Court Opinion

ID: 2969559
Source: CourtListenerOpinion
Date Created: 2015-09-22 15:51:46.783727+00
Date Added: 2024-06-11T09:32:52.819399
License: Public Domain

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21
    3UXGHQWLDO6HFXULWLHVHWDOY<LQJOLQJ   1R                 3XUVXDQW WR 6L[WK &LUFXLW 5XOH 

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

SHUPDQHQWO\ SURKLELWLQJ GHIHQGDQW IURP SXUVXLQJ KHU WLPH                  )LOH 1DPH DS

EDUUHGFODLPVLQDUELWUDWLRQ
                                                                 81,7('67$7(6&28572)$33($/6
                                                                               )257+(6,;7+&,5&8,7
                                                                                 BBBBBBBBBBBBBBBBB

                                                                 358'(17,$/ 6(&85,7,(6             ;
                                                                 ,1& '($1 :,77(5                   
                                                                 5(<12/'6 ,1&                     
                                                                                                       1R
                                                                               3ODLQWLIIV&RXQWHU 
                                                                          'HIHQGDQWV$SSHOOHHV !
                                                                                                     
                                                                                                     
                                                                             Y                      
                                                                                                     
                                                                 &$7+(5,1( 0 <,1*/,1*              
                                                                             'HIHQGDQW&RXQWHU 
                                                                                                     
                                                                            &ODLPDQW$SSHOODQW 
                                                                                                     
                                                                                                    1
                                                                        $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
                                                                       IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW&LQFLQQDWL
                                                                   1Rn6DQGUD6%HFNZLWK'LVWULFWsXGJH
                                                                                6XEPLWWHGsXQH
                                                                         'HFLGHGDQG)LOHG6HSWHPEHU
                                                                  %HIRUH.(11('<1(/621DQG%$7&+(/'(5
                                                                                 &LUFXLWsXGJHV

