Court Opinion

ID: 2970501
Source: CourtListenerOpinion
Date Created: 2015-09-22 16:14:50.057897+00
Date Added: 2024-06-11T15:02:03.026750
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

 0$7&+(%(1$6+6+(             ;
 :,6+ %$1' 2)                      
 3277$:$720, ,1',$16              
                                      1R
         3ODLQWLII$SSHOODQW      
                                    !
                                   
             Y                    
                                   
 s2+1 0 (1*/(5*RYHUQRU          
 RIWKH6WDWHRI0LFKLJDQDQG      
 7+( 67$7( 2) 0,&+,*$1            
                                   
          'HIHQGDQWV$SSHOOHHV 
                                  1
        $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
   IRUWKH:HVWHUQ'LVWULFWRI0LFKLJDQDW*UDQG5DSLGV
 1Rn5REHUW+ROPHV%HOO&KLHI'LVWULFWsXGJH
                     $UJXHG$XJXVW
            'HFLGHGDQG)LOHG6HSWHPEHU
 %HIRUH0(55,77DQG'$8*+75(<&LUFXLWsXGJHV
              :(%(5'LVWULFWsXGJH

    
     7KH +RQRUDEOH +HUPDQ :HEHU 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH
6RXWKHUQ 'LVWULFW RI 2KLR VLWWLQJ E\ GHVLJQDWLRQ

                                   
     0DWFK(%H1DVK6KH:LVK                          1R
      %DQGY(QJOHUHWDO

                      BBBBBBBBBBBBBBBBB
                            &2816(/
$5*8('  &RQO\ s 6FKXOWH 0217($8 3((%/(6 	
(9$162PDKD1HEUDVNDIRU$SSHOODQW.HLWK'5REHUWV
2)),&(2)7+($77251(<*(1(5$/2)0,&+,*$1
/DQVLQJ 0LFKLJDQ IRU $SSHOOHH  21 %5,()  &RQO\ s
6FKXOWH 0217($8 3((%/(6 	 (9$16 2PDKD
1HEUDVNDIRU$SSHOODQW.HLWK'5REHUWV2)),&(2)7+(
$77251(< *(1(5$/ 2) 0,&+,*$1 /DQVLQJ
0LFKLJDQIRU$SSHOOHH
                      BBBBBBBBBBBBBBBBB
                          23,1,21
                      BBBBBBBBBBBBBBBBB
  0(55,77&LUFXLWsXGJH7KLVLVDQ,QGLDQJDPEOLQJFDVH
LQZKLFKWKH3ODLQWLII0DWFK(%H1DVK6KH:LVK%DQGRI
3RWWDZDWRPL,QGLDQVWKHm7ULEHlVHHNVWRIRUFHWKH6WDWHRI
0LFKLJDQLQWRQHJRWLDWLRQVIRUDFDVLQRSXUVXDQWWRWKH,QGLDQ
*DPLQJ 5HJXODWRU\ $FW WKH m$FWl  86&  G
%HFDXVH WKH 7ULEH KDV IDLOHG WR VDWLVI\ WKH VWDWXWRU\
SUHUHTXLVLWH RI RZQLQJ ,QGLDQ ODQGV VHH  86&
G$ZHKROGWKDWLWLVQRWHQWLWOHGWRUHOLHIXQGHU
WKH$FW$FFRUGLQJO\ZH$)),50WKHGLVWULFWFRXUWjVJUDQW
RIWKH6WDWHjVPRWLRQWRGLVPLVV
                   ,6WDWXWRU\)UDPHZRUN
   7KH ,QGLDQ *DPLQJ 5HJXODWRU\ $FW HVWDEOLVKHV WKH
IUDPHZRUNE\ZKLFKDIHGHUDOO\UHFRJQL]HGWULEHFDQUHTXLUH
D6WDWHWRHQWHULQWRQHJRWLDWLRQVFRQFHUQLQJWKHHVWDEOLVKPHQW
RI D FDVLQR  8QGHU WKH $FW D IHGHUDOO\ UHFRJQL]HG WULEH
LQLWLDWHVWKHSURFHVVE\PDNLQJDIRUPDOUHTXHVWWRHQWHULQWR
QHJRWLDWLRQV ZLWK WKH 6WDWH  ,I WKH SDUWLHV GR QRW UHDFK DQ
DJUHHPHQWZLWKLQGD\VDIWHUWKHUHTXHVWLVPDGHRULIWKH
VWDWH IDLOV WR EDUJDLQ LQ JRRG IDLWK WKH WULEH PD\ LQYRNH
IHGHUDOFRXUWMXULVGLFWLRQWRFRPSHOWKH6WDWHWRQHJRWLDWHLQ
     0DWFK(%H1DVK6KH:LVK                          1R        1R                  0DWFK(%H1DVK6KH:LVK             
      %DQGY(QJOHUHWDO                                                                                  %DQGY(QJOHUHWDO

KDVEHHQIHGHUDOO\DSSURYHG,IWKH,QGLDQWULEHGRHVQRWKDYH            JRRGIDLWK8QGHUWKH$FWWKHIHGHUDOFRXUWPD\RUGHUWKH
DQ\ODQGLQWKH6WDWHWKDWFDQEHXVHGIRUDFDVLQRZK\VKRXOG            VWDWHWRFRQFOXGHWKHFRQWUDFWZLWKLQGD\V,IDIWHUWKDW
WKH6WDWHZDVWHLWVWLPHQHJRWLDWLQJDERXWVXFKDFDVLQR",Q              WLPHDFRPSDFWKDVQRWEHHQFRQFOXGHGWKH$FWDOORZVWKH
WKH DEVHQFH RI D ORFDWLRQ WKH 6WDWH ZRXOG KDYH QR ZD\ WR       6HFUHWDU\RIWKH,QWHULRUWRDXWKRUL]HWKHRSHUDWLRQRIDFDVLQR
DVVHVVWKHHQYLURQPHQWDOVDIHW\WUDIILFDQGRWKHUSUREOHPV              DSDUW IURP VWDWH DXWKRULW\  ,I WKH VWDWH DVVHUWV (OHYHQWK
WKDWVXFKDFDVLQRFRXOGSRVH7KHGLVWULFWFRXUWjVKROGLQJ               $PHQGPHQW LPPXQLW\ LQ WKH WULEHjV VXLW WR FRPSHO
WKDW WKH 6WDWH PD\ LQVLVW WKDW WKH 7ULEH IXOILOO WKH VWDWXWRU\   QHJRWLDWLRQWKHWULEHPD\JRGLUHFWO\WRWKH6HFUHWDU\RIWKH
SUHUHTXLVLWHVIRUQHJRWLDWLRQEHIRUHHQWHULQJLQWRQHJRWLDWLRQ             ,QWHULRU SXUVXDQW WR  86&  G%YLL
LVDQHQWLUHO\UHDVRQDEOHVWDQGLQJUHTXLUHPHQW                           6HH6HPLQROH7ULEHRI)ORULGDY)ORULGD)G
                                                                           WK&LUDIIjG86
  $V D UHVXOW RI WKH IRUHJRLQJ ZH $)),50 WKH GLVWULFW
FRXUWjVGLVPLVVDORIWKLVDFWLRQ                                            ,QDGGLWLRQWKH$FWGHILQHVWKHMXULVGLFWLRQRIWKHIHGHUDO
                                                                           FRXUWVWRKHDUVXFKFODLPV6HFWLRQG$RIWKH$FW
                                                                           OLPLWVIHGHUDOFRXUWMXULVGLFWLRQDVIROORZV
                                                                             $ 7KH 8QLWHG 6WDWHV GLVWULFW FRXUWV VKDOO KDYH
                                                                             MXULVGLFWLRQRYHU
                                                                             LDQ\FDXVHRIDFWLRQLQLWLDWHGE\DQ,QGLDQWULEHDULVLQJ
                                                                             IURPWKHIDLOXUHRID6WDWHWRHQWHULQWRQHJRWLDWLRQVZLWK
                                                                             WKH,QGLDQWULEHIRUWKHSXUSRVHRIHQWHULQJLQWRD7ULEDO
                                                                             6WDWHFRPSDFWXQGHUSDUDJUDSK>G$@RU
                                                                             WRFRQGXFWVXFKQHJRWLDWLRQVLQJRRGIDLWK
                                                                           7KHDSSOLFDEOHSDUWRIG$IXUWKHUSURYLGHV
                                                                             $Q\,QGLDQWULEHKDYLQJMXULVGLFWLRQRYHUWKH,QGLDQODQGV
                                                                             XSRQ ZKLFK D FODVV ,,, JDPLQJ DFWLYLW\ LV EHLQJ
                                                                             FRQGXFWHGRULVWREHFRQGXFWHGVKDOOUHTXHVWWKH6WDWH
                                                                             LQZKLFKVXFKODQGVDUHORFDWHGWRHQWHULQWRQHJRWLDWLRQV
                                                                             IRUWKHSXUSRVHRIHQWHULQJLQWRD7ULEDO6WDWHFRPSDFW
                                                                             JRYHUQLQJ WKH FRQGXFW RI JDPLQJ DFWLYLWLHV  8SRQ
                                                                             UHFHLYLQJVXFKDUHTXHVWWKH6WDWHVKDOOQHJRWLDWHZLWK
                                                                             WKH ,QGLDQ WULEH LQ JRRG IDLWK WR HQWHU LQWR VXFK D
                                                                             FRPSDFW
                                                                           86&G$/DVWO\m,QGLDQODQGVlDUHGHILQHG
                                                                           E\WKH'HSDUWPHQWRIWKH,QWHULRUDV
                                                                             ,QGLDQODQGVPHDQV
                                                                             D /DQGZLWKLQWKHOLPLWVRIDQ,QGLDQUHVHUYDWLRQRU
      0DWFK(%H1DVK6KH:LVK                        1R       1R                     0DWFK(%H1DVK6KH:LVK                
       %DQGY(QJOHUHWDO                                                                                  %DQGY(QJOHUHWDO

    E /DQG RYHU ZKLFK DQ ,QGLDQ WULEH H[HUFLVHV                  MXULVGLFWLRQ  7KH SODLQ ODQJXDJH RI  G$ VWDWHV
    JRYHUQPHQWDOSRZHUDQGWKDWLVHLWKHU                             WKDWIRUIHGHUDOFRXUWVWRKDYHMXULVGLFWLRQWKHWULEHVHHNLQJ
         +HOGLQWUXVWE\WKH8QLWHG6WDWHVIRUWKHEHQHILW           UHOLHIPXVWEHDQm,QGLDQWULEHKDYLQJMXULVGLFWLRQRYHUWKH
        RIDQ\,QGLDQWULEHRULQGLYLGXDORU                            ,QGLDQODQGVXSRQZKLFKD&ODVV,,,JDPLQJDFWLYLW\LVWR
         +HOGE\DQ,QGLDQWULEHRULQGLYLGXDOVXEMHFWWR             EHFRQGXFWHGl6HFWLRQ$GHVFULEHVQRWMXVWDQ,QGLDQ
        UHVWULFWLRQE\WKH8QLWHG6WDWHVDJDLQVWDOLHQDWLRQ             WULEHEXWRQHWKDWLVLQSRVVHVVLRQRIODQG$VWKHGLVWULFW
                                                                         FRXUWIRXQGm>W@KHVHQWHQFHLVEHVWUHDGFRQMXQFWLYHO\WKH
 &)5    7KXV XQGHU VHFWLRQ G$          SDUW\ PXVW EH DQ ,QGLDQ WULEH DQG LW PXVW KDYH ODQG RYHU
ZKLFK VSHFLILFDOO\ UHIHUV WR VHFWLRQ G$ IHGHUDO        ZKLFKLWH[HUFLVHVMXULVGLFWLRQDQG LW PXVWEHRSHUDWLQJRU
MXULVGLFWLRQ VHHPV WR GHSHQG RQ mDQ\ ,QGLDQ WULEH KDYLQJ         FRQWHPSODWLQJWKHRSHUDWLRQRIDJDPLQJFDVLQRls$DW
MXULVGLFWLRQRYHUWKH,QGLDQODQGVXSRQZKLFKlDFDVLQRLVWR            7KH $FW WKXV HVWDEOLVKHV D MXULVGLFWLRQDO SUHUHTXLVLWH WR
EHmFRQGXFWHGl                                                          IHGHUDOFRXUWUHOLHIWKDWWKHWULEHRZQm,QGLDQODQGVlDQG
                                                                         WKDWLWSODQWRFRQGXFWWKHJDPLQJRQWKRVHODQGV
                           ,,$QDO\VLV
                                                                            7KH7ULEHDUJXHVWKDWWKH&RXUWLVUHTXLUHGWRDGGUHVVWKH
   7KH 7ULEH LV RQH RI WZHOYH IHGHUDOO\ UHFRJQL]HG ,QGLDQ        (OHYHQWK$PHQGPHQWVRYHUHLJQLPPXQLW\TXHVWLRQSULRUWR
WULEHVLQWKH6WDWHRI0LFKLJDQDQGWKHRQO\RQHWKDWFXUUHQWO\         WKHVWDWXWRU\LVVXHEHFDXVHm(OHYHQWK$PHQGPHQWLPPXQLW\
GRHVQRWRSHUDWHFODVV,,,JDPLQJ7KH7ULEHRZQVODQGVLQ              LVVXHVDUHUHTXLUHGWREHDGGUHVVHGE\WKHFRXUWEHIRUHWKH
0LFKLJDQ EXW ERWK SDUWLHV DJUHH WKDW WKHVH ODQGV DUH QRW       PHULWV RI D FDVHl  3HW %U DW   7KH 7ULEH LV FRUUHFW LQ
m,QGLDQ ODQGVl DV GHILQHG E\ IHGHUDO UHJXODWLRQV  2Q            UHDGLQJ WKLV &RXUWjV SULRU GHFLVLRQ LQ:HOOV Y %URZQ 
6HSWHPEHU   WKH 7ULEH PDGH D IRUPDO UHTXHVW WR           )G   WK &LU  DV UHTXLULQJ WKDW
0LFKLJDQ *RYHUQRU (QJOHU DVNLQJ WKDW KH HQWHU LQWR               MXULVGLFWLRQDOLVVXHVEHDGGUHVVHGSULRUWRUHDFKLQJWKHPHULWV
QHJRWLDWLRQV ZLWK WKH 7ULEH WR RSHQ D FDVLQR  7KH 6WDWH       +RZHYHULQWKLVFDVHZHDUHGLVPLVVLQJWKHFDVHEDVHGRQ
GHFOLQHGWRQHJRWLDWHDQGDIWHUGD\VWKH7ULEHILOHGWKLV          DQRWKHU MXULVGLFWLRQDO LVVXH  WKH LVVXH RI ZKHWKHU ,QGLDQ
DFWLRQ UHTXHVWLQJ WKDW WKH GLVWULFW FRXUW RUGHU WKH 6WDWH WR    WULEHVKDYHVWDQGLQJWREULQJVXLWVXQGHUWKH,QGLDQ*DPLQJ
FRQFOXGH D JDPLQJ FRPSDFW ZLWKLQ  GD\V RU LQ WKH             5HJXODWRU\$FWZKHQWKH\GRQRWSRVVHVV,QGLDQODQGV:H
DOWHUQDWLYHGLVPLVVWKHFDVHRQ(OHYHQWK$PHQGPHQWVWDWH                DUHQRWDGGUHVVLQJWKHPHULWVRIWKHFDVHZKHWKHUWKH6WDWH
VRYHUHLJQLPPXQLW\JURXQGVWRDOORZWKH7ULEHWRJRGLUHFWO\             RI0LFKLJDQKDVIXOILOOHGLWVREOLJDWLRQWRQHJRWLDWHLQJRRG
WRWKH6HFUHWDU\RIWKH,QWHULRU7KH6WDWHPRYHGWRGLVPLVV            IDLWK DQG KDV UHDFKHG DQ DJUHHPHQW ZLWKLQ WKH UHTXLUHG
RQ GLIIHUHQW JURXQGV DUJXLQJ WKDW WKH GLVWULFW FRXUW ODFNHG     VWDWXWRU\WLPHIUDPH2EYLRXVO\WKHUHPD\EHPRUHWKDQRQH
MXULVGLFWLRQXQGHUG$)LQGLQJ WKDWWKHODQGV             MXULVGLFWLRQDO SUREOHP LQ D SDUWLFXODU FDVH DQG WKDW LV WUXH
WKDW WKH 7ULEH LQWHQGV WR XVH IRU JDPLQJ DUH QRW m,QGLDQ       KHUH
ODQGVlDQGWKDWRZQHUVKLSRI,QGLDQODQGVLVDMXULVGLFWLRQDO
SUHUHTXLVLWH WR UHOLHI WKH GLVWULFW FRXUW JUDQWHG WKH 6WDWHjV      8QGHUG$LWLVFOHDUWKDWWKH6WDWHGRHVQRW
PRWLRQ                                                                  KDYHDQREOLJDWLRQWRQHJRWLDWHZLWKDQ,QGLDQWULEHXQWLOWKH
                                                                         WULEH KDV ,QGLDQ ODQGV  7KH SXUSRVHV RI WKLV UHTXLUHPHQW
   8SRQDFORVHUHDGLQJRIWKH$FWZHDJUHHZLWKWKHGLVWULFW           DSSHDU WR EH WR HQVXUH WKDW WKH FDVLQR ZLOO EH LQVLGH WKH
FRXUWjVKROGLQJ+DYLQJMXULVGLFWLRQRYHUODQGIRUWKHFDVLQR           ERUGHUVRIWKH6WDWHWRJLYHWKH6WDWHQRWLFHRIZKHUHLWZLOO
LV D FRQGLWLRQ SUHFHGHQW WR QHJRWLDWLRQV DQG IHGHUDO              EHDQGWRUHTXLUHWKHWULEHWRKDYHDSODFHIRUWKHFDVLQRWKDW