Court Opinion

ID: 2970808
Source: CourtListenerOpinion
Date Created: 2015-09-22 16:22:29.969189+00
Date Added: 2024-06-11T15:01:13.526225
License: Public Domain

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21
              3XUVXDQW WR 6L[WK &LUFXLW 5XOH                             +RXVHY%HOO                                 1R
     (/(&7521,& &,7$7,21  )(' $SS 3 WK &LU
                 )LOH 1DPH DS
                                                                      7HQQHVVHH6XSUHPH&RXUWRQWKUHHFHUWLILHGTXHVWLRQV$ZULW
                                                                      RIFHUWLRUDULLVDOVRSHQGLQJEHIRUHWKH6XSUHPH&RXUWRIWKH
                                                                      8QLWHG6WDWHV1HYHUWKHOHVV+RXVHKDVLQLWLDWHGOLWLJDWLRQLQ
81,7('67$7(6&28572)$33($/6                                        RUGHU WR REWDLQ UHOLHI LQ WKH VWDWH FRXUWV RI 7HQQHVVHH RQ
                 )257+(6,;7+&,5&8,7                                FODLPV RI LQHIIHFWLYH DVVLVWDQFH RI FRXQVHO ZLWKKROGLQJ
                   BBBBBBBBBBBBBBBBB                                  H[FXOSDWRU\HYLGHQFHDQGPLVFRQGXFWE\WKHSROLFHDQGWKH
                                                                      SURVHFXWRU  +RXVH VHHNV WR KDYH )HGHUDO 'HIHQGHUjV
                                                                      DSSRLQWPHQW H[SDQGHG DQG WKHUHIRUH SDLG E\ WKH IHGHUDO
                                                                      JRYHUQPHQWIRUWKHVWDWHFRXUWUHSUHVHQWDWLRQ$IWHUUHYLHZ
 3$8/ *5(*25< +286(           ;                                      WKHDSSOLFDEOHFDVHODZIURPRXUVLVWHUFLUFXLWVZHILQGWKDW
         3HWLWLRQHU$SSHOODQW                                       6HFWLRQTGRHVQRWDXWKRUL]HWKHH[SDQGHGDSSRLQWPHQW
                                                                     $FFRUGLQJO\WKHPRWLRQLVGHQLHG
                                          1R
          Y                                                            $V WKH IDFWV VXUURXQGLQJ +RXVHjV FRQYLFWLRQ ZHUH IXOO\
                                 !                                    GLVFXVVHGLQRXUSULRURSLQLRQ+RXVHY%HOO)G
                                
