Court Opinion

ID: 2970082
Source: CourtListenerOpinion
Date Created: 2015-09-22 16:03:52.29282+00
Date Added: 2024-06-11T15:01:32.179872
License: Public Domain

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 DS

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

 s26(3+ / 9$/(17,1(              ;
           3HWLWLRQHU$SSHOODQW 
                                    
                                      1R
            Y                      
                                     !
                                    
 52'1(< )5$1&,6:DUGHQ            
          5HVSRQGHQW$SSHOOHH 
                                   1
       $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
      IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW&ROXPEXV
    1RnsDPHV/*UDKDP'LVWULFWsXGJH
                     $UJXHG$XJXVW
             'HFLGHGDQG)LOHG1RYHPEHU
 %HIRUH68+5+(,15,&+DQG6,/(5&LUFXLWsXGJHV
               +22''LVWULFWsXGJH
                       BBBBBBBBBBBBBBBBB
                             &2816(/
$5*8('  .HYLQ / )DKH\ 38%/,& '()(1'(5j6
2)),&( 2+,2 38%/,& '()(1'(5 &200,66,21
&ROXPEXV2KLRIRU$SSHOODQW06FRWW&ULVV2)),&(2)

    
     7KH +RQRUDEOH sRVHSK 0 +RRG 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH
(DVWHUQ 'LVWULFW RI .HQWXFN\ VLWWLQJ E\ GHVLJQDWLRQ

                                   
     9DOHQWLQHY)UDQFLV                          1R

7+( $77251(< *(1(5$/ &255(&7,216
/,7,*$7,21 6(&7,21 &ROXPEXV 2KLR IRU $SSHOOHH
21%5,().HYLQ/)DKH\'DYLG+%RGLNHU38%/,&
'()(1'(5j6 2)),&( 2+,2 38%/,& '()(1'(5
&200,66,21&ROXPEXV2KLRIRU$SSHOODQW06FRWW
&ULVV 2)),&( 2) 7+( $77251(< *(1(5$/
&255(&7,216/,7,*$7,216(&7,21&ROXPEXV2KLR
IRU$SSHOOHH
                     BBBBBBBBBBBBBBBBB
                         23,1,21
                     BBBBBBBBBBBBBBBBB
  6,/(5 &LUFXLW sXGJH  3HWLWLRQHU sRVHSK / 9DOHQWLQH
DSSHDOV WKH GLVWULFW FRXUWjV GLVPLVVDO RI KLV KDEHDV FRUSXV
SHWLWLRQDVWLPHEDUUHGE\WKHRQH\HDUVWDWXWHRIOLPLWDWLRQV
VHWIRUWKLQ86&G$:HDIILUP
                     ,%$&.*5281'
   ,Q9DOHQWLQHZDVFRQYLFWHGRIPXUGHUZLWKDILUHDUP
VSHFLILFDWLRQDQGVHQWHQFHGWRDQDJJUHJDWHWHUPRIHLJKWHHQ
\HDUVWROLIHLPSULVRQPHQW+HILOHGDWLPHO\QRWLFHRIDSSHDO
ZLWK2KLRjV7HQWK'LVWULFW&RXUWRI$SSHDOVEXWKLVFRXQVHO
IDLOHGWRILOHDQDSSHOODWHEULHI$IWHUWKHWLPHIRUILOLQJD
EULHIKDGH[SLUHGKHILOHGDPRWLRQVHHNLQJDQH[WHQVLRQWR
ILOH  2Q $XJXVW   WKH FRXUW RI DSSHDOV GLVPLVVHG
9DOHQWLQHjV DSSHDO VXD VSRQWH EHFDXVH 9DOHQWLQH IDLOHG WR
WLPHO\ILOHDQDSSHOODWHEULHI
  2Q6HSWHPEHU9DOHQWLQHILOHGDSURVHSHWLWLRQ
IRUSRVWFRQYLFWLRQUHOLHIZLWKWKH2KLRWULDOFRXUWLQZKLFK
KH DOOHJHG WKDW KH ZDV GHQLHG WKH HIIHFWLYH DVVLVWDQFH RI
FRXQVHO2QsDQXDU\WKHWULDOFRXUWGLVPLVVHGWKDW
SHWLWLRQ DV PHULWOHVV DQG 9DOHQWLQH GLG QRW DSSHDO  2Q
0DUFK9DOHQWLQHQRZUHSUHVHQWHGE\DQ2KLRSXEOLF
GHIHQGHUILOHGDQDSSOLFDWLRQWRUHRSHQKLVGLUHFWDSSHDOZLWK
2KLRjV7HQWK'LVWULFW&RXUWRI$SSHDOV  7KHEDVLVIRUKLV
DSSOLFDWLRQZDVWKDWKLVFRXQVHOjVLQHIIHFWLYHQHVVLQQRWILOLQJ
DQDSSHOODWHEULHIKDGEHHQWKHUHDVRQWKDWKLVGLUHFWDSSHDO
     9DOHQWLQHY)UDQFLV                             1R       1R                          9DOHQWLQHY)UDQFLV        

