRQWRVHW
DVLGH 2QLIHUjV UHGXFHG VHQWHQFH DQG UHLPSRVH WKH RULJLQDO        1RQH RI WKHVH GHFLVLRQV ZHUH EDVHG XSRQ GXH SURFHVV
PLQLPXPWHUPRI\HDUVjLPSULVRQPHQW7KHPRWLRQZDV              LQVWHDGWKH\UHOLHGVROHO\RQWKHGRXEOHMHRSDUG\FODXVH,Q
GLVPLVVHGDVXQWLPHO\E\WKH0DFRPE&RXQW\&LUFXLW&RXUW            UHDFKLQJ LWV GHFLVLRQ WR JUDQW WKH ZULW RQ WKH EDVLV RI GXH
7KH DWWRUQH\ JHQHUDO DSSHDOHG WR WKH 0LFKLJDQ &RXUW RI       SURFHVV WKH GLVWULFW FRXUW PLVWDNHQO\ ORRNHG WR D VHULHV RI
$SSHDOVVHHNLQJDQRUGHURIVXSHULQWHQGLQJFRQWUROWRGLUHFW         UHFHQW FLUFXLW FRXUW GHFLVLRQV WKDW KDYH KHOG WKDW DQ
WKHORZHUFRXUWWRGHFODUHWKHUHVHQWHQFLQJDQXOOLW\DQGWR         LQGLYLGXDOjVGXHSURFHVVULJKWVDUHLPSOLFDWHGZKHQWKHVWDWH
UHLQVWDWHWKHRULJLQDOWHUP                                      DWWHPSWVWRUHYLVHDQLQGLYLGXDOjVVHQWHQFHXSZDUGVDIWHUD
     2QLIHUY7\V]NLHZLF]                          1R       1R                           2QLIHUY7\V]NLHZLF]       

E\ WKH 6XSUHPH &RXUW RI WKH 8QLWHG 6WDWHVl   86&         7KH &RXUW RI $SSHDOV FRQFOXGHG WKDW WKH WULDO FRXUW KDG
G                                                          EHHQ ZLWKRXW MXULVGLFWLRQ WR KHDU WKH RULJLQDO PRWLRQ IRU
                                                                       UHVHQWHQFLQJDQGGLUHFWHGWKHORZHUFRXUWWRUHLQVWDWH2QLIHUjV
                                ,9                                    RULJLQDO VHQWHQFH  0LFKLJDQ Y 0DFRPE &RXQW\ &LUFXLW
                                                                       sXGJH1RDW0LFK&W$SS1RY
  %HIRUHWKHGLVWULFWFRXUW2QLIHUFODLPHGWKDWWKH0DFRPE            7KHWULDOFRXUWGXO\UHLQVWDWHG2QLIHUjVRULJLQDOVHQWHQFHRQ
&RXQW\&LUFXLW&RXUWjVGHFLVLRQWRUHLPSRVHKLVRULJLQDOWHUP          'HFHPEHU6HYHUDO\HDUVODWHU2QLIHUILOHGDGHOD\HG
IROORZLQJKLVUHOHDVHIURPSDUROHYLRODWHGGXHSURFHVVDQGWKH         DSSOLFDWLRQ IRU OHDYH WR DSSHDO ZKLFK ZDV GHQLHG E\ WKH
GRXEOHMHRSDUG\FODXVH7KHGLVWULFWFRXUWUHMHFWHG2QLIHUjV          0LFKLJDQ6XSUHPH&RXUWRQ1RYHPEHU
GRXEOHMHRSDUG\FODLPDGHFLVLRQWKDW2QLIHUGRHVQRWFRQWHVW
XSRQ DSSHDO EXW JUDQWHG KLV SHWLWLRQ IRU D ZULW RI KDEHDV     %HWZHHQDQG2QLIHUILOHGWKUHHKDEHDVFRUSXV
FRUSXV RQ WKH JURXQG WKDW UHLQVWDWHPHQW RI KLV RULJLQDO        SHWLWLRQV LQ WKH (DVWHUQ 'LVWULFW RI 0LFKLJDQ DOO RI ZKLFK
VHQWHQFH DIWHU KH KDG EHHQ UHOHDVHG DQG FRPSOHWHG SDUROH       ZHUHGLVPLVVHGZLWKRXWSUHMXGLFHIRUIDLOXUHWRH[KDXVWVWDWH
