Court Opinion

ID: 2969417
Source: CourtListenerOpinion
Date Created: 2015-09-22 15:48:20.717626+00
Date Added: 2024-06-11T15:02:00.001758
License: Public Domain

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21
     5RFNZHOOY<XNLQV                            1R                       3XUVXDQW WR 6L[WK &LUFXLW 5XOH 

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

  %HFDXVHZHILQGWKDW5RFNZHOOjVSHWLWLRQPXVWEHGLVPLVVHG                              )LOH 1DPH DS

IRUIDLOXUHWRH[KDXVWZHGRQRWUHDFKWKHPHULWVRIKHUGXH
SURFHVVFODLP:HUHFRJQL]HWKDWRQHFRXOGDUJXHWKDWWKH
UHVXOW KHUH HOHYDWHV IRUP RYHU VXEVWDQFH  2Q UHPDQG WKH    81,7('67$7(6&28572)$33($/6
GLVWULFW FRXUW FRXOG VLPSO\ DOORZ 5RFNZHOO WR GLVPLVV DQG                        )257+(6,;7+&,5&8,7
DEDQGRQ KHU XQH[KDXVWHG FODLP DQG WKHQ UHHQWHU WKH YHU\                            BBBBBBBBBBBBBBBBB
MXGJPHQWWKDWLVQRZEHIRUHXV,WLV$('3$KRZHYHUWKDW
PDQGDWHVRXUGHFLVLRQQRWWKHZKLPVRIWKLVSDQHO
  $OWKRXJK WKLV RXWFRPH LV DGPLWWHGO\ LQHIILFLHQW LQ WKH        6+$521 0$< 52&.:(//             ;
SUHVHQWFDVHZHEHOLHYHWKDWUHTXLULQJWKHGLVPLVVDORIPL[HG                 3HWLWLRQHU$SSHOOHH      
SHWLWLRQV ZLOO SURPRWH RYHUDOO MXGLFLDO HIILFLHQF\ DQG RWKHU                                      
LPSRUWDQWYDOXHV6HH5RVH86DWUHTXLULQJWKH                                             1R
GLVPLVVDO RI PL[HG SHWLWLRQV LQ WKH LQWHUHVWV RI SUHVHUYLQJ              Y                      
FRPLW\ UHOLHYLQJ GLVWULFW FRXUWV RI WKH mGLIILFXOW LI QRW                                        !
                                                                                                         
LPSRVVLEOH WDVN RI GHFLGLQJ ZKHQ FODLPV DUH UHODWHGl DQG      s2$1 <8.,16                      
UHGXFLQJ WKH WHPSWDWLRQ RQ WKH SDUW RI GLVWULFW FRXUWV WR           5HVSRQGHQW$SSHOODQW 
FRQVLGHUXQH[KDXVWHGFODLPV                                                                           1
                     ,,,&21&/86,21                                       $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
                                                                           IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW
  )RUDOORIWKHUHDVRQVVHWIRUWKDERYHZH9$&$7(WKH                     1Rn$YHUQ&RKQ'LVWULFWsXGJH
MXGJPHQW RI WKH GLVWULFW FRXUW DQG 5(0$1' IRU IXUWKHU
SURFHHGLQJVFRQVLVWHQWZLWKWKLVRSLQLRQ                                                  $UJXHG0DUFK