                                                                                            
     3UXGHQWLDO6HFXULWLHVHWDOY<LQJOLQJ      1R       1R        3UXGHQWLDO6HFXULWLHVHWDOY<LQJOLQJ             

                     BBBBBBBBBBBBBBBBB                                 SUHOLPLQDU\LQMXQFWLRQVKRXOGLVVXHLQWKHHYHQWWKDWWKH&RXUW
                                                                       LVQRWSHUVXDGHGE\WKDWDUJXPHQWl7KHGLVWULFWFRXUWWKHQ
                           &2816(/                                     UHMHFWHGGHIHQGDQWjVDUJXPHQWRQWKHJURXQGVWKDWWKLV&LUFXLW
                                                                       KDGSUHYLRXVO\UXOHGWKDWGLVWULFWFRXUWVKDYHMXULVGLFWLRQWR
21%5,()5REHUW15DSS%ULDQ0(LVHQEHUJ&$/)((                 GHWHUPLQHZKHWKHUFODLPVDUHHOLJLEOHIRUDUELWUDWLRQXQGHU
+$/7(5 	 *5,6:2/' &OHYHODQG 2KLR 0DULD $ 'HO                
0RQDFR'<.(0$*266(77'HWURLW0LFKLJDQ0LFKDHO
1 8QJDU 8/0(5 	 %(51( &OHYHODQG 2KLR IRU                      7KHGLVWULFWFRXUWZDVHVVHQWLDOO\FRUUHFW:KLOHRXU&LUFXLW
$SSHOOHHV&DWKHULQH0<LQJOLQJ&LQFLQQDWL2KLRSURVH           KDVQRWUXOHGWKDWHOLJLELOLW\RIFODLPVIRUDUELWUDWLRQXQGHU
                                                                         RI WKH 1$6' &RGH RI $UELWUDWLRQ 3URFHGXUH LV D
                     BBBBBBBBBBBBBBBBB                                 PDWWHUIRUWKHIHGHUDOGLVWULFWFRXUWWRGHFLGHLWKDVGUDZQWKLV
                                                                       FRQFOXVLRQZLWKUHJDUGWRWKHLGHQWLFDOO\ZRUGHGRIWKH
                         23,1,21                                       1$6'&RGHRI$UELWUDWLRQ3URFHGXUH6HH6PLWK%DUQH\
                     BBBBBBBBBBBBBBBBB                                 ,QFY6DUYHU)GWK&LU'HDQ:LWWHU
                                                                       5H\QROGV ,QF Y 0F &R\  )G  o WK &LU
   .(11('< &LUFXLW sXGJH  3UXGHQWLDO 6HFXULWLHV ,QF          %HFDXVHZDVPHUHO\UHFRGLILHGDVFDVHV
m3UXGHQWLDOl DQG 'HDQ :LWWHU 5H\QROGV ,QF m'HDQ             LQWHUSUHWLQJ WKH ROG SURYLVLRQ DUH HTXDOO\ DSSOLFDEOH WR
:LWWHUlFROOHFWLYHO\UHIHUUHGWRDVmSODLQWLIIVlLQLWLDWHGWKLV     )XUWKHUZHKDYHDOVRVWDWHGWKDWWKHHOLJLELOLW\RID
