Anderson v. Roberson

Opinion

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 DS

81,7('67$7(6&28572)$33($/6 )257+(6,;7+&,5&8,7 BBBBBBBBBBBBBBBBB

$57+85 : $1'(5621 ; s(55< +2//,1*6:257+  3ODLQWLIIV$SSHOOHHV   1RV &URVV$SSHOODQWV    !   Y   (':,1 6 52%(5621*HQHUDO  3DUWQHU&21:22'   &203$1<D/LPLWHG  3DUWQHUVKLSWKURXJK*HQHUDO  3DUWQHUsRKQ6:LOVRQ  'HIHQGDQWV$SSHOODQWV    &URVV$SSHOOHHV    '$9,' s &2&.( + 67(3+(1  %52:1*HQHUDO3DUWQHU  'HIHQGDQWV$SSHOOHHV    1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH:HVWHUQ'LVWULFWRI7HQQHVVHHDW0HPSKLV 1Rn%HUQLFH%'RQDOG'LVWULFWsXGJH

  $QGHUVRQHWDOY 1RV 5REHUVRQHWDO

$UJXHG6HSWHPEHU 'HFLGHGDQG)LOHG0D\ %HIRUH%$7&+(/'(5DQG&2/(&LUFXLWsXGJHV *5$+$0'LVWULFWsXGJH BBBBBBBBBBBBBBBBB &2816(/ $5*8('/HR0%HDUPDQsU%$.(5'21(/621 %($50$1 &$/':(//0HPSKLV7HQQHVVHH5LFKDUG *ODVVPDQ */$660$1 s(7(5 (':$5'6  :$'( 0HPSKLV7HQQHVVHH IRU'HIHQGDQWV:DUQHU+RGJHV,,, +2'*(6 /$: ),50 *HUPDQWRZQ 7HQQHVVHH IRU 3ODLQWLIIV  21 %5,()  /HR 0 %HDUPDQ sU %$.(5 '21(/621 %($50$1  &$/':(// 0HPSKLV 7HQQHVVHH 5LFKDUG *ODVVPDQ 5LFKDUG ( 6RULQ */$660$1 s(7(5 (':$5'6  :$'( 0HPSKLV 7HQQHVVHH$OIUHG+.QLJKW$ODQ'sRKQVRQ:,//,6 .1,*+7 1DVKYLOOH 7HQQHVVHH IRU 'HIHQGDQWV  :DUQHU +RGJHV,,,+2'*(6/$:),50*HUPDQWRZQ7HQQHVVHH IRU3ODLQWLIIV BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB $/,&( 0 %$7&+(/'(5 &LUFXLW sXGJH  'HIHQGDQWV 5REHUVRQ DQG &RQZRRG &RPSDQ\ DSSHDO WKH RUGHU RI WKH GLVWULFWFRXUWHQWHUHGDIWHUWKHMXU\UHWXUQHGDYHUGLFWDJDLQVW WKHP IRU ERWK FRPSHQVDWRU\ DQG SXQLWLYH GDPDJHV RQ SODLQWLIIVj FODLPV WKDW GHIHQGDQWV YLRODWHG WKH )DLU &UHGLW 5HSRUWLQJ$FWm)&5$l86&†HWVHT3ODLQWLIIV

7KH +RQRUDEOH sDPHV / *UDKDP 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH 6RXWKHUQ 'LVWULFW RI 2KLR VLWWLQJ E\ GHVLJQDWLRQ 1RV $QGHUVRQHWDOY  5REHUVRQHWDO