WKDW WKH 2KLR 6XSUHPH &RXUW GLVPLVVHG KLV DSSOLFDWLRQ WR         ZDVSUHYLRXVO\GLVPLVVHG2Q0D\WKHFRXUWGHQLHG
UHRSHQGLUHFWDSSHDO                                                   9DOHQWLQHjV DSSOLFDWLRQ WR UHRSHQ KLV GLUHFW DSSHDO RQ WKH
                                                                         JURXQGWKDWQRJRRGFDXVHKDGEHHQVKRZIRUKLVVXEVWDQWLDO
   :H FDQQRW FRQVLGHU WKLV DUJXPHQW VLQFH D FHUWLILFDWH RI       GHOD\LQVHHNLQJUHRSHQLQJ9DOHQWLQHDSSHDOHGWKHGHQLDORI
DSSHDODELOLW\ GLG QRW LVVXH IRU DQ\ G% FODLP  7KH       KLV DSSOLFDWLRQ WR WKH 2KLR 6XSUHPH &RXUW ZKLFK RQ
GLVWULFWFRXUWjVRUGHUJUDQWLQJD&2$VWDWHVWKDWLWVMXGJPHQW           6HSWHPEHUGLVPLVVHGKLVDSSHDOZLWKRXWRSLQLRQ
GLVPLVVHG9DOHQWLQHjVKDEHDVSHWLWLRQDVWLPHEDUUHGE\WKH
RQH\HDU VWDWXWH RI OLPLWDWLRQV  7KH &2$ RUGHU QHYHU              2Q 0DUFK   SXUVXDQW WR  86&  
UHIHUHQFHV G% PHDQLQJ WKDW WKLV FRXUWjV UHYLHZ LV         9DOHQWLQHILOHGDSHWLWLRQIRUDZULWRIKDEHDVFRUSXVLQWKH
OLPLWHG WR WKH GLVWULFW FRXUWjV MXGJPHQW WKDW 9DOHQWLQHjV         6RXWKHUQ 'LVWULFW RI 2KLR  7KH GLVWULFW FRXUW GLVPLVVHG
SHWLWLRQLVXQWLPHO\SXUVXDQWWRG$,QIDFWWKHUHLVQR        9DOHQWLQHjV KDEHDV SHWLWLRQ DV WLPHEDUUHG E\ WKH RQH\HDU
HYLGHQFHLQWKHUHFRUGWKDWDQ\G%DUJXPHQWZDVHYHU              VWDWXWH RI OLPLWDWLRQV HVWDEOLVKHG E\  86&
UDLVHGEHIRUHWKHGLVWULFWFRXUW,WDSSHDUVWKDWLWLVPDGHIRU        G$9DOHQWLQHWLPHO\DSSHDOHGDQGWKHGLVWULFW
WKH ILUVW WLPH KHUH  %HFDXVH QR FHUWLILFDWH RI DSSHDODELOLW\   FRXUWLVVXHGDFHUWLILFDWHRIDSSHDODELOLW\m&2$l
LVVXHG IRU DQ\ G% FODLP WKLV FRXUW FDQQRW FRQVLGHU
9DOHQWLQHjV G% FODLP RQ DSSHDO  6HH  86&                           ,,67$1'$5'2)5(9,(:
F
                                                                            :HUHYLHZDGLVWULFWFRXUWjVOHJDOFRQFOXVLRQVGHQRYRDQG
    $)),50('                                                            LWVILQGLQJVRIIDFWIRUFOHDUHUURU6HH+DUULVY6WRYDOO
                                                                         )GWK&LU%HFDXVH9DOHQWLQHjVKDEHDV
                                                                         SHWLWLRQZDVILOHGDIWHUWKH$QWLWHUURULVPDQG(IIHFWLYH'HDWK