                                                                                     'HFLGHGDQG)LOHGsXQH
                                                                               %HIRUH6,/(5DQG*,/0$1&LUFXLWsXGJHV
                                                                                        2j0$//(<'LVWULFWsXGJH
                                                                                             BBBBBBBBBBBBBBBBB
                                                                                                   &2816(/
                                                                      $5*8('  /DXUD *UDYHV 0RRG\ 2)),&( 2) 7+(
                                                                      $77251(<*(1(5$/+$%($6&25386',9,6,21
                                                                      /DQVLQJ0LFKLJDQIRU$SSHOODQW&UDLJ$'DO\'HWURLW

                                                                          
                                                                           7KH +RQRUDEOH .DWKOHHQ 0 2j0DOOH\ 8QLWHG 6WDWHV 'LVWULFW sXGJH
                                                                      IRU WKH 1RUWKHUQ 'LVWULFW RI 2KLR VLWWLQJ E\ GHVLJQDWLRQ

                                                                                                          
     5RFNZHOOY<XNLQV                            1R      1R                              5RFNZHOOY<XNLQV         

0LFKLJDQIRU$SSHOOHH21%5,()/DXUD*UDYHV0RRG\                   6SHFLILFDOO\ DV H[SODLQHG EHORZ SHWLWLRQHU ZDV
9LQFHQW s /HRQH 2)),&( 2) 7+( $77251(<                       GHSULYHGRIKHUFRQVWLWXWLRQDOULJKWWRSUHVHQWDGHIHQVHl7KH
*(1(5$/ +$%($6 &25386 ',9,6,21 /DQVLQJ                        IDFWWKDWRQHRIWKHH[KDXVWHGFODLPVLQDPL[HGSHWLWLRQPD\
0LFKLJDQIRU$SSHOODQW&UDLJ$'DO\'HWURLW0LFKLJDQ          SURYLGH PHULWRULRXV JURXQGV IRU JUDQWLQJ WKH SHWLWLRQ
IRU$SSHOOHH                                                        KRZHYHUGRHVQRWVXIILFHWRFRQVWLWXWHDQmH[FHSWLRQDOlFDVH
                     BBBBBBBBBBBBBBBBB                                  ,Q*UDQEHUU\Y*UHHU86WKH6XSUHPH
                                                                     &RXUW GLVFXVVHG E\ ZD\ RI H[DPSOH WKDW LW ZRXOG EH
                         23,1,21                                     DSSURSULDWHIRUDQDSSHOODWHFRXUWWRDIILUPWKHJUDQWRIDZULW
                     BBBBBBBBBBBBBBBBB                               RIKDEHDVFRUSXVRQWKHEDVLVRIDPL[HGSHWLWLRQZKHQmDIXOO