FURVVDSSHDOQXPHURXVSUHDQGSRVWWULDORUGHUVHQWHUHGE\WKH GLVWULFW FRXUW  %HFDXVH ZH FRQFOXGH IRU WKH UHDVRQV WKDW IROORZWKDWWKHGLVWULFWFRXUWKDVQRW\HWHQWHUHGDILQDODQG DSSHDODEOH RUGHU LQ WKLV DFWLRQ DQG ZH WKHUHIRUH ODFN MXULVGLFWLRQRYHUWKLVDSSHDOZHZLOOGLVPLVVWKHDSSHDO ,352&('85$/%$&.*5281' 3ODLQWLIIV$UWKXU$QGHUVRQDQGsHUU\+ROOLQJVZRUWKILOHG VXLWLQIHGHUDOFRXUWDOOHJLQJDYLRODWLRQRIWKH)&5$7KH FRPSODLQW QDPHG DV GHIHQGDQWV 7KH &RQZRRG &RPSDQ\ (GZLQ65REHUVRQsRKQ6:LOVRQDQG6WHSKHQ+%URZQ DQG ZDV ODWHU DPHQGHG WR DGG sDPHV : 5D\QHU 7KH FRPSODLQWDOOHJHGWKDWWKHGHIHQGDQWVFRQVSLUHGWRJHWKHUWR DFFHVV WKH SODLQWLIIVj FRQVXPHU FUHGLW KLVWRULHV IRU WKH LOOHJLWLPDWH SXUSRVH RI HYDOXDWLQJ WKH SODLQWLIIVj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jPRWLRQIRUMXGJPHQWDVDPDWWHU RIODZRUIRUDQHZWULDOEXWJUDQWHGWKHPRWLRQIRUUHPLWWLWXU

 ,W DSSHDUV IURP WKH GLVWULFW FRXUWjV GRFNHW WKDW WKH SODLQWLIIVj PRWLRQ WR DPHQG WKH FRPSODLQW ZDV LQLWLDOO\ JUDQWHG DV WR 'DYLG &RFNH DV ZHOO DIWHU WKH FDVH ZDV WUDQVIHUUHG WR D QHZ MXGJH D SHQGLQJ PRWLRQ WR UHFRQVLGHU WKDW RUGHU ZDV JUDQWHG DQG &RFNH ZDV UHPRYHG DV D GHIHQGDQW  $QGHUVRQHWDOY 1RV 1RV $QGHUVRQHWDOY  5REHUVRQHWDO 5REHUVRQHWDO