YLRODWHGGXHSURFHVV:HEHOLHYHWKLVGHWHUPLQDWLRQWRKDYH           UHPHGLHV  ,Q  KH ILOHG D GHOD\HG PRWLRQ WR YDFDWH
EHHQLQHUURUDQGQRZUHYHUVH                                        VHQWHQFHZKLFKZDVGHQLHGE\WKH0DFRPE&RXQW\&LUFXLW
                                                                       &RXUW6XEVHTXHQWDSSHDOVWRWKH0LFKLJDQ&RXUWRI$SSHDOV
  8QGHU $('3$ RXU UHYLHZ LV OLPLWHG WR GHWHUPLQLQJ              DQG0LFKLJDQ6XSUHPH&RXUWZHUHGHQLHGDVZLWKRXWPHULWRQ
ZKHWKHU WKH VWDWH FRXUW GHFLVLRQ ZDV FRQWUDU\ WR RU DQ       sDQXDU\DQGsXO\
XQUHDVRQDEOHDSSOLFDWLRQRI6XSUHPH&RXUWSUHFHGHQWWKDW
ZDVFOHDUO\HVWDEOLVKHGDWmWKHWLPHRIWKHUHOHYDQWVWDWHFRXUW         2QLIHUILOHGWKHSUHVHQWSHWLWLRQIRUDZULWRIKDEHDVFRUSXV
GHFLVLRQl  :LOOLDPV Y 7D\ORU  86        RQ6HSWHPEHU7KHSHWLWLRQZDVLQLWLDOO\UHMHFWHGIRU
+HUH2QLIHUjVRULJLQDOVHQWHQFHZDVUHLQVWDWHGRQ'HFHPEHU             IDLOXUHWRILOHSURSHUO\DQLQIRUPDSDXSHULVDSSOLFDWLRQEXW
ZKLOHKLVGHOD\HGPRWLRQIRUOHDYHWRDSSHDOZDV             ZDVVXFFHVVIXOO\UHILOHGE\2QLIHURQ6HSWHPEHU
GHQLHG E\ WKH 0LFKLJDQ 6XSUHPH &RXUW LQ   2XU            %HIRUHWKHGLVWULFWFRXUWKHDUJXHGWKDWUHLPSRVLWLRQRIKLV
H[DPLQDWLRQ RI WKH UHOHYDQW 6XSUHPH &RXUW SUHFHGHQW              RULJLQDO VHQWHQFH YLRODWHG WKH )LIWK $PHQGPHQWjV GRXEOH
FRQYLQFHVXVWKDWWKHGXHSURFHVVDQDO\VLVUHOLHGXSRQE\WKH          MHRSDUG\FODXVHDVZHOODVGXHSURFHVV  2Q'HFHPEHU
GLVWULFWFRXUWZDVQRWFOHDUO\HVWDEOLVKHGIHGHUDOODZDWWKH          WKHGLVWULFWFRXUWLVVXHGDPHPRUDQGXPRSLQLRQDQG
WLPH2QLIHUjVFRQYLFWLRQEHFDPHILQDO                                RUGHU JUDQWLQJ WKH ZULW RQ WKH JURXQGV WKDW 2QLIHUjV
                                                                       H[SHFWDWLRQRIILQDOLW\LQKLVUHGXFHGVHQWHQFHKDGFU\VWDOOL]HG
   3ULRUWRWKH6XSUHPH&RXUWjVGHFLVLRQLQ8QLWHG6WDWHVY           XSRQKLVSDUROHVRWKDWUHLPSRVLWLRQRIWKHRULJLQDOVHQWHQFH
'L)UDQFHVFR86KROGLQJWKDWWKHGRXEOH              YLRODWHG GXH SURFHVV  7KH ZDUGHQ QRZ DSSHDOV IURP WKH
MHRSDUG\FODXVHGLGQRWDSSO\WRWKHLQFUHDVHRIDVHQWHQFH            GLVWULFWFRXUWjVRUGHUJUDQWLQJ2QLIHUjVSHWLWLRQIRUDZULWRI
XSRQ DSSHDO FDVHV VXFK DV 2QLIHUjV ZHUH LQYDULDEO\            KDEHDVFRUSXV
FRQVLGHUHGXQGHUWKHGRXEOHMHRSDUG\FODXVHQRWXQGHUGXH
SURFHVV)RULQVWDQFHLQ%R]]DY8QLWHG6WDWHV86                                        ,,
 WKH DSSHOODQW   KDG EHHQ FRQYLFWHG RI YLRODWLQJ D