                                                                     WULDOKDVEHHQKHOGLQWKHGLVWULFWFRXUWDQGLWLVHYLGHQWWKDWD
  521$/' /(( *,/0$1 &LUFXLW sXGJH  6KDURQ                    PLVFDUULDJHRIMXVWLFHKDVRFFXUUHGl,GDW)URPWKH
5RFNZHOOD0LFKLJDQVWDWHSULVRQHUILOHGDSHWLWLRQIRUDZULW     FRQWH[W RI WKH FLWHG H[DPSOH KRZHYHU LW LV FOHDU WKDW
RIKDEHDVFRUSXVLQWKH8QLWHG6WDWHV'LVWULFW&RXUWIRUWKH         DIILUPDQFH ZDV DSSURSULDWH EHFDXVH WKH GLVWULFW FRXUW KDG
(DVWHUQ'LVWULFWRI0LFKLJDQ%RWKRIWKHFODLPVFRQWDLQHGLQ       FRQGXFWHG WKH WULDO XQDZDUH RI WKH SHWLWLRQHUjV IDLOXUH WR
KHUSHWLWLRQKDGSUHYLRXVO\EHHQSUHVHQWHGWRDQGUHMHFWHGE\        H[KDXVWKHUVWDWHUHPHGLHV7KHH[DPSOHZDVEDVHGXSRQWKH
WKH 0LFKLJDQ FRXUWV  +HU VWDWH UHPHGLHV KDG WKXV EHHQ      IDFWVRI)ULVELHY&ROOLQV86LQZKLFKWKH
H[KDXVWHG6KHWKHQDPHQGHGKHUSHWLWLRQWRLQFOXGHDWKLUG         VWDWHGLGQRWUDLVHWKHQRQH[KDXVWLRQGHIHQVH7KH*UDQEHUU\
FODLP WKDW KDG QRW EHHQ H[KDXVWHG LQ WKH 0LFKLJDQ FRXUWV   &RXUWQRWHGWKLVIDFWE\FRQFOXGLQJm>D@VZHUHFRJQL]HGLQ
$IWHUH[FXVLQJ5RFNZHOOjVIDLOXUHWRH[KDXVWKHUWKLUGFODLP        )ULVELHWKHFDVHVLQZKLFKWKHQRQH[KDXVWLRQGHIHQVHLVQRW
WKH GLVWULFW FRXUW JUDQWHG WKH SHWLWLRQ EDVHG RQ DUJXPHQWV   DVVHUWHGLQWKHGLVWULFWFRXUW PD\SUHVHQWDZLGHYDULHW\RI
SURIIHUHGLQRQHRIWKHH[KDXVWHGFODLPV)RUWKHUHDVRQVVHW       FLUFXPVWDQFHV ZKLFK WKH FRXUWV RI DSSHDOV    DUH DEOH WR
IRUWKEHORZZH9$&$7(WKHMXGJPHQWRIWKHGLVWULFWFRXUW            HYDOXDWHLQGLYLGXDOO\l*UDQEHUU\86DW
DQG5(0$1'IRUIXUWKHUSURFHHGLQJVFRQVLVWHQWZLWKWKLV
RSLQLRQ                                                               ,QWKHSUHVHQWFDVHERWKWKHSDUWLHVDQGWKHGLVWULFWFRXUW
                                                                     ZHUH DZDUH RI WKH PL[HG QDWXUH RI 5RFNZHOOjV DPHQGHG
                     ,%$&.*5281'                                  SHWLWLRQ7RDOORZDGLVWULFWFRXUWVTXDUHO\SUHVHQWHGZLWKWKH
                                                                     H[KDXVWLRQLVVXHWRJUDQWDSHWLWLRQHUjVFODLPRQWKHPHULWV
   5RFNZHOOOLYHGZLWKKHUKXVEDQG(GZDUG5RFNZHOODQG             DQGWKHQUDWLRQDOL]HLWVGHFLVLRQDIWHUWKHIDFWRQWKHJURXQGV
WKHLUVRQV+DO.HYLQDQG7HGG\LQ2[IRUG0LFKLJDQ,Q            WKDWLWKDGDOUHDG\FRQGXFWHGDIXOOUHYLHZZRXOGYLWLDWHWKH
+DODQGWZRRIKLVIULHQGVsHIIUH\*UHHQHDQG0DULR           H[KDXVWLRQUHTXLUHPHQW
6WLWWPDGHWZRXQVXFFHVVIXODWWHPSWVRQ(GZDUGjVOLIH2QH
DWWHPSWLQYROYHGFXWWLQJWKHEUDNHOLQHVRQKLVFDUDQGWKH            $OWKRXJK ZH DUH V\PSDWKHWLF ZLWK 5RFNZHOOjV FXUUHQW
RWKHU FRQVLVWHG RI VWULNLQJ KLP WZLFH RQ WKH KHDG ZLWK D   SRVLWLRQDQGZLWKWKHGHOD\VWKDWVKHKDVHQGXUHGZHFDQQRW