                                                                         3HQDOW\$FWm$('3$lEHFDPHHIIHFWLYHWKHSURYLVLRQVRI
                                                                         WKDW$FWDSSO\WRKLVFDVH6HH6H\PRXUY:DONHU)G
                                                                         WK&LU
                                                                                               ,,,',6&866,21
                                                                            3XUVXDQW WR $('3$ D SULVRQHU KDV RQH \HDU IURP WKH
                                                                         FRPSOHWLRQRIWKHGLUHFWUHYLHZRIKLVFDVHWRFRPPHQFHD
                                                                         FROODWHUDO DWWDFN RQ KLV FRQYLFWLRQ  6HH  86&
                                                                          G$  :KHUH WKDW SULVRQHUjV VWDWH FRQYLFWLRQ
                                                                         EHFDPHILQDOSULRUWR$('3$jVHIIHFWLYHGDWH$SULO
                                                                         KH KDV RQH \HDU IURP $SULO   WR LQLWLDWH D KDEHDV
                                                                         DFWLRQ6HH$XVWLQY0LWFKHOO)GWK&LU
                                                                          FHUW GHQLHG  86    7KH RQH\HDU
                                                                         OLPLWDWLRQSHULRGKRZHYHUPD\EHWROOHGm7KHWLPHGXULQJ
                                                                         ZKLFKDSURSHUO\ILOHGDSSOLFDWLRQIRU6WDWHSRVWFRQYLFWLRQ
                                                                         UHOLHIRURWKHUFROODWHUDOUHYLHZZLWKUHVSHFWWRWKHSHUWLQHQW
                                                                         MXGJPHQWRUFODLPLVSHQGLQJVKDOOQRWEHFRXQWHGWRZDUGDQ\
                                                                         SHULRG RI OLPLWDWLRQ XQGHU WKLV VXEVHFWLRQl   86&
                                                                         G,Q$XVWLQ)GDWWKLVFRXUWVWDWHGWKDW
      9DOHQWLQHY)UDQFLV                            1R       1R                           9DOHQWLQHY)UDQFLV       