DFWLRQVHHNLQJWRHQMRLQ&DWKHULQH0<LQJOLQJm<LQJOLQJl             FODLPIRUDUELWUDWLRQXQGHUWKHVL[\HDUSHULRGDOORZHGE\WKH
RU mGHIHQGDQWl IURP SXUVXLQJ FODLPV DJDLQVW WKHP LQ D         LGHQWLFDOO\ ZRUGHG 1<6( 5XOH  LV D TXHVWLRQ IRU WKH
1DWLRQDO $VVRFLDWLRQ RI 6HFXULW\ 'HDOHUV m1$6'l                 GLVWULFWFRXUWWRGHFLGH6HH2KLR&RY1HPHFHN)G
DUELWUDWLRQ SURFHHGLQJ  7KH GLVWULFW FRXUW SHUPDQHQWO\          WK&LU5RQH\DQG&RY.DVVDE)G
HQMRLQHG <LQJOLQJ IURP SXUVXLQJ DUELWUDWLRQ FODLPV ZKLFK         WK&LU
DFFUXHGSULRUWR6HSWHPEHUFRQFOXGLQJWKDWSXUVXDQW
WRRIWKH1$6'&RGHRI$UELWUDWLRQ3URFHGXUHVXFK                                                 ,9
FODLPV ZHUH WLPH EDUUHG  3ODLQWLIIV WKHQ PRYHG  IRU WKH
GLVPLVVDORIGHIHQGDQWjVFRXQWHUFODLPVDQGWKHGLVWULFWFRXUW           )RUWKHIRUHJRLQJUHDVRQVZHFRQFOXGHWKDWZKLOHZHKDYH
JUDQWHGWKHPRWLRQ'HIHQGDQWEURXJKWWKLVSURVHDSSHDO           MXULVGLFWLRQ WR KHDU GHIHQGDQWjV DSSHDO WKH DUJXPHQWV WKDW
                                                                       GHIHQGDQW UDLVHV FRQFHUQLQJ WKH LQMXQFWLRQ LVVXHG E\ WKH
                                 ,                                    GLVWULFWFRXUWDUHZLWKRXWPHULW$SSHOODQWjVPRUHWKDQVL[
                                                                       \HDUROGFODLPVDUHLQHOLJLEOHIRUDUELWUDWLRQ7KHUHIRUHZH
   ,Q  )UHG <LQJOLQJ QRZ GHFHDVHG DQG &DWKHULQH          $)),50 WKH GLVWULFW FRXUWjV LVVXDQFH RI DQ LQMXQFWLRQ
<LQJOLQJRSHQHGDQLQYHVWPHQWDFFRXQWZLWK3UXGHQWLDO,Q
'HFHPEHU RI  WKH <LQJOLQJVj DFFRXQW H[HFXWLYH DW
3UXGHQWLDOOHIWWRZRUNIRU'HDQ:LWWHUDQGWKHDFFRXQWZDV                
ODWHU WUDQVIHUUHG WR 'HDQ :LWWHU  $SSDUHQWO\ QR VHFXULWLHV         7R WKH H[WHQW WKDW GHIHQGDQW KDV UDLVHG WKH LVVXH RI HTXLWDEOH WROOLQJ
                                                                       GXH WR IUDXGXOHQW FRQFHDOPHQW LW DSSHDUV WKDW VKH KDV ZDLYHG LW E\ QRW
ZHUHSXUFKDVHGIRUWKH<LQJOLQJVjDFFRXQWDIWHU'HFHPEHU           UDLVLQJ WKLV DUJXPHQW LQ WKH GLVWULFW FRXUW   +RZHYHU HYHQ LI VKH KDG
:KLOHHVWDEOLVKLQJWKHLUDFFRXQWVILUVWDW3UXGHQWLDO         SUHVHUYHG WKLV DUJXPHQW LW ZRXOG EH SUHFOXGHG E\ 2VOHU Y :DUH 