EDVHEDOO EDW ZKLOH KH ZDV ZDWFKLQJ WHOHYLVLRQ DW KRPH       FRQFOXGH WKDW WKH FXUUHQW FDVH SUHVHQWV VXFK H[FHSWLRQDO
5RFNZHOO ZDV QRW SUHVHQW GXULQJ HLWKHU RI WKHVH DWWHPSWV    IDFWRUV DV WR ZDUUDQW H[FXVLQJ KHU IDLOXUH WR H[KDXVW
7KH6WDWHRI0LFKLJDQFKDUJHG+DOZLWKDWWHPSWHGPXUGHU              m([WHQGLQJ*UDQEHUU\EH\RQGWKHµH[FHSWLRQDOjRUµXQXVXDOj
DQG5RFNZHOOZLWKFRQVSLUDF\WRFRPPLWPXUGHU                      FDVH XQGHUPLQHV WKH ODZjV FOHDU SUHIHUHQFH IRU KDYLQJ
                                                                     XQH[KDXVWHG FODLPV GHFLGHG LQ VWDWH FRXUWl  2j*XLQQ Y
  7KH SURVHFXWLRQjV FDVH DJDLQVW 5RFNZHOO UHOLHG XSRQ          'XWWRQ)GWK&LU
VHYHUDOGLVFXVVLRQVWKDWVKHKDGKDGZLWKKHUVRQVFRQFHUQLQJ
     5RFNZHOOY<XNLQV                              1R       1R                             5RFNZHOOY<XNLQV         

FODLPVRQO\,Q$('3$&RQJUHVVVLPLODUO\PDGHFOHDUWKDW              SODQVWRNLOO(GZDUG5RFNZHOOjVGHIHQVHDWWULDOZDVWKDW
WKHRQO\FLUFXPVWDQFHXQGHUZKLFKPL[HGSHWLWLRQVPD\EH                (GZDUG KDG VH[XDOO\ DEXVHG KHU VRQV DQG WKDW WKHVH
FRQVLGHUHGE\DGLVWULFWFRXUWLVZKHUHWKHFRXUWGHWHUPLQHV            FRQYHUVDWLRQVZHUHFRQGXFWHGDVDIRUPRIWKHUDS\LQZKLFK
WKDWWKHSHWLWLRQPXVWEHGHQLHGLQLWVHQWLUHW\6HH86&        KHUVRQVYHQWHGWKHLUDQJHUWRZDUGVWKHLUIDWKHUQRWDVVHULRXV
E7KXVZKLOH&RQJUHVVDOWHUHGWKH5RVHH[KDXVWLRQ            IRUPXODWLRQVRIDSODQWRNLOO(GZDUG
UXOHVOLJKWO\E\WKHSDVVDJHRI$('3$LWGLGQRWGRVRLQD
PDQQHUZKLFKLQXUHVWR5RFNZHOOjVEHQHILWLQWKLVFDVH                   7RHVWDEOLVKKHUmWKHUDS\lGHIHQVHWKHRU\5RFNZHOOVRXJKW
                                                                        WRLQWURGXFHHYLGHQFHDWWULDOWKDW(GZDUGKDGLQIDFWVH[XDOO\
    6HFRQG WKH GLVWULFW FRXUW H[SODLQHG WKDW ZKHQ 5RFNZHOO      DEXVHGWKHLUWKUHHVRQV7KH0LFKLJDQWULDOFRXUWJUDQWHGWKH
SUHVHQWHGKHUWKLUGFODLPWRWKHGLVWULFWFRXUWVKHZDVVHHNLQJ        VWDWHjVPRWLRQWRH[FOXGHWKLVHYLGHQFHDSSDUHQWO\ZLWKRXW
RQHRIWZRDOWHUQDWLYHUHPHGLHVnUHTXHVWLQJWKDWWKHGLVWULFW            FRQVLGHULQJ 5RFNZHOOjV DUJXPHQWV LQ RSSRVLWLRQ  2Q
FRXUWHLWKHUDOORZKHUWRDPHQG KHU SHWLWLRQWRLQFOXGHWKH           1RYHPEHU5RFNZHOOZDVFRQYLFWHGRIFRQVSLUDF\
XQH[KDXVWHGFODLPRUWRVWD\WKHSURFHHGLQJVDQGDOORZKHUDQ           WR FRPPLW PXUGHU DQG VHQWHQFHG WR OLIH LQ SULVRQ  7KH
RSSRUWXQLW\ WR H[KDXVW KHU WKLUG FODLP LQ VWDWH FRXUW  7KH   0LFKLJDQ&RXUWRI$SSHDOVDIILUPHGKROGLQJWKDWDOWKRXJK
GLVWULFW FRXUW DOORZHG 5RFNZHOO WR DPHQG KHU SHWLWLRQ  ,Q     WKH HYLGHQFH RI DEXVH ZDV UHOHYDQW WKH WULDO FRXUW GLG QRW