VWDWXWHZKLFKUHTXLUHGDVLWVPLQLPXPPDQGDWRU\VHQWHQFH                 7KHZDUGHQLQLWLDOO\DUJXHVWKDW2QLIHUIDLOHGWRSUHVHQWKLV
ERWKDILQHDQGLPSULVRQPHQW%R]]D86DW$W             GXHSURFHVVDUJXPHQWVWRWKH0LFKLJDQVWDWHFRXUWVDQGWKDW
VHQWHQFLQJWKHWULDOMXGJHRQO\PHQWLRQHG%R]]DjVPDQGDWRU\            WKRVH FODLPV ZHUH WKHUHIRUH QHYHU DGMXGLFDWHG E\ WKH VWDWH
WHUP RI LPSULVRQPHQW  5HDOL]LQJ KLV PLVWDNH D IHZ KRXUV      FRXUWV:HDJUHHZLWKWKHGLVWULFWFRXUWWKDW2QLIHUjVFODLPV
ODWHUWKHMXGJHUHFDOOHG%R]]DDQGLPSRVHGWKHPLQLPXPILQH
      2QLIHUY7\V]NLHZLF]                           1R    1R                           2QLIHUY7\V]NLHZLF]         

ZHUHSUHVHQWHGWRDQGDGMXGLFDWHGE\WKHVWDWHFRXUWV,Q                UHVXOWHG LQ D GHFLVLRQ WKDW ZDV FRQWUDU\ WR RU
*UD\Y1HWKHUODQGWKH6XSUHPH&RXUWREVHUYHGWKDW                       LQYROYHG DQ  XQUHDVRQDEOH DSSOLFDWLRQ RI FOHDUO\
                                                                           HVWDEOLVKHG )HGHUDO ODZ DV  GHWHUPLQHG E\ WKH
      ,Q3LFDUGY&RQQRU866&W                  6XSUHPH&RXUWRIWKH8QLWHG6WDWHVRU
    /(GG   ZH KHOG WKDW IRU SXUSRVHV RI
    H[KDXVWLQJVWDWHUHPHGLHVDFODLPIRUUHOLHILQKDEHDV                 UHVXOWHG LQ D GHFLVLRQ WKDW ZDV EDVHG XSRQ DQ
    FRUSXV PXVW LQFOXGH UHIHUHQFH WR D VSHFLILF IHGHUDO             XQUHDVRQDEOHGHWHUPLQDWLRQRIWKHIDFWVLQOLJKWRIWKH
    FRQVWLWXWLRQDO JXDUDQWHH DV ZHOO DV D VWDWHPHQW RI WKH        HYLGHQFHSUHVHQWHGLQWKH6WDWHFRXUWSURFHHGLQJ
    IDFWVWKDWHQWLWOHWKHSHWLWLRQHUWRUHOLHI
                                                                      86&G
      
                                                                         7KHGLVWULFWFRXUWGHFOLQHGWRDSSO\$('3$jVGHIHUHQWLDO
       :HKDYHDOVRLQGLFDWHGWKDWLWLVQRWHQRXJKWRPDNHD         VWDQGDUG RI UHYLHZ WR WKH GHFLVLRQV RI WKH 0LFKLJDQ VWDWH
    JHQHUDODSSHDOWRDFRQVWLWXWLRQDOJXDUDQWHHDVEURDGDV          FRXUWV EHFDXVH  m>Z@KHUH DV KHUH WKH VWDWH FRXUWV GLG QRW
    GXHSURFHVVWRSUHVHQWWKHmVXEVWDQFHlRIVXFKDFODLPWR         DGMXGLFDWHWKHSHWLWLRQHUjVFRQVWLWXWLRQDOFODLPVRQWKHPHULWV
    DVWDWHFRXUW                                                   WKH$('3$GRHVQRWDSSO\DQGWKHSHWLWLRQHULVHQWLWOHGWR
                                                                      SOHQDU\ RU GH QRYR UHYLHZ RI KLV FODLPVl  2QLIHU Y
*UD\Y1HWKHUODQG86,QWKLV            7\V]NLHZLF]1R&9%&DW('0LFK'HF
FDVH2QLIHULGHQWLILHGERWKWKHFRQVWLWXWLRQDOULJKWVWKDWKH        +RZHYHUWKLVFRXUWKDVKHOGWKDWHYHQLIDVWDWHFRXUW
FODLPHG KDG EHHQ YLRODWHG DQG WKH SDUWLFXODU IDFWV ZKLFK      IDLOVWRDUWLFXODWHLWVUHDVRQLQJIRUDGHFLVLRQRQWKHPHULWVWKH
VXSSRUWHGKLVFODLPVKHKDVWKXVGRQHDOOWKDWLVUHTXLUHGRI        GHIHUHQWLDOVWDQGDUGVRI$('3$VWLOODSSO\
KLPWRSUHVHQWKLVFRQVWLWXWLRQDOFODLPVWRERWKWKH0LFKLJDQ
VWDWHFRXUWVDQGWKHGLVWULFWFRXUW                                     2WKHU FLUFXLW FRXUWV KDYH FRQFOXGHG WKDW ZKHUH WKH
                                                                        VWDWHFRXUWKDVQRWDUWLFXODWHGLWVUHDVRQLQJIHGHUDOFRXUWV
                                 ,,,                                   DUHREOLJDWHG WRFRQGXFWDQLQGHSHQGHQWUHYLHZRIWKH
                                                                        UHFRUGDQGDSSOLFDEOHODZWRGHWHUPLQHZKHWKHUWKHVWDWH
  7KLVFRXUWUHYLHZVDGLVWULFWFRXUWjVOHJDOFRQFOXVLRQVLQD          FRXUWGHFLVLRQLVFRQWUDU\WRIHGHUDOODZXQUHDVRQDEO\
KDEHDVSURFHHGLQJGHQRYRDQGLWVIDFWXDOILQGLQJVIRUFOHDU            DSSOLHV FOHDUO\ HVWDEOLVKHG ODZ RU LV EDVHG RQ DQ
HUURU6HH/XFDVY2j'HD)GWK&LU          XQUHDVRQDEOH GHWHUPLQDWLRQ RI WKH IDFWV LQ OLJKW RI WKH
2QLIHUILOHGKLVKDEHDVSHWLWLRQDIWHUWKHHIIHFWLYHGDWHRIWKH        HYLGHQFH SUHVHQWHG    7KDW LQGHSHQGHQW UHYLHZ
$QWLWHUURULVPDQG(IIHFWLYH'HDWK3HQDOW\$FWRI3XE             KRZHYHULVQRWDIXOOGHQRYRUHYLHZRIWKHFODLPVEXW
/ 1R   6WDW    m$('3$l  6HH        UHPDLQVGHIHUHQWLDOEHFDXVHWKHFRXUWFDQQRWJUDQWUHOLHI
/LQGK Y 0XUSK\  86    +DUSVWHU Y         XQOHVVWKHVWDWHFRXUWjVUHVXOWLVQRWLQNHHSLQJZLWKWKH
2KLR)GWK&LU2XUUHYLHZLVWKXV            VWULFWXUHVRIWKH$('3$
JRYHUQHGE\86&GZKLFKSURYLGHVDVIROORZV
                                                                      +DUULVY6WRYDOO)GWK&LUFLWDWLRQV
    G$QDSSOLFDWLRQIRUDZULWRIKDEHDVFRUSXVRQEHKDOI          RPLWWHG7KHGLVWULFWFRXUWWKXVHUUHGZKHQLWDSSOLHGGHQRYR
    RIDSHUVRQLQFXVWRG\SXUVXDQWWRWKHMXGJPHQWRID6WDWH        UHYLHZ WR 2QLIHUjV FODLPV  :H WXUQ QRZ WR 2QLIHUjV
    FRXUWVKDOOQRWEHJUDQWHGZLWKUHVSHFWWRDQ\FODLPWKDW        FRQVWLWXWLRQDOFODLPVDVNLQJZKHWKHUVWDWHDGMXGLFDWLRQRIKLV
    ZDVDGMXGLFDWHGRQWKHPHULWVLQ6WDWHFRXUWXQOHVVWKH           FODLPV ZDV mFRQWUDU\ WR RU LQYROYHG DQ  XQUHDVRQDEOH
    DGMXGLFDWLRQRIWKHFODLPo                                      DSSOLFDWLRQRIFOHDUO\HVWDEOLVKHG)HGHUDOODZDVGHWHUPLQHG