Court Opinion

ID: 2970370
Source: CourtListenerOpinion
Date Created: 2015-09-22 16:10:49.378324+00
Date Added: 2024-06-11T12:40:42.343052
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
                     BBBBBBBBBBBBBBBBBB

 ,QUH'(11< 52< 6+(/721       ;
 s5                              
                     0RYDQW       
                                      1R
                                   
                                    !
                                   
                                  1
     7UDQVIHUUHGIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
   IRUWKH:HVWHUQ'LVWULFWRI0LFKLJDQDW*UDQG5DSLGV
   1Rn'DYLG:0F.HDJXH'LVWULFWsXGJH
                    6XEPLWWHGsXQH
                'HFLGHGDQG)LOHGsXO\
    %HIRUH.(,7+DQG'$8*+75(<&LUFXLWsXGJHV
               0$5%/(<'LVWULFWsXGJH
                       BBBBBBBBBBBBBBBBB
                           23,1,21
                       BBBBBBBBBBBBBBBBB
  3(5 &85,$0  7KLV PDWWHU LV EHIRUH XV RQ PRWLRQ RI
'HQQ\5R\6KHOWRQsUIRUDQRUGHUSXUVXDQWWR86&
E$DXWKRUL]LQJWKHGLVWULFWFRXUWWRFRQVLGHUD
VHFRQGRUVXFFHVVLYHPRWLRQWRYDFDWHKLVIHGHUDOVHQWHQFH