OLJKWRIWKDWEDFNJURXQGWKHGLVWULFWFRXUWUHDVRQHGWKDWm>L@W        DEXVHLWVGLVFUHWLRQLQH[FOXGLQJLW5RFNZHOOjVDSSOLFDWLRQ
ZRXOGZRUNDPDQLIHVWLQMXVWLFHRQ>5RFNZHOO@IRUWKLV&RXUW            IRU OHDYH WR DSSHDO WR WKH 0LFKLJDQ 6XSUHPH &RXUW ZDV
QRZWRWHOO>KHU@WKDWVKHPXVWUHWXUQWRVWDWHFRXUWWRILOHD         GHQLHG
PRWLRQWRYDFDWHMXGJPHQWlZKHQVHYHQWHHQPRQWKVHDUOLHU
LW KDG H[FXVHG WKH ODFN RI H[KDXVWLRQ DQG DOORZHG KHU WR         2Q0DUFK5RFNZHOOILOHGDSHWLWLRQIRUDZULWRI
DPHQG                                                                  KDEHDVFRUSXVSXUVXDQWWR86&6KHUDLVHGWZR
                                                                        LVVXHVLQWKHSHWLWLRQRQHFKDOOHQJLQJWKHVXIILFLHQF\RIWKH
  )DFHG ZLWK 5RFNZHOOjV PRWLRQ WR DPHQG WKH RSWLPDO             HYLGHQFHVXSSRUWLQJKHUFRQYLFWLRQDQGWKHRWKHUREMHFWLQJWR
FRXUVHRIDFWLRQIRUWKHGLVWULFWFRXUWZRXOGKDYHEHHQWRGHQ\         WKHUXOLQJRIWKHVWDWHWULDOFRXUWWKDWKDGH[FOXGHGHYLGHQFHRI
WKH PRWLRQ WKXV JLYLQJ 5RFNZHOO WKH RSWLRQ RI HLWKHU           (GZDUG5RFNZHOOjVVH[XDODEXVHRIWKHLUVRQV%RWKRIWKHVH
SURFHHGLQJZLWKKHUWZRH[KDXVWHGFODLPVRUZLWKGUDZLQJKHU             LVVXHVKDGEHHQH[KDXVWHGLQWKH0LFKLJDQFRXUWV
SHWLWLRQDQGSXUVXLQJKHUWKLUGFODLPLQVWDWHFRXUW&I5RVH
 86 DW  KDYLQJ GLVPLVVHG WKH KDEHDV SHWLWLRQ IRU        2QsXQH  KRZHYHU5RFNZHOOILOHGDPRWLRQWR
IDLOXUHWRH[KDXVWWKHFRXUWOHIWWKHSHWLWLRQHUZLWKmWKHFKRLFH      DPHQGKHUSHWLWLRQWRLQFOXGHDVDWKLUGLVVXHDFKDOOHQJHWR
RI UHWXUQLQJ WR VWDWH FRXUW WR H[KDXVW KLV FODLPV RU RI       WKHMXU\LQVWUXFWLRQVJLYHQE\WKHWULDOFRXUW5RFNZHOOKDG
DPHQGLQJRUUHVXEPLWWLQJWKHKDEHDVSHWLWLRQWRSUHVHQWRQO\            QRWSUHYLRXVO\UDLVHGWKLVFKDOOHQJHLQWKH0LFKLJDQFRXUWV
H[KDXVWHG FODLPV WR WKH GLVWULFW FRXUWl  %XW 5RFNZHOO LV     7KH VWDWH GLG QRW REMHFW WR WKH PRWLRQ KRZHYHU DQG WKH
XOWLPDWHO\WKHRQHUHVSRQVLEOHIRUWKHVWDWXVRIKHUSHWLWLRQ          GLVWULFW FRXUW DOORZHG 5RFNZHOO WR DPHQG KHU SHWLWLRQ WR
QRW WKH GLVWULFW FRXUW  +DYLQJ NQRZLQJO\ DGGHG DQ              LQFOXGHWKLVWKLUGFODLP
XQH[KDXVWHGFODLPWRKHUSHWLWLRQ5RFNZHOOFDQQRWQRZOD\
WKHEODPHDWWKHIHHWRIWKHGLVWULFWFRXUW                              2Q0DUFKWKHGLVWULFWFRXUWJUDQWHG5RFNZHOOjV
                                                                        SHWLWLRQ7KHGHFLVLRQZDVEDVHGRQ5RFNZHOOjVFODLPWKDW
  $V WKH m>P@RVW LPSRUWDQWl MXVWLILFDWLRQ IRU H[FXVLQJ            KHU GXH SURFHVV ULJKW WR SUHVHQW D FRPSOHWH GHIHQVH ZDV
5RFNZHOOjVIDLOXUHWRH[KDXVWDOORIKHUFODLPVWKHGLVWULFW           YLRODWHG E\ WKH WULDO FRXUWjV H[FOXVLRQ RI WKH HYLGHQFH RI