mWKHSXUSRVHRIWROOLQJLVWRSURYLGHWKHVWDWHFRXUWVZLWK        KDEHDVSHWLWLRQZDVSURSHUO\GLVPLVVHGE\WKHGLVWULFWFRXUWDV
WKHILUVWRSSRUWXQLW\WRUHVROYHWKHSULVRQHUjVIHGHUDOFODLPl          XQWLPHO\
$FFRUGLQJO\WKLVFRXUWDGRSWHGDUXOHWKDW
                                                                            9DOHQWLQHGRHVQRWGLVSXWHWKHGLVWULFWFRXUWjVFDOFXODWLRQ
    >$@VWDWHSHWLWLRQIRUSRVWFRQYLFWLRQRURWKHUFROODWHUDO           WKDW LI KLV SRVWFRQYLFWLRQ SHWLWLRQ GLG QRW WROO $('3$jV
    UHYLHZWKDWGRHVQRWDGGUHVVRQHRUPRUHRIWKHJURXQGV              VWDWXWHRIOLPLWDWLRQVIRULQLWLDWLQJDKDEHDVDFWLRQKLVKDEHDV
    RIWKHIHGHUDOKDEHDVSHWLWLRQLQTXHVWLRQLVQRWDUHYLHZ           SHWLWLRQZDVXQWLPHO\5DWKHUKHDVNVWKLVFRXUWWRKROGWKDW
    mZLWKUHVSHFWWRWKHSHUWLQHQWMXGJPHQWRUFODLPlZLWKLQ             $XVWLQZDVLQFRUUHFWO\GHFLGHGDQGWKXVWKDWWKHILOLQJRIKLV
    WKH PHDQLQJ RI  86&  G DQG WKHUHIRUH         SRVWFRQYLFWLRQSHWLWLRQWROOHGWKHVWDWXWHRIOLPLWDWLRQV
    GRHVQRWWROOWKHRQH\HDU$('3$VWDWXWHRIOLPLWDWLRQV
                                                                            7KLVFRXUWLVSUHFOXGHGIURPRYHUUXOLQJ$XVWLQ3XUVXDQWWR
,G                                                                      7+ &,5 5Fm5HSRUWHGSDQHORSLQLRQVDUHELQGLQJRQ
                                                                         VXEVHTXHQW SDQHOV 7KXV QR VXEVHTXHQW SDQHO RYHUUXOHV D
   9DOHQWLQHjV FRQYLFWLRQ EHFDPH ILQDO SULRU WR $('3$             SXEOLVKHG RSLQLRQ RI D SUHYLRXV SDQHO &RXUW HQ EDQF
PHDQLQJ WKDW WKH RQH\HDU VWDWXWH RI OLPLWDWLRQV IRU KLP WR     FRQVLGHUDWLRQLVUHTXLUHGWRRYHUUXOHDSXEOLVKHGRSLQLRQRI
LQLWLDWHDKDEHDVDFWLRQEHJDQWRUXQRQ$SULO2Q             WKHFRXUWl$XVWLQDSXEOLVKHGRSLQLRQLVELQGLQJRQWKLV
6HSWHPEHU   9DOHQWLQH ILOHG KLV SHWLWLRQ IRU SRVW       SDQHO6HHLGVHHDOVR8QLWHG6WDWHVY6PLWK)G
FRQYLFWLRQ UHOLHIZLWKWKHWULDOFRXUWZKLFKZDVGHQLHGRQ              WK &LU  VWDWLQJ WKDW SXUVXDQW WR FXVWRP
sDQXDU\    ,Q WKLV SHWLWLRQ 9DOHQWLQH PDGH WZR         WUDGLWLRQDQG6L[WK&LUFXLWUXOHVDSDQHOjVSXEOLVKHGGHFLVLRQ
FRQVWLWXWLRQDOFODLPV  WKHSURVHFXWRUGLGQRWKDQGRYHU            LV ELQGLQJ RQ VXEVHTXHQW SDQHOV XQOHVV DQ mLQFRQVLVWHQW
PDWHULDOGLVFRYHU\DQGKLVWULDOFRXQVHOjVIDLOXUHWRUHTXHVW        GHFLVLRQ RI WKH 8QLWHG 6WDWHV 6XSUHPH &RXUW UHTXLUHV
GLVFRYHU\ FRQVWLWXWHG LQHIIHFWLYH DVVLVWDQFH RI FRXQVHO            PRGLILFDWLRQ RI WKH GHFLVLRQ RU WKLV &RXUW VLWWLQJ HQ EDQF
1HLWKHU RI WKHVH FODLPV ZDV UDLVHG LQ 9DOHQWLQHjV KDEHDV         RYHUUXOHV WKH SULRU GHFLVLRQl   7KHUHIRUH $XVWLQ LV
SHWLWLRQZKHUHKHDOOHJHGWKDWKHZDVGHQLHGHIIHFWLYH             FRQWUROOLQJDXWKRULW\IRUWKLVSDQHODVLWZDVIRUWKHGLVWULFW
DVVLVWDQFHRIDSSHOODWHFRXQVHOLQYLRODWLRQRIKLVULJKWWRGXH         FRXUW
SURFHVV RI ODZ DV JXDUDQWHHG E\ WKH 6L[WK DQG )RXUWHHQWK
$PHQGPHQWVEHFDXVHKLVWULDOFRXQVHOZKREHFDPHDSSHOODWH                  $OWHUQDWLYHO\ 9DOHQWLQH FRQWHQGV WKDW WKH VWDWXWH RI
FRXQVHO IDLOHG WR ILOH DQ DSSHOODWH EULHI ZKLFK OHG WR WKH   OLPLWDWLRQVIRUILOLQJDKDEHDVDFWLRQGLGQRWEHJLQWRUXQRQ
GLVPLVVDORIKLVGLUHFWDSSHDODQGKLVULJKWWRDSSHDODV           $SULO&LWLQJ(YLWWVY/XFH\86
JXDUDQWHHGE\WKH(TXDO3URWHFWLRQDQG'XH3URFHVV&ODXVHV               KHDUJXHVWKDWLQVWHDGRIGLVPLVVLQJKLVDSSHDORXWULJKWWKH
RI WKH )RXUWHHQWK $PHQGPHQW EHFDXVH WKH 2KLR &RXUW RI            VWDWHFRXUWRIDSSHDOVVKRXOGKDYHSXQLVKHGKLVDWWRUQH\IRU
$SSHDOVGLVPLVVHGKLVDSSHDODIWHUKLVFRXQVHOQHJOHFWHGWR              KLVIDLOXUHWRILOHDQDSSHOODWHEULHI+HIXUWKHUDUJXHVWKDWWKH
ILOH D EULHI  3XUVXDQW WR WKH UXOH DUWLFXODWHG LQ $XVWLQ     FRXUWjV $XJXVW  GLVPLVVDO RI KLV DSSHDO FUHDWHG DQ
9DOHQWLQHjV VWDWH SRVWFRQYLFWLRQ SHWLWLRQ GLG QRW WROO WKH       XQFRQVWLWXWLRQDOLPSHGLPHQWWKDWSUHYHQWHGKLPIURPILOLQJ
VWDWXWH RI OLPLWDWLRQV EHFDXVH QRQH RI 9DOHQWLQHjV KDEHDV         DWLPHO\KDEHDVDFWLRQ%DVHGXSRQWKLVSUHPLVH9DOHQWLQH
FODLPVZDVUDLVHGLQWKDWSHWLWLRQ7KXV9DOHQWLQHjVGHDGOLQH          FRQWHQGVWKDWKLVFRXQVHOjVLQHIIHFWLYHQHVVFRQVWLWXWHGVWDWH
IRUILOLQJDKDEHDVSHWLWLRQHYHQDVVXPLQJWKDWKLVDSSOLFDWLRQ         DFWLRQDQGSXUVXDQWWR86&G%WKHVWDWXWH
WRUHRSHQKLVGLUHFWDSSHDOWROOHGWKHVWDWXWHRIOLPLWDWLRQV           RIOLPLWDWLRQVIRUKLVKDEHDVDFWLRQRQO\EHJDQWRUXQRQFH
H[SLUHGRQ1RYHPEHU9DOHQWLQHjVKDEHDVSHWLWLRQ               WKDWLPSHGLPHQWZDVUHPRYHGo6HSWHPEHUWKHGDWH
ZDVQRWILOHGXQWLO0DUFK$FFRUGLQJO\9DOHQWLQHjV