 5,&.< %(//:DUGHQ                                                 WK&LUZHZLOOQRWUHLWHUDWHWKHPKHUH7KH
        5HVSRQGHQW$SSHOOHH                                         VROHTXHVWLRQEHIRUHXVFRQFHUQVZKHWKHU6HFWLRQTZLOO
                               1                                      DOORZ)HGHUDO'HIHQGHUWREHFRPSHQVDWHGIRUDQ\VWDWHZRUN
                                                                      6HFWLRQT%DXWKRUL]HVWKHDSSRLQWPHQWRIFRXQVHO
                                                                      IRUDQ\LQGLJHQWGHIHQGDQWLQDQ\SRVWFRQYLFWLRQSURFHHGLQJV
                     )LOHGsXQH                            XQGHU86&VHHNLQJWRYDFDWHRUVHWDVLGHDVWDWH
                                                                      GHDWKVHQWHQFHDVZHOODVIRUIHGHUDOGHDWKVHQWHQFHVXQGHU
  %HIRUH0$57,1&KLHI&LUFXLWsXGJH0(55,77                      86&7KHVWDWXWHDOVRSURYLGHVWKDWDGHIHQGDQW
     %2**61255,66,/(5%$7&+(/'(5                                LV HQWLWOHG WR mWKH IXUQLVKLQJV RI VXFK RWKHU VHUYLFHV LQ
 '$8*+75(<0225(&2/(&/$<DQG*,/0$1                            DFFRUGDQFHZLWKSDUDJUDSKVDQGl
                 &LUFXLWsXGJHV                                      86&  T%  6HFWLRQ T SURYLGHV WKDW
                                                                      DSSRLQWHGDWWRUQH\V
                     BBBBBBBBBBBBBBBBB
                                                                          VKDOO UHSUHVHQW WKH GHIHQGDQW WKURXJKRXW HYHU\
                          25'(5                                           VXEVHTXHQW VWDJH RI DYDLODEOH MXGLFLDO SURFHHGLQJV
                     BBBBBBBBBBBBBBBBB                                    LQFOXGLQJ WKH SUHWULDO SURFHHGLQJV WULDO VHQWHQFLQJ
                                                                          PRWLRQVIRUQHZWULDODSSHDOVDSSOLFDWLRQVIRUZULWRI
   %2<&( ) 0$57,1 s5 &KLHI &LUFXLW sXGJH  3DXO               FHUWLRUDULWRWKH6XSUHPH&RXUWRIWKH8QLWHG6WDWHVDQG
*UHJRU\+RXVHZKRKDVEHHQVHQWHQFHGWRGHDWKUHTXHVWVDQ               DOO DYDLODEOH SRVWFRQYLFWLRQ SURFHVV WRJHWKHU ZLWK
RUGHU DXWKRUL]LQJ )HGHUDO 'HIHQGHU 6HUYLFHV RI (DVWHUQ              DSSOLFDWLRQVIRUVWD\VRIH[HFXWLRQDQGRWKHUDSSURSULDWH
7HQQHVVHH ,QF WR UHSUHVHQW KLP LQ SHQGLQJ VWDWH FRXUW          PRWLRQV DQG SURFHGXUHV DQG VKDOO DOVR UHSUHVHQW WKH
SURFHHGLQJV)HGHUDO'HIHQGHUZDVDSSRLQWHGWRUHSUHVHQW                 GHIHQGDQW LQ VXFK FRPSHWHQF\ SURFHHGLQJV DQG
+RXVHLQKLVIHGHUDOKDEHDVFRUSXVSURFHHGLQJLQWKH8QLWHG               SURFHHGLQJVIRUH[HFXWLYHRURWKHUFOHPHQF\DVPD\EH
6WDWHV 'LVWULFW &RXUW IRU WKH (DVWHUQ 'LVWULFW RI 7HQQHVVHH       DYDLODEOHWRWKHGHIHQGDQW
SXUVXDQWWR86&T7KLVFRXUWKDV\HWWRLVVXHD
ILQDOHQEDQFGHFLVLRQDVZHDUHDZDLWLQJDUXOLQJIURPWKH

                                
1R                                   +RXVHY%HOO                 +RXVHY%HOO                                   1R

  :HDJUHHZLWKRXUVLVWHUFLUFXLWVWKDW6HFWLRQT%              FRQWUROOHGE\IHGHUDOFRXUWVIRUODZ\HUVDFWLQJLQVWDWH
PXVWEHFRQVWUXHGQDUURZO\DQGDJUHHZLWKWKHLUFRQFOXVLRQ                 SURFHHGLQJRQEHKDOIRIVWDWHSULVRQHUVVHHPVWRRELJDQG
WKDWWKHVWDWXWHGRHVQRWDXWKRUL]HIHGHUDOFRPSHQVDWLRQIRU               LQQRYDWLYH WR KDYHEHHQGHDOWZLWKDWWKHWDLOHQGRID
UHSUHVHQWDWLRQLQVWDWHSURFHHGLQJV6HH.LQJY0RRUH               VHVVLRQDVWKHOHJLVODWLRQZDVEHLQJDSSURYHGDWWKHODVW
)GWK&LU&ODUNYsRKQVRQ)G               PRPHQW  :H FRQVLGHU LW XQOLNHO\  7KH ODVWPLQXWH
WK&LU6WHUOLQJY6FRWW)G               QDWXUHRIWKHDPHQGPHQWDQGWKHODFNRIUHFRUGHGGHEDWH
WK&LU+LOOY/RFNKDUW)G               DERXWWKHLVVXHIXUWKHUFORXGVRXUPLQGVWKDW&RQJUHVV
WK&LU,QUH/LQGVH\)G                  DFWXDOO\LQWHQGHGIRUVHFWLRQTWRSURYLGHFRXQVHO
WK&LU                                                        DW IHGHUDO H[SHQVH WR VWDWH SULVRQHUV HQJDJHG LQ VWDWH
                                                                           SURFHHGLQJV
   6HFWLRQLVSDUWRIWKH$QWL'UXJ$EXVH$FWRI
3XE/1R6WDW7KHDFWSURYLGHVIRU               7KHUXOHLVVLPSOH7KHWZRUHSUHVHQWDWLRQVVKDOOQRWPL[
SXQLVKPHQWIRUHQJDJLQJLQFRQWLQXLQJFULPLQDOHQWHUSULVHVLQ          7KHVWDWHZLOOEHUHVSRQVLEOHIRUVWDWHSURFHHGLQJVDQGWKH
YLRODWLRQRIIHGHUDOGUXJODZVDQGSURYLGHVIRUWKHLPSRVLWLRQ         IHGHUDO JRYHUQPHQW ZLOO EH UHVSRQVLEOH IRU IHGHUDO
RIWKHGHDWKSHQDOW\LQFHUWDLQFDVHV86&7KH          SURFHHGLQJV  $V WKH ZHLJKW RI DXWKRULW\ GRHV QRW VXSSRUW
ODZDOVRHVWDEOLVKHVWKHSURFHGXUHVIRULPSRVLQJWKH GHDWK            +RXVHjVUHTXHVWWRKDYH)HGHUDO'HIHQGHUUHSUHVHQWKLPLQ
SHQDOW\ LQ IHGHUDO FDVHV DQG SURYLGHV IRU FRXQVHO IRU          WKH VWDWH FRXUW SURFHHGLQJV DW WKH H[SHQVH RI WKH IHGHUDO
ILQDQFLDOO\ XQDEOH GHIHQGDQWV  6HFWLRQ T LV HQWLWOHG      JRYHUQPHQW+RXVHjVPRWLRQWRH[SDQG)HGHUDO'HIHQGHUjV
m$SSHDO LQ FDSLWDO FDVHV FRXQVHO IRU ILQDQFLDOO\ XQDEOH        UHSUHVHQWDWLRQ EH\RQG LWV IHGHUDO FRXUW UHVSRQVLELOLWLHV LV
GHIHQGDQWVl$VWKHFRXUWQRWHGLQ.LQJWKHVWDWXWHmVHHPV           '(1,('
GLUHFWHGWRWKHDSSHDOVRIGHDWKSHQDOW\VHQWHQFHVLQIHGHUDO
FDVHVl .LQJ  )G DW   +RZHYHU 6HFWLRQ                              (17(5('%<25'(52)7+(&2857
T%SURYLGHVIRUWKHDSSRLQWPHQWRIFRXQVHOLQDQ\
SURFHHGLQJXQGHU6HFWLRQRU6HFWLRQLQZKLFKWKH
GHIHQGDQW LV VHHNLQJ WR VHW DVLGH D VWDWH RU IHGHUDO GHDWK
VHQWHQFH                                                                                 V/HRQDUG*UHHQ
                                                                                       BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
  6KRXOG ZH DOORZ WKH LQWHUSUHWDWLRQ VXJJHVWHG E\ +RXVH                                    &OHUN
+RXVHZRXOGEHHQWLWOHGWRKDYH)HGHUDO'HIHQGHUUHSUHVHQW
KLPLQDQ\UHVXOWLQJQHZVWDWHWULDOVWDWHDSSHDODQG VWDWH
KDEHDVFRUSXVSURFHHGLQJVLIKLVFXUUHQWVHQWHQFHLVYDFDWHG
6HH LG  :H ILQG WKLV SURSRVLWLRQ XQDFFHSWDEOH  $V WKH
(OHYHQWK&LUFXLWVDLGLQ.LQJLGDW
    1RWKLQJLQWKHOHJLVODWLYHKLVWRU\LQGLFDWHVWRXVWKDW
  &RQJUHVVGHFLGHGWRSD\oE\SDVVLQJPRQH\WKURXJKWKH
  IHGHUDOFRXUWVoODZ\HUVWRUHSUHVHQWGHIHQGDQWVLQVWDWH
  SURFHHGLQJV6HFWLRQT%ZDVDGGHGWRWKHELOO
  YHU\ ODWH LQ WKH VHVVLRQ DQG VHHPLQJO\ ZLWKRXW IORRU
  GHEDWH  7KH ZKROH EXVLQHVV RI IHGHUDO FRPSHQVDWLRQ