UHGXFLQJWRIRUHDFKSODLQWLIInWKHDPRXQWSOHGLQWKH DSSHDODQG5(0$1'WKHFDVHWRWKHGLVWULFWFRXUWIRUIXUWKHU FRPSODLQWnWKH DZDUG RI FRPSHQVDWRU\ GDPDJHV DQG SURFHHGLQJVFRQVLVWHQWZLWKWKLVRSLQLRQ HOLPLQDWLQJWKHHQWLUHSXQLWLYHGDPDJHVDZDUG 'HIHQGDQW5REHUVRQILOHGD5XOHEPRWLRQWRFRUUHFW DQGRUFODULI\WKHILUVWUHPLWWLWXURUGHU6HH)(' 5 &,9 3 E7KHGLVWULFWFRXUWJUDQWHGWKHPRWLRQRQ)HEUXDU\ DQGRQ0DUFKHQWHUHGDQRUGHUVWDWLQJWKDWWKH UHPLWWLWXU RUGHU LQFOXGHG ERWK GHIHQGDQWV DQG WKDW WKH GHIHQGDQWV ZRXOG EH JUDQWHG D QHZ WULDO LI WKH SODLQWLIIV UHMHFWHGWKHRUGHURIUHPLWWLWXU 'HIHQGDQWV&RQZRRG&RPSDQ\DQG5REHUVRQILOHGDQRWLFH RIDSSHDORQ0DUFKWKHQRWLFHSXUSRUWHGWRDSSHDO IURPWKH2UGHUDQG)LQDOsXGJPHQWRQsXU\9HUGLFWHQWHUHG RQ$XJXVWDQGIURPWKH2UGHUGHQ\LQJ'HIHQGDQWVj 0RWLRQIRUsXGJPHQWDVD0DWWHURI/DZDQG0RWLRQIRU1HZ 7ULDO HQWHUHG RQ )HEUXDU\    2Q 0DUFK   3ODLQWLIIV$QGHUVRQDQG+ROOLQJVZRUWKILOHGQRWLFHVRIDSSHDO IURPYDULRXVRUGHUVRIWKHGLVWULFWFRXUWLQFOXGLQJWKHRUGHUV JUDQWLQJMXGJPHQWDVDPDWWHURIODZWR'HIHQGDQWV%URZQ DQG5D\QHUGLVPLVVLQJ'HIHQGDQW:LOVRQIURPWKHDFWLRQ GHQ\LQJ SODLQWLIIVj PRWLRQV WR DGG 'DYLG &RFNH DV D GHIHQGDQWJUDQWLQJWKHGHIHQGDQWVjPRWLRQIRUUHPLWWLWXUDQG FRUUHFWLQJWKHUHPLWWLWXURUGHU2Q0DUFKSODLQWLIIV ILOHG D QRWLFH LQ WKH GLVWULFW FRXUW SXUSRUWLQJ WR DFFHSW WKH UHPLWWLWXUmXQGHUSURWHVWlDQGWRSUHVHUYHWKHLUDSSHDOULJKWV 2Q0DUFKWKHSODLQWLIIVILOHGDQRWLFHZKHUHE\WKH\ DWWHPSWHGWRZLWKGUDZWKHLUDFFHSWDQFHRIUHPLWWLWXU ,QWKHPHDQWLPHGHIHQGDQWVILOHGLQWKLV&RXUWDPRWLRQWR GLVPLVVRQWKHJURXQGVWKDWDQRUGHURIUHPLWWLWXULVQRWDILQDO DSSHDODEOH MXGJPHQW DQG IXUWKHU WKDW WKH SODLQWLIIVj DFFHSWDQFH RI WKH UHPLWWLWXU ZDV DQDORJRXV WR D VHWWOHPHQW DJUHHPHQWWKDWHQGVWKHOLWLJDWLRQ:HZLOOFRQVLGHUILUVWWKH MXULVGLFWLRQDODQGSURFHGXUDODUJXPHQWVUDLVHGE\WKDWPRWLRQ  $QGHUVRQHWDOY 1RV 1RV $QGHUVRQHWDOY  5REHUVRQHWDO 5REHUVRQHWDO