DQG ODWHU DW 'HDQ :LWWHU  WKH <LQJOLQJV VLJQHG DUELWUDWLRQ   )G  WK &LU  ,Q2VOHU RXU &LUFXLW KHOG WKDWnOLNH 1<6( 5XOH
                                                                       nIRUPHU 1$6' &RGH RI $UELWUDWLRQ 3URFHGXUH   RSHUDWHV DV DQ
                                                                       HOLJLELOLW\ SURYLVLRQ DQG FRQVHTXHQWO\ LV QRW VXEMHFW WR HTXLWDEOH WROOLQJ
                                                                       GXH WR DOOHJDWLRQV RI IUDXGXOHQW FRQFHDOPHQW   6HH LG DW o
       3UXGHQWLDO6HFXULWLHVHWDOY<LQJOLQJ          1R        1R        3UXGHQWLDO6HFXULWLHVHWDOY<LQJOLQJ                      

JDYH QRWLFH RI KHU LQWHQW WR DSSHDO WKH GLVWULFW FRXUWjV             FODXVHV DJUHHLQJ WR VHWWOH DQ\ FRQWURYHUVLHV UHODWLQJ WR WKH
SHUPDQHQWLQMXQFWLRQDVZHOO                                               DFFRXQWVVROHO\WKURXJKDUELWUDWLRQ
                                   ,,,                                          2Q 6HSWHPEHU  RI  &DWKHULQH <LQJOLQJ ILOHG D
                                                                              VWDWHPHQW RI FODLP DJDLQVW SODLQWLIIV ZLWK WKH 1$6'  ,Q
  3ODLQWLIIVILOHGFRPSODLQWVIRUGHFODUDWRU\MXGJPHQWZKLFK                  UHVSRQVH3ODLQWLIIVLQLWLDWHGWKLVDFWLRQLQWKHGLVWULFWFRXUW
ZHUHFRQVROLGDWHGEHIRUHWKHGLVWULFWFRXUW3ODLQWLIIVWKHQ                 VHHNLQJ WR HQMRLQ GHIHQGDQW IURP SXUVXLQJ FODLPV LQ
PRYHG IRU D SUHOLPLQDU\ LQMXQFWLRQ SURKLELWLQJ GHIHQGDQW                DUELWUDWLRQ ZKLFK DFFUXHG SULRU WR 6HSWHPEHU  
IURPSXUVXLQJFODLPVLQDUELWUDWLRQ EDVHGRQHYHQWVZKLFK                    3ODLQWLIIVDVVHUWHGWKDWXQGHUWKH1$6'UXOHVZKLFKJRYHUQHG
WRRN SODFH HDUOLHU WKDQ 6HSWHPEHU   'HIHQGDQW ZDV              WKH DUELWUDWLRQ SURFHHGLQJV FODLPV EDVHG RQ HYHQWV WKDW
UHSUHVHQWHGE\FRXQVHOGXULQJWKHVHSURFHHGLQJV7KHGLVWULFW               RFFXUUHG PRUH WKDQ VL[ \HDUV SULRU WR WKH GHPDQG IRU
FRXUWREVHUYHGWKDWWKHSDUWLHVERWKDJUHHGWKDWRIWKH               DUELWUDWLRQ DUH LQHOLJLEOH IRU VXEPLVVLRQ WR DUELWUDWLRQ
1$6'&RGHRI$UELWUDWLRQ3URFHGXUHUHTXLUHVWKDWDUELWUDWLRQ                  6HFWLRQRIWKH1$6'UXOHVZKLFKSODLQWLIIVUHOLHGRQ
FODLPV PXVW EH DVVHUWHG ZLWKLQ VL[ \HDUV RI WKH HYHQWV RU           SURYLGHV
RFFXUUHQFHVXSRQZKLFKDFODLPLVEDVHG)XUWKHUWKHFRXUW
QRWHGWKDWWKHSDUWLHVDJUHHGWKDWmQRQHRI'HIHQGDQWjVFODLPV                  1R GLVSXWH FODLP RU FRQWURYHUV\ VKDOO EH HOLJLEOH IRU
DJDLQVW3UXGHQWLDOVDWLVILHVWKDWUHTXLUHPHQWlDQGWKDWmRQO\                   VXEPLVVLRQWRDUELWUDWLRQXQGHUWKLV&RGHZKHUHVL[
FODLPV DJDLQVW 3ODLQWLII 'HDQ :LWWHU WKDW DUH EDVHG XSRQ                \HDUVKDYHHODSVHGIURPWKHRFFXUUHQFHRUHYHQWJLYLQJ
HYHQWVRURFFXUUHQFHVRQRUDIWHU6HSWHPEHUVDWLVI\                     ULVHWRWKHDFWRUGLVSXWHFODLPRUFRQWURYHUV\7KLV5XOH
WKH UHTXLUHPHQWl  )LQDOO\ WKH SDUWLHV DOVR DJUHHG WKDW WKH           VKDOO QRW H[WHQG DSSOLFDEOH VWDWXWHV RI OLPLWDWLRQV QRU
FRXUWFRXOGSURSHUO\HQMRLQWKHSHQGLQJDUELWUDWLRQDFWLRQVLI                  VKDOOLWDSSO\WRDQ\FDVHZKLFKLVGLUHFWHGWRDUELWUDWLRQ
WKHFRXUWFRQFOXGHGWKDWGHIHQGDQWjVFODLPVZHUHQRWHOLJLEOH                   E\DFRXUWRIFRPSHWHQWMXULVGLFWLRQ
IRU DUELWUDWLRQ XQGHU    'HIHQGDQWjV VROH DUJXPHQW
DJDLQVW SODLQWLIIVj PRWLRQ IRU D SUHOLPLQDU\ LQMXQFWLRQ ZDV            %DVHGRQWKLVSURYLVLRQWKHGLVWULFWFRXUWJUDQWHGSODLQWLIIVj
WKDWSXUVXDQWWRRIWKH1$6'&RGHRI$UELWUDWLRQ                      PRWLRQVIRUSUHOLPLQDU\LQMXQFWLRQVRQ0DUFKVWDWLQJ
3URFHGXUHV WKH DUELWUDWRU QRW WKH FRXUW VKRXOG GHFLGH               WKDWWKH\ZHUHWREHFRPHSHUPDQHQWLQMXQFWLRQVRQ0DUFK
ZKHWKHUDFODLPLVHOLJLEOHIRUDUELWUDWLRQ7KHGLVWULFWFRXUW
REVHUYHGWKDWm>G@HIHQGDQWDFNQRZOHGJHVWKDWWKHUHTXHVWHG
                                                                                  