FRXUWVWDWHGWKDWmXQXVXDODQGH[FHSWLRQDOFLUFXPVWDQFHVH[LVW          DEXVH  ,W QRWHG WKDW WKH H[KDXVWLRQ UHTXLUHPHQW LV QRW
                                                                        MXULVGLFWLRQDODQGPD\EHH[FXVHGLQFHUWDLQLQVWDQFHV)RU
     5RFNZHOOY<XNLQV                                 1R        1R                             5RFNZHOOY<XNLQV        

WKH UHDVRQV GLVFXVVHG EHORZ WKH GLVWULFW FRXUW GHFLGHG WR          VHULHVRIDGGLWLRQDOVWDWHDQGGLVWULFWFRXUWSURFHHGLQJVEHIRUH
H[FXVH5RFNZHOOjVIDLOXUHWRH[KDXVWKHUWKLUGFODLP7KH                  UHYLHZLQJWKHPHULWVRIWKHSHWLWLRQHUjVFODLPl,GDW
VWDWHILOHGDWLPHO\DSSHDORQ0DUFKFKDOOHQJLQJWKH
GLVWULFW FRXUWjV IDLOXUH WR GLVPLVV IRU ODFN RI H[KDXVWLRQ DV         ,Q WKH \HDUV VLQFH *UDQEHUU\ ZDV GHFLGHG $('3$ KDV
ZHOODVLWVFRQFOXVLRQWKDW5RFNZHOOKDGEHHQGHQLHGKHUGXH                EHHQDPHQGHGWRSURYLGHWKDWDVWDWHZLOOQRORQJHUEHIRXQG
SURFHVVULJKWWRSUHVHQWDFRPSOHWHGHIHQVH                                WRKDYHZDLYHGWKHGHIHQVHRIQRQH[KDXVWLRQXQOHVVLWGRHVVR
                                                                            H[SUHVVO\DQGWKURXJKFRXQVHO6HH86&E
                          ,,$1$/<6,6                                     7KXVWKHVWDWHjVIDLOXUHWRREMHFWZKHQ5RFNZHOOPRYHGWR
                                                                            DGGDQXQH[KDXVWHGFODLPWRKHUSHWLWLRQGLGQRWFRQVWLWXWHD
   m,Q DSSHDOV RI IHGHUDO KDEHDV FRUSXV SURFHHGLQJV ZH              ZDLYHURIWKHGHIHQVH5RFNZHOODUJXHVKRZHYHUWKDWWKH
UHYLHZWKHGLVWULFWFRXUWjVOHJDOFRQFOXVLRQVGHQRYRDQGLWV               VWDWHH[SUHVVO\ZDLYHGWKHQRQH[KDXVWLRQGHIHQVHE\DUJXLQJ
IDFWXDOILQGLQJVXQGHUDµFOHDUO\HUURQHRXVjVWDQGDUGl/XFDV              LQ LWV RSSRVLWLRQ WR 5RFNZHOOjV SHWLWLRQ WKDW mQR XVHIXO
Y2j'HD)GWK&LU                               SXUSRVHZRXOGEHVHUYHGE\GLVPLVVLQJ>5RFNZHOOjV@KDEHDV
                                                                            SHWLWLRQXQGHUWKHWRWDOH[KDXVWLRQUXOHEHFDXVHKHUFODLPVDUH
  7KH$QWLWHUURULVPDQG(IIHFWLYH'HDWK3HQDOW\$FWRI                 PHULWOHVVl7KHGLVWULFWFRXUWGLGQRWYLHZWKLVVWDWHPHQWDV
$('3$FRGLILHGWKHUHTXLUHPHQWWKDWDQDSSOLFDQWIRUDZULW               DZDLYHUDQGQHLWKHUGRZH,QFRQWH[WWKLVVWDWHPHQWVLPSO\
RIKDEHDVFRUSXVILUVWH[KDXVWKHUFODLPVLQVWDWHFRXUWEHIRUH             IXQFWLRQVDVDWUDQVLWLRQEHWZHHQWKHVWDWHjVWZRDOWHUQDWLYH
SUHVHQWLQJWKHPWRIHGHUDOFRXUW6HH86&E                 DUJXPHQWVnQDPHO\WKDW5RFNZHOOjVFODLPZDVQRWH[KDXVWHG