    
     7KH +RQRUDEOH $OJHUQRQ / 0DUEOH\ 8QLWHG 6WDWHV 'LVWULFW sXGJH
IRU WKH 6RXWKHUQ 'LVWULFW RI 2KLR VLWWLQJ E\ GHVLJQDWLRQ

                                    
     ,QUH6KHOWRQ                                   1R

)RU WKH UHDVRQV VHW RXW EHORZ ZH KROG WKDW 6KHOWRQ LV QRW
UHTXLUHGWRREWDLQWKLVFRXUWjVDXWKRUL]DWLRQWRILOHKLV
PRWLRQDQGZHWKHUHIRUHGLVPLVVWKHLQVWDQWPRWLRQDVPRRW
  2Q2FWREHUWKHGLVWULFWFRXUWVHQWHQFHG6KHOWRQ
WRFRQVHFXWLYHSULVRQWHUPVRIPRQWKV DQGPRQWKV
IROORZLQJ6KHOWRQjVSOHDRIJXLOW\WRYLRODWLRQVRI86&
DQG86&F$OWKRXJK6KHOWRQGLGQRWILOH
DGLUHFWDSSHDOLQsXO\KHILOHGZLWKWKHGLVWULFWFRXUWD
PRWLRQFDSWLRQHG mPRWLRQWRGLVPLVVIRUODFNRIWHUULWRULDO
MXULVGLFWLRQl7KHGLVWULFWFRXUWDSSDUHQWO\ZLWKRXWJLYLQJ
SULRU QRWLFH WR 6KHOWRQ FRQVWUXHG WKH PRWLRQ DV RQH ILOHG
SXUVXDQWWR86&DQGGLVPLVVHGLW
   ,Q 2FWREHU  6KHOWRQ ILOHG D VHFRQG PRWLRQ LQ WKH
GLVWULFWFRXUWWKLVWLPHDUJXLQJWKDWKLVFRXQVHOKDGUHQGHUHG
LQHIIHFWLYHDVVLVWDQFHE\IDLOLQJWRFKDOOHQJHWKHYDOLGLW\RID
VHDUFK WKDW OHG WR WKH GLVFRYHU\ RI D ILUHDUP E\ ODZ
HQIRUFHPHQW RIILFHUV  8QOLNH KLV SULRU PRWLRQ 6KHOWRQ
ODEHOHGWKHODWWHUPRWLRQDVILOHGXQGHUDQGKHIXUWKHU
DUJXHGWKDWKHKDGLQWHQGHGKLVSULRUPRWLRQWREHFRQVWUXHG
DVILOHGSXUVXDQWWR5XOHERU5XOHRIWKH)HGHUDO
5XOHVRI&ULPLQDO3URFHGXUHQRW7KHGLVWULFWFRXUW
UHMHFWHG6KHOWRQjVDUJXPHQWDQGKHOGWKHODWWHUPRWLRQWREH
D mVHFRQG RU VXFFHVVLYHl PRWLRQ EURXJKW XQGHU  86&
:HQRZFRQVLGHU6KHOWRQjVUHTXHVWXQGHU
EWKDWZHDXWKRUL]HWKHGLVWULFWFRXUWWRFRQVLGHUDVHFRQG
PRWLRQ
  0DQ\SURVHSULVRQHUVILOHLQDUWIXOO\GUDIWHGSRVWFRQYLFWLRQ
PRWLRQVZLWKRXWVSHFLI\LQJWKHOHJDOEDVLVIRUWKHUHTXHVWHG
UHOLHI'LVWULFWFRXUWVLQDQHIIRUWWRDVVLVWSURVHOLWLJDQWV
XQDZDUH RI WKH DSSOLFDEOH VWDWXWRU\ IUDPHZRUN RIWHQ UH
FKDUDFWHUL]HVXFKILOLQJVDVPRWLRQV$V WKH7KLUG