                                                                                   <LQJOLQJVj    DJUHHPHQW        ZLWK    3UXGHQWLDO      SURYLGHG     WKDW   mDQ\
                                                                              FRQWURYHUV\ DULVLQJ RXW RI RU UHODWLQJ WR P\ DFFRXQW WR WUDQVDFWLRQV ZLWK
                                                                             RU IRU PH RU WR WKH $JUHHPHQW RU EUHDFK WKHUHRI    VKDOO EH VHWWOHG E\
      :H QRWH WKDW ZH DUH QRW FRQIURQWHG ZLWK D VLWXDWLRQ VXFK DV WKDW
DGGUHVVHG LQ :LOVRQ Y )LUHVWRQH 7LUH 	 5XEEHU &R        )G  
                                                                              DUELWUDWLRQl 6LPLODUO\ WKH DJUHHPHQW WKDW WKH <LQJOLQJV VLJQHG ZLWK 'HDQ
                                                                              :LWWHU UHTXLUHG WKDW ZLWK UHVSHFW WR DFFRXQWV LQ ZKLFK WKH VLJQRU KDG DQ
WK &LU  LQ ZKLFK DQ DSSHOODQW KDV OLPLWHG KHU DSSHDO WR RQO\ D
                                                                              LQWHUHVW FODLPV mDULVLQJ RXW RI RU FRQFHUQLQJ DQ\ VXFK DFFRXQW DQ\
SRUWLRQ RI WKH ILQDO MXGJPHQW 5DWKHU GHIHQGDQWjV QRWLFH LQGLFDWHV WKDW
                                                                              WUDQVDFWLRQV   EHWZHHQ   XV   RU   IRU   VXFK   DFFRXQWV   RU   WKH   FRQVWUXFWLRQ
VKH LV DSSHDOLQJ IURP WKH HQWLUH ILQDO MXGJPHQW DQG GHIHQGDQWjV
                                                                              SHUIRUPDQFH RU EUHDFK RI WKLV RU DQ\ RWKHU DJUHHPHQW EHWZHHQ XV    VKDOO
VXSSRUWLQJ SDSHUV VKRZ KHU LQWHQW WR DSSHDO WKH SHUPDQHQW LQMXQFWLRQ
                                                                              EH GHWHUPLQHG E\ DUELWUDWLRQ LQ DFFRUGDQFH ZLWK WKH UXOHV RI WKH 1DWLRQDO
LVVXHG E\ WKH GLVWULFW FRXUW 7KXV GHIHQGDQWjV QRWLFH ZDV RI WKH W\SH
GHHPHG VXIILFLHQW LQ &DWWLQ Y *HQHUDO 0RWRUV &RUS       )G  
                                                                              $VVRFLDWLRQ RI 6HFXULWLHV 'HDOHUVl

WK &LU  ZKLFK FRQFOXGHG WKDW E\ VSHFLILFDOO\ DSSHDOLQJ WKH ILQDO
                                                                                  
MXGJPHQW WKH DSSHOODQW DOVR SURSHUO\ JDYH QRWLFH RI DSSHDO ZLWK UHJDUG            7KH SDUWLHV GLG QRW LQFOXGH VHFWLRQ  RI WKH 1$6' &RGH RI
WR WKH GLVWULFW FRXUWjV HDUOLHU JUDQW RI SDUWLDO VXPPDU\ MXGJPHQW LQ IDYRU    $UELWUDWLRQ 3URFHGXUH LQ WKH UHFRUG         6HFWLRQ  FDQ EH YLHZHG DW
RI WKH DSSHOOHH                                                              KWWSZZZQDVGUFRPDKWP
     3UXGHQWLDO6HFXULWLHVHWDOY<LQJOLQJ       1R       1R      3UXGHQWLDO6HFXULWLHVHWDOY<LQJOLQJ        

ZLWKRXWIXUWKHUDFWLRQE\WKHFRXUWXQOHVVGHIHQGDQW                :HFRQFOXGHWKDWZHKDYHMXULVGLFWLRQWRKHDUGHIHQGDQWjV
GHPRQVWUDWHGFDXVHIRUWKHLUUHPRYDOE\WKDWGDWH'HIHQGDQW           DUJXPHQWV FRQFHUQLQJ WKH GLVWULFW FRXUWjV LVVXDQFH RI D
PDGHQRDWWHPSWWRPDNHVXFKDVKRZLQJDQGWKHLQMXQFWLRQV              SHUPDQHQW LQMXQFWLRQ RQ 0DUFK    +HU QRWLFH RI
ZHUH PDGH SHUPDQHQW  E\ WKH GLVWULFW FRXUW RQ 0DUFK        DSSHDO  LV IURP WKH GLVWULFW FRXUWjV 2UGHU DQG sXGJPHQW
                                                                   HQWHUHG RQ sXQH    7KLV MXGJPHQW UHIHUHQFHG WKH
                                                                        FRXUWjVHDUOLHULQMXQFWLRQIURPZKLFKQRDSSHDOKDGEHHQILOHG
  ,QUHVSRQVHWRSODLQWLIIVjFRPSODLQWGHIHQGDQWILOHGWKUHH           DQGIRUZKLFKD)HG5&LY3EFHUWLILFDWHKDGQRWEHHQ
FRXQWHUFODLPVDOOHJLQJEUHDFKRIFRQWUDFWIUDXGDQGEUHDFK            LVVXHG%\YLUWXHRIWKHILQDOMXGJPHQWUXOHDQLPPHGLDWH
RI ILGXFLDU\ GXW\  7KHVH FODLPV UHDOOHJHG WKRVH PDGH LQ       DSSHDO IURP VXFK DQ LQMXQFWLRQ ZRXOG EH FRQVLGHUHG
GHIHQGDQWjV VWDWHPHQW RI FODLP IRU DUELWUDWLRQ  3ODLQWLIIV      LQWHUORFXWRU\ LQ QDWXUH ZKHQ RWKHU FODLPV UHPDLQ SHQGLQJ
EURXJKWDPRWLRQWRGLVPLVVWKHFODLPVDUJXLQJWKDWFODLPV             7KXVDEVHQWDQLQWHUORFXWRU\DSSHDORU5XOHEFHUWLILFDWH
ZKLFK FRXOG QRW EH EURXJKW LQ DUELWUDWLRQ EHFDXVH RI WKHLU     WKHSHUPDQHQWLQMXQFWLRQLVVXHGE\WKHGLVWULFWFRXUWUHPDLQHG
XQWLPHOLQHVV OLNHZLVH FRXOG QRW EH OLWLJDWHG LQ WKH GLVWULFW   SDUWRI WKH FDVHSHQGLQJEHIRUHWKHFRXUWXQWLOLWLVVXHGLWV
FRXUW2QsXQHWKHGLVWULFWFRXUWJUDQWHGSODLQWLIIVj        ILQDOMXGJPHQWGLVSRVLQJRIDOOFODLPV6HH&KDPEHUVY2KLR
PRWLRQV  'HIHQGDQW EURXJKW WKLV SUR VH DSSHDO UHTXHVWLQJ       'HSWRI+XPDQ6HUYLFHV)GWK&LU
RQO\WKDWWKLV&RXUWUHYHUVHWKHGLVWULFWFRXUWDQGDOORZKHU           QRWLQJm>L@WLVFOHDUWKDWSDUWLHVDUHQRWUHTXLUHG WR ILOHDQ
FODLPVWRSURFHHGLQDUELWUDWLRQ6HH$GGHQGXPWR3UR6H               LQWHUORFXWRU\ DSSHDO UDWKHU D SDUW\ PD\ IRUJR DQ
$SSHOODQWjV%ULHI                                                      LQWHUORFXWRU\DSSHDODQGSUHVHQWWKHLVVXHWRWKLVFRXUWDIWHU
                                                                        ILQDOMXGJPHQWlVHHDOVR&KDUOHV$ODQ:ULJKW	$UWKXU
                                 ,,                                    5 0LOOHU )HGHUDO 3UDFWLFH DQG 3URFHGXUH   G HG
                                                                         FLWLQJ FDVHV IRU WKH SURSRVLWLRQ WKDW LQWHUORFXWRU\
   3ODLQWLIIVDVVHUWWKDWGHIHQGDQWIDLOHGWRSURSHUO\FRPSO\           DSSHDO RI D SHUPDQHQW LQMXQFWLRQ LV QRW PDQGDWRU\ DV WKH
ZLWK )HG 5 $SS 3 F% ZKLFK SURYLGHV WKDW WKH       RUGHU UHPDLQV SDUW RI WKH FDVH DQG PHUJHV ZLWK WKH ILQDO
QRWLFHRIDSSHDOPXVWmGHVLJQDWHWKHMXGJPHQWRUGHURUSDUW          MXGJPHQWIURPZKLFKDQDSSHDOFDQWKHQEHWDNHQ&DWWLQY
WKHUHRIEHLQJDSSHDOHGl,QKHUQRWLFHRIDSSHDOGHIHQGDQW       *HQHUDO 0RWRUV &RUS  )G   WK &LU 
VWDWHVWKDWVKHDSSHDOVmIURPWKH0HPRUDQGXPDQG2UGHU                 FRQFOXGLQJWKDWE\VSHFLILFDOO\DSSHDOLQJWKHILQDOMXGJPHQW
DQGsXGJPHQWLQD&LYLO&DVHJUDQWLQJ3ODLQWLIIVj0RWLRQVWR            WKHDSSHOODQWDOVRSURSHUO\JDYHQRWLFHRIDSSHDOZLWKUHJDUG
'LVPLVV 'HIHQGDQWjV &RXQWHUFODLPV DQG GLVPLVVLQJ WKH               WR WKH GLVWULFW FRXUWjV HDUOLHU JUDQW RI SDUWLDO VXPPDU\
DERYHFDSWLRQHGFDVHLQLWVHQWLUHW\HQWHUHGLQWKLVDFWLRQRQ          MXGJPHQWLQIDYRURIWKHDSSHOOHH
WKHWKGD\RIsXQHl+RZHYHULQKHUEULHIGHIHQGDQW
GRHVQRWDUJXHWKDWWKHGLVWULFWFRXUWHUUHGLQLWVsXQHRUGHU         $Q DSSHDO IURP D MXGJPHQW QRUPDOO\ LQFOXGHV DOO SULRU
LQZKLFKWKHFRXUWFRQFOXGHGWKDWSODLQWLIIFRXOGQRWOLWLJDWH          QRQILQDO RUGHUV DQG UXOLQJV  6HH &DWWLQ  )G DW 
FODLPVWKDWZHUHLQHOLJLEOHIRUDUELWUDWLRQ5DWKHUGHIHQGDQW         %DGJHU 3KDUPDFDO ,QF Y &ROJDWH3DOPROLYH &R  )G
DUJXHVWKDWWKHGLVWULFWFRXUWHUUHGLQLWVHDUOLHURUGHUHQMRLQLQJ     oWK&LU$FFRUGLQJO\ZHFRQFOXGHWKDW
KHU IURP DUELWUDWLQJ WKH FODLPV DW LVVXH  'HIHQGDQW            E\GHVLJQDWLQJWKHMXGJPHQWLQKHUQRWLFHRIDSSHDOGHIHQGDQW
DFNQRZOHGJHVWKDWWKHVHFODLPVDUHRYHUWKHVL[\HDUFODLP
SHULRGDOORZHGE\  RIWKH1$6'UXOHVEXWDUJXHV
QRQHWKHOHVVWKDWWKHGLVWULFWFRXUWVKRXOGQRWKDYHHQMRLQHG
KHUDWWHPSWWRVHHNUHFRYHU\LQDUELWUDWLRQ