8QGHU WKLV UHTXLUHPHQW DQ DSSOLFDQW PD\ QRW SUHVHQW D              DQGLQDQ\HYHQWWKDWWKHFODLPZDVPHULWOHVVDQGWKHUHIRUH
mPL[HGlSHWLWLRQFRQWDLQLQJERWKH[KDXVWHGDQGXQH[KDXVWHG                  RXJKW WR EH GLVPLVVHG RQ WKH PHULWV SXUVXDQW WR E
FODLPVWRDIHGHUDOFRXUW6HH5RVHY/XQG\86                ZKHWKHULWZDVH[KDXVWHGRUQRW
2j*XLQQY'XWWRQ)GWK
&LU$OWKRXJKWKLVUHTXLUHPHQWLVQRWMXULVGLFWLRQDOD               7KH GLVWULFW FRXUW RIIHUHG VHYHUDO MXVWLILFDWLRQV IRU LWV
SHWLWLRQWKDWLQFOXGHVXQH[KDXVWHGFODLPVZLOORUGLQDULO\QRW               GHFLVLRQWRH[FXVHWKHPL[HGQDWXUHRI5RFNZHOOjVSHWLWLRQ
EH FRQVLGHUHG E\ D IHGHUDO FRXUW DEVHQW mXQXVXDOl RU                QRQHRIZKLFKZHILQGSHUVXDVLYH)LUVWEHFDXVHWKHGLVWULFW
mH[FHSWLRQDOlFLUFXPVWDQFHV6HH2j*XLQQ)GDW                  FRXUWLQWHQGHGWRJUDQW5RFNZHOOjVSHWLWLRQRQWKHJURXQGVRI
FLWLQJ*UDQEHUU\Y*UHHU86                          DQ HYLGHQWLDU\ FODLP WKDW KDG EHHQ SURSHUO\ H[KDXVWHG LW
                                                                            IRXQGWKDWLWZRXOGQRWQHHGWRUHDFKWKHPHULWVRI5RFNZHOOjV
   6XFK FLUFXPVWDQFHV DUH QRW SUHVHQW LQ WKLV FDVH  ,Q            XQH[KDXVWHGFODLPm7KH&RXUWZLOOWKHUHIRUHQRWLQWHUIHUH
*UDQEHUU\WKHFDVHLQZKLFKWKH6XSUHPH&RXUWVHWRXWWKH                  ZLWK D VWDWH FRXUWjV RSSRUWXQLW\ WR UHYLHZ WKH XQH[KDXVWHG
SDUDPHWHUVRIWKHH[FHSWLRQWRWKHH[KDXVWLRQUHTXLUHPHQW                  FODLP LQ WKH ILUVW LQVWDQFHl  $OWKRXJK WKLV UHDVRQLQJ KDV
WKHVWDWHKDGZDLYHGWKHGHIHQVHRIQRQH[KDXVWLRQEHIRUHWKH                XQGHQLDEOHDSSHDOLWFDQQRWEHUHFRQFLOHGZLWKWKH6XSUHPH
GLVWULFWFRXUW,WZDVLQWKLVFRQWH[WWKDWWKH&RXUWSUHVFULEHG           &RXUWjVGHFLVLRQLQ5RVHY/XQG\86
D mPLGGOH FRXUVHl KROGLQJ WKDW mWKH DSSHOODWH FRXUW LV QRW        RUZLWKWKHFOHDUWH[WRI$('3$,QKROGLQJWKDWDGLVWULFW
UHTXLUHG WR GLVPLVV IRU QRQH[KDXVWLRQ QRWZLWKVWDQGLQJ WKH             FRXUW PD\ QRW UHYLHZ PL[HG SHWLWLRQV WKH &RXUW VHQW DQ
6WDWHjV IDLOXUH WR UDLVH LW DQG WKH FRXUW LV QRW REOLJDWHG WR   XQPLVWDNDEO\ FOHDU PHVVDJH WR SHWLWLRQHUV  m>%@HIRUH \RX
UHJDUG WKH 6WDWHjV RPLVVLRQ DV DQ DEVROXWH ZDLYHU RI WKH           EULQJDQ\FODLPVWRIHGHUDOFRXUWEHVXUHWKDW\RXILUVWKDYH
FODLPl,GDW,QVWHDGWKH&RXUWLQVWUXFWHGDSSHOODWH               WDNHQHDFKRQHWRVWDWHFRXUWl,GDW7KH&RXUWFRXOG
FRXUWV WR mWDNH D IUHVK ORRN DW WKH LVVXHl DQG mGHWHUPLQH        KDYH EXW GLG QRW KROG WKDW D GLVWULFW FRXUW PD\ FRQVLGHU
ZKHWKHUWKHLQWHUHVWVRIFRPLW\DQGIHGHUDOLVPZLOOEHEHWWHU               PL[HGSHWLWLRQVVRORQJDVLWOLPLWVLWVUHYLHZWRWKHH[KDXVWHG
VHUYHGE\DGGUHVVLQJWKHPHULWVIRUWKZLWKRUE\UHTXLULQJD