2QDSSHDOWKHGHIHQGDQWFKDOOHQJHG+LOOjVDELOLW\WRDSSHDO ,,$1$/<6,6 WKHUHPLWWLWXUFLWLQJ'RQRYDQY3HQQ6KLSSLQJ86  DQG LWV SURJHQ\  :H UHMHFWHG WKH GHIHQGDQWjV %HIRUHZHFDQUHDFKWKHPHULWVRIWKLVDSSHDOZHPXVWILUVW DUJXPHQWKRZHYHUVD\LQJ FRQVLGHUZKHWKHUZHKDYHMXULVGLFWLRQRYHULW%HFDXVHZH FRQFOXGH WKDW ZH GR QRW DQG WKDW WKLV DSSHDO PXVW EH $OWKRXJK>WKHGHIHQGDQW@PD\ZHOOEHFRUUHFWWKHFDVHV GLVPLVVHGRQSXUHO\MXULVGLFWLRQDOJURXQGVWRZKLFKWKHIDFWV KH FLWHV DUH VLPSO\ QRW DSSOLFDEOH WR WKH LQVWDQW FDVH XQGHUO\LQJWKHDFWLRQDUHZKROO\LPPDWHULDOZHZLOOGLVSHQVH EHFDXVH ZH FRQFOXGH WKDW WKH GLVWULFW FRXUWjV DFWLRQ ZLWKDUHFLWDWLRQRIWKRVHIDFWV FRQVWLWXWHGDMXGJPHQWQRWZLWKVWDQGLQJWKHYHUGLFWQRW DUHPLWWLWXUDQGDV+LOOXUJHVZHZLOOUHYLHZLWDVVXFK $V ZH KDYH KHUHWRIRUH GHWDLOHG DIWHU WKH GLVWULFW FRXUW HQWHUHGMXGJPHQWRQWKHMXU\jVYHUGLFWWKHFRXUWJUDQWHGWKH +LOO  )G DW   :H UHYHUVHG WKH GLVWULFW FRXUWjV GHIHQGDQWVjPRWLRQIRUUHPLWWLWXURUQHZWULDO7KHODVWRUGHU GHFLVLRQWRVHWDVLGHWKHSXQLWLYHGDPDJHVDZDUGLQLWVHQWLUHW\ RI UHFRUG IURP WKH GLVWULFW FRXUW ZDV HQWHUHG RQ 0DUFK  DQG UHPDQGHG WR DOORZ WKH GLVWULFW FRXUW WR GHWHUPLQH WKH   7KDW RUGHU FRUUHFWHG WKH GLVWULFW FRXUWjV HDUOLHU DPRXQW RI SXQLWLYH GDPDJHV UHDVRQDEO\ VXSSRUWHG E\ WKH UHPLWWLWXU RUGHU DQG JDYH WKH SODLQWLIIV D FKRLFH EHWZHHQ HYLGHQFH6HHLG DFFHSWLQJ WKH UHPLWWLWXU UHGXFLQJ WKH WRWDO  PLOOLRQ FRPSHQVDWRU\ DQG SXQLWLYH GDPDJHV DZDUG WR  IRU 7KLVFDVHPXVWEHGLVWLQJXLVKHGIURP+LOO+HUHLQDVLQJOH HDFK RI WKHP RU SURFHHGLQJ ZLWK D QHZ WULDO  :KLOH WKLV RUGHUWKHGLVWULFWFRXUWUHPLWWHGSDUWRIWKHFRPSHQVDWRU\DQG FLUFXLWKDVQRWGLUHFWO\DGGUHVVHGWKHTXHVWLRQRIZKHWKHUDQ DOO RI WKH SXQLWLYH GDPDJH DZDUGV  $V ZH KDYH DOUHDG\ RUGHU VXFK DV WKLV LV D ILQDO RUGHU RWKHU FLUFXLWV KDYH H[SODLQHGDQRUGHUUHPLWWLQJSDUWRIDQDZDUGRIGDPDJHVRU FRQVLGHUHGWKHTXHVWLRQDQGFRQFOXGHGWKDWm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l+LJJLQVY KDYHFRQFOXGHGWKDWWKH\DUHQRWVHYHUDEOH6HHHJ/DQLHU 6PLWK ,QWjO ,QF  )G   WK &LU  Y6DOODV)GWK&LU)LGHOFRU0RUWJDJHY GLVDYRZHG RQ RWKHU JURXQGV E\ 2YHUPDQ Y )OXRU ,QV&RRI1RUWK$P)GWK&LU &RQVWUXFWRUV,QF)GWK&LU VHHDOVR 8WDK)RDP3URGXFWVY8SsRKQ&R)GWK&LU (DWRQY1DWLRQDO6WHHO3URGXFWV&R)GWK&LU   :H DJUHH ZLWK RXU VLVWHU FLUFXLWV RQ WKLV SRLQW  (YDQV Y &DOPDU 66 &R  )G  G &LU &OHDUO\DQ\DZDUGRISXQLWLYHGDPDJHVLVGHSHQGHQWRQWKH :HWKLQNWKDWWKRVHFRXUWVDUHFRUUHFWDQGZHKROG OLDELOLW\YHUGLFWZKLFKLIWKHUHPLWWLWXURIWKHFRPSHQVDWRU\ WRGD\WKDWDGLVWULFWFRXUWRUGHUJLYLQJWKHSODLQWLIIDFKRLFH GDPDJHVLVQRWDFFHSWHGZLOOEHYDFDWHGDQGWKHLVVXHUHWULHG EHWZHHQ UHPLWWLWXU RU D QHZ WULDO LV QRW D ILQDO DSSHDODEOH RUGHU  7KHUHIRUH WKH SDUWLHVj QRWLFHV RI DSSHDOnDOO ILOHG ,,,&21&/86,21 EHIRUHWKHSODLQWLIIVUHVSRQGHGWRWKHGLVWULFWFRXUWjVRUGHURI 0DUFKVWnZHUHSUHPDWXUH $FFRUGLQJO\EHFDXVHWKHGLVWULFWFRXUWjVRUGHURI0DUFK  LV QRW D ILQDO DSSHDODEOH RUGHU ZH ',60,66 WKLV  $QGHUVRQHWDOY 1RV 1RV $QGHUVRQHWDOY  5REHUVRQHWDO 5REHUVRQHWDO