&LUFXLW KDV QRWHG m>W@KLV SUDFWLFH GHYHORSHG ERWK IRU
HIILFLHQF\jV VDNH DQG RXW RI D VHQVH RI IDLUQHVV WR SUR VH
SHWLWLRQHUV ZKRVH FODLPV DUH FRQVWUXHG TXLWH OLEHUDOO\l
8QLWHG6WDWHVY0LOOHU)GG&LU$Q
XQLQWHQGHGE\SURGXFWRIWKLVSUDFWLFHKRZHYHULVWKDWLWPD\
HIIHFWLYHO\GHSULYHDQXQLQIRUPHGSURVHOLWLJDQWRIWKHIXWXUH
1R                                   ,QUH6KHOWRQ         

RSSRUWXQLW\ WR ILOH D PRWLRQ WR YDFDWH KLV VHQWHQFH XQGHU
7KH$QWLWHUURULVPDQG(IIHFWLYH'HDWK3HQDOW\$FW
$('3$ FRQVWUDLQV D SULVRQHUjV RSSRUWXQLW\ WR ILOH
VXFFHVVLYH PRWLRQV XQGHU  86&   WR QDUURZO\
OLPLWHGFLUFXPVWDQFHV6HH86&SURYLGLQJWKDW
D mVHFRQG RU VXFFHVVLYH PRWLRQl PXVW LQYROYH lQHZO\
GLVFRYHUHGHYLGHQFHlRUmDQHZUXOHRIFRQVWLWXWLRQDOODZ
WKDWZDVSUHYLRXVO\XQDYDLODEOHl+RZHYHUDVWKH6HFRQG
&LUFXLW KDV REVHUYHG UHFKDUDFWHUL]DWLRQ RI D SUR VH SRVW
FRQYLFWLRQILOLQJDVDPRWLRQLQYROYHVDQLQKHUHQWULVN
XQGHU$('3$
  ,IDGLVWULFWFRXUWUHFHLYLQJDPRWLRQXQGHUVRPHRWKHU
  SURYLVLRQ RI ODZ HOHFWV WR WUHDW LW DV D PRWLRQ XQGHU
  DQGWKHQGHQLHVLWWKDWPD\FDXVHWKHPRYDQWjV
  VXEVHTXHQWILOLQJRIDPRWLRQXQGHUWREHEDUUHG
  DV D µVHFRQGj    7KXV D FRQYHUVLRQ LQLWLDOO\
  MXVWLILHG EHFDXVH LW KDUPOHVVO\ DVVLVWHG WKH SULVRQHU
  PRYDQWLQGHDOLQJZLWKOHJDOWHFKQLFDOLWLHVPD\UHVXOWLQ
  DGLVDVWURXVGHSULYDWLRQRIDIXWXUHRSSRUWXQLW\WRKDYHD
  ZHOOMXVWLILHGJULHYDQFHDGMXGLFDWHG7KHFRXUWjVDFWRI
  FRQYHUVLRQZKLFKZHDSSURYHGXQGHUSUH$('3$ODZ
  EHFDXVH LW ZDV XVHIXO DQG KDUPOHVV PLJKW XQGHU
  $('3$jVQHZODZEHFRPHH[WUDRUGLQDULO\KDUPIXOWRD
  SULVRQHUjV ULJKWV  $ SULVRQHU FRQYLFWHG SXUVXDQW WR
  XQFRQVWLWXWLRQDOSURFHHGLQJVPLJKWORVHWKHULJKWWRKDYH
  DVLQJOHSHWLWLRQIRUKDEHDVFRUSXVDGMXGLFDWHGVROHO\E\
  UHDVRQ RI D GLVWULFW FRXUWjV KDYLQJ LQFRUUHFWO\
  UHFKDUDFWHUL]HGVRPHSULRUPRWLRQDVRQHEURXJKWXQGHU
  
$GDPVY8QLWHG6WDWHV)GG&LU
  7KH 6HFRQG 7KLUG )RXUWK 6HYHQWK 1LQWK DQG 7HQWK
&LUFXLWVKDYHKHOGWKDWLQYLHZRI$('3$jVVWULFWEDUGLVWULFW
FRXUWV VKRXOG QRW DXWRPDWLFDOO\ UHFKDUDFWHUL]H D SUR VH
SULVRQHUjV SRVWFRQYLFWLRQ PRWLRQ DV D   PRWLRQ
,QVWHDGWKRVHFRXUWVKROGWKDWWKHGLVWULFWFRXUWVKRXOGLQIRUP
WKHPRYDQWWKDWKLVPRWLRQPD\EHGHHPHGDPRWLRQ
DQGJLYHKLPDQRSSRUWXQLW\WRZLWKGUDZLW6HH8QLWHG6WDWHV
      ,QUH6KHOWRQ                                 1R       1R                                   ,QUH6KHOWRQ       

Y(PPDQXHO)GWK&LU+HQGHUVRQ              6HH+HQGHUVRQ)GDWUHIXVLQJWRGHHPSURVH
Y8QLWHG6WDWHV)GWK&LU8QLWHG         SULVRQHUjV SRVWFRQYLFWLRQ PRWLRQ D   PRWLRQ ZKHUH
6WDWHV Y 6HHVLQJ  )G   WK &LU       m>Q@RZDUQLQJZDVJLYHQl2IFRXUVHm>L@IWKHPRYDQWILOHV
8QLWHG6WDWHVY.HOO\)GWK&LU           DPRWLRQSURSHUO\GHQRPLQDWHGDVDPRWLRQWKHFRXUW
8QLWHG6WDWHVY0LOOHU)GG&LU             PD\ UXOH RQ LWV PHULWV ZLWKRXW WDNLQJ WKH SURSK\ODFWLF
$GDPV)GDW6HHDOVR&DVWURY8QLWHG6WDWHV             PHDVXUHVWRGD\SUHVFULEHGUHJDUGLQJPLVODEHOHGRUXQODEHOHG
)GWK&LUm>:@HVXJJHVWWKDWLQWKH            SRVWFRQYLFWLRQPRWLRQVl(PPDQXHO)GDWQ
IXWXUH ZKHQ D GLVWULFW FRXUW XQLODWHUDOO\ UHFKDUDFWHUL]HV D
SULVRQHUjVSOHDGLQJDVDSHWLWLRQWKHMXGJHVKRXOGDOVR          +HUH LW DSSHDUV IURP WKH UHFRUG WKDW WKH GLVWULFW FRXUW
ZDUQ WKH SHWLWLRQHU RI WKH FRQVHTXHQFHV RI WKLV                 EHIRUHUHFKDUDFWHUL]LQJ6KHOWRQjVILUVWSRVWFRQYLFWLRQILOLQJ
UHFKDUDFWHUL]DWLRQWKDWWKLVUHFKDUDFWHUL]HGSHWLWLRQPD\EH        DVDPRWLRQGLGQRWSURYLGH6KHOWRQZLWKDSSURSULDWH
KLV ILUVW DQG RQO\ FKDQFH WR VHHN UHOLHI XQGHU  l     QRWLFHDQGDQRSSRUWXQLW\IRUZLWKGUDZDO$FFRUGLQJO\WKDW
5DLQHUL Y 8QLWHG 6WDWHV  )G   VW &LU    PRWLRQFDQQRWEHFRXQWHGDJDLQVWKLPIRUSXUSRVHVRIWKHEDU
GHFOLQLQJWRDGRSWSURFHGXUHVVHWIRUWKLQ$GDPVEXWKROGLQJ         RQ D VXFFHVVLYH   PRWLRQ :H WKHUHIRUH '(1<
mWKDWZKHQDGLVWULFWFRXUWDFWLQJVXDVSRQWHFRQYHUWVDSRVW       6KHOWRQjV LQVWDQW UHTXHVW IRU UHOLHI XQGHU  86&
FRQYLFWLRQPRWLRQILOHGXQGHUVRPHRWKHUVWDWXWHRUUXOHLQWR          E$DVPRRW
DVHFWLRQSHWLWLRQZLWKRXWQRWLFHDQGDQRSSRUWXQLW\WR
EH KHDUG RU LQ WKH DOWHUQDWLYH WKH SOHDGHUjV LQIRUPHG
FRQVHQWWKHUHFKDUDFWHUL]HGPRWLRQRUGLQDULO\ZLOOQRWFRXQW
DV D µILUVWj KDEHDV SHWLWLRQ VXIILFLHQW WR WULJJHU $('3$jV
JDWHNHHSLQJUHTXLUHPHQWVl
  :HDJUHHZLWKWKHDSSURDFKRIWKH6HFRQG&LUFXLWDQGKROG
WKDW
    >'@LVWULFW FRXUWV VKRXOG QRW UHFKDUDFWHUL]H D PRWLRQ
    SXUSRUWHGO\ PDGH XQGHU VRPH RWKHU UXOH DV D PRWLRQ
    PDGH XQGHU   XQOHVV D WKH PRYDQW ZLWK
    NQRZOHGJHRIWKHSRWHQWLDODGYHUVHFRQVHTXHQFHVRIVXFK
    UHFKDUDFWHUL]DWLRQ DJUHHV WR KDYH WKH PRWLRQ VR
    UHFKDUDFWHUL]HG RU E WKH FRXUW ILQGV WKDW
    QRWZLWKVWDQGLQJ LWV GHVLJQDWLRQ WKH PRWLRQ VKRXOG EH
    FRQVLGHUHGDVPDGHXQGHUEHFDXVHRIWKHQDWXUH
    RI WKH UHOLHI VRXJKW DQG RIIHUV WKH PRYDQW WKH
    RSSRUWXQLW\WRZLWKGUDZWKHPRWLRQUDWKHUWKDQKDYHLWVR
    UHFKDUDFWHUL]HG
$GDPV)GDW8QOHVVVXFKDZDUQLQJLVSURYLGHG
DUHFKDUDFWHUL]HGPRWLRQPXVWQRWEHFRXQWHGDJDLQVW
WKHSULVRQHUIRUSXUSRVHVRIWKHEDURQVXFFHVVLYHPRWLRQV