7KHGHIHQGDQWVDUJXHKRZHYHUWKDWDWWKLVSRLQWSODLQWLIIV DSSHDO  7KH SDUWLHV DUH PLVWDNHQ  ([FHSW IRU WKRVH ZHOO KDYH DFFHSWHG WKH UHPLWWLWXU RUGHU DQG WKDW DFFHSWDQFH LV GHILQHG RFFDVLRQV ZKHQ ZH KDYH MXULVGLFWLRQ RYHU DQ ELQGLQJXSRQWKHSODLQWLIIV7KHGLVWULFWFRXUWGRFNHWUHIOHFWV LQWHUORFXWRU\DSSHDOVHH86&†DDQGEVHHDOVR WKDWVKRUWO\DIWHUILOLQJWKHLUQRWLFHRIDSSHDOWKHSODLQWLIIV &RKHQY%HQHILFLDO,QGXVWULDO/RDQ&RUSRUDWLRQ86 ILOHGDQRWLFHWKDWSXUSRUWHGWRDFFHSWWKHUHPLWWLWXUmXQGHU   KROGLQJ WKDW FRXUWV RI DSSHDO PD\ UHYLHZ SURWHVWlDQGWRUHVHUYHDOORIWKHLUDSSHDOULJKWV+RZHYHU LQWHUORFXWRU\ RUGHUV WKDW mILQDOO\ GHWHUPLQH FODLPV RI ULJKW WRIXUWKHUFRQIXVHWKHPDWWHUGD\VDIWHUWKHLUmDFFHSWDQFH VHSDUDEOHIURPDQGFROODWHUDOWRULJKWVDVVHUWHGLQWKHDFWLRQ XQGHUSURWHVWlRIWKHUHPLWWLWXUWKHSODLQWLIIVILOHGDQRWLFHLQ WRRLPSRUWDQWWREHGHQLHGUHYLHZDQGWRRLQGHSHQGHQWRIWKH WKHGLVWULFWFRXUWSXUSRUWLQJWRZLWKGUDZWKDWDFFHSWDQFHRQ FDXVHLWVHOIWRUHTXLUHWKDWDSSHOODWHFRQVLGHUDWLRQEHGHIHUUHG WKHJURXQGVWKDWWKHDFFHSWDQFHZDVDQXOOLW\EHFDXVHLWZDV XQWLO WKH ZKROH FDVH LV DGMXGLFDWHGl ZH GR QRW KDYH ILOHGDIWHUWKHILOLQJRIWKHQRWLFHVRIDSSHDO$WRUDODUJXPHQW MXULVGLFWLRQ RYHU DQ DSSHDO XQWLO WKH GLVWULFW FRXUW LVVXHV D EHIRUHWKLVFRXUWSODLQWLIIVRQFHDJDLQUHYHUVHGWKHLUSRVLWLRQ ILQDODSSHDODEOHRUGHU6HH86&†7KLVFDVHGRHV WKHLUFRXQVHOUHSUHVHQWHGWKDWKHZDVDXWKRUL]HGE\KLVFOLHQWV QRWIDOOZLWKLQWKHSURYLVLRQVRI86&†DRUERU WRDFFHSWnDQGWKDWKHZDVLQIDFWDFFHSWLQJnWKHUHPLWWLWXU WKHFRQILQHVRIWKH&RKHQFROODWHUDORUGHUGRFWULQH8QWLOWKH RQ WKH FRPSHQVDWRU\ GDPDJHV RQO\  $SSDUHQWO\ EHOLHYLQJ GLVWULFW FRXUW HLWKHU HQWHUV D ILQDO RUGHU EDVHG XSRQ WKH WKDW WKLV DFWLRQ ZRXOG FRQIHU MXULVGLFWLRQ XSRQ WKLV FRXUW SODLQWLIIVj HOHFWLRQ WR DFFHSW WKH UHPLWWLWXU RU SURFHHGV WR SODLQWLIIVjFRXQVHODUJXHGWKDWSODLQWLIIVZHUHSURFHHGLQJZLWK MXGJPHQWDIWHUDQHZWULDOWKHUHLVQRWKLQJIRUWKLVFRXUWWR WKH DSSHDO VROHO\ DV WR WKH GLVWULFW FRXUWjV UHGXFWLRQ RI WKH UHYLHZ SXQLWLYHGDPDJHVWR]HUR &LWLQJ +LOO Y 0DUVKDOO  )G   WK &LU %RWKSODLQWLIIVDQGGHIHQGDQWVKDYHPLVVHGWKHSRLQW2QFH SODLQWLIIVDUJXHWKDWEHFDXVHWKHGLVWULFWFRXUWjV0DUFK WKH GLVWULFW FRXUW HQWHUHG LWV RUGHU JLYLQJ WKH SODLQWLIIV WKH VWRUGHUFRPSOHWHO\HOLPLQDWHGWKHSXQLWLYHGDPDJHDZDUG FKRLFHEHWZHHQDFFHSWLQJWKHUHPLWWLWXURUKDYLQJDQHZWULDO LWLVQRWDUHPLWWLWXURUGHUEXWUDWKHULVDQRUGHUIRUMXGJPHQW WKHUHZDVQRILQDORUGHUIURPZKLFKWKHSDUWLHVFRXOGDSSHDO QRWZLWKVWDQGLQJWKHYHUGLFWZKLFKLVILQDODQGDSSHDODEOH,Q 7KHSDUWLHVDSSHDUWREHOLHYHWKDWWKHSODLQWLIIVjDFWLRQnHLWKHU +LOO D SULVRQ LQPDWH EURXJKW D FLYLO ULJKWV DFWLRQ DJDLQVW DFFHSWLQJRUUHMHFWLQJWKHUHPLWWLWXUnHQGVWKHGLVWULFWFRXUWjV SULVRQRIILFLDOVDOOHJLQJWKDWWKH\KDGDFWHGWRGHSULYHKLPRI MXULVGLFWLRQ DQG RSHQV WKH GRRU IRU WKH FDVH WR SURFHHG RQ QHFHVVDU\ PHGLFDO WUHDWPHQW LQ YLRODWLRQ RI WKH (LJKWK $PHQGPHQW7KHILUVWWULDOUHVXOWHGLQDGHIHQVHYHUGLFWWKDW ZDV UHYHUVHG RQ DSSHDO E\ WKLV FRXUW  +LOOjV VHFRQG WULDO  3ODLQWLIIVj DWWHPSW WR DFFHSW WKH UHPLWWLWXU XQGHU SURWHVW LV SODLQO\ UHVXOWHG LQ DQ XQDQLPRXV MXU\ YHUGLFW LQ KLV IDYRU KH ZDV LQDSSURSULDWH ,Q  WKH 8QLWHG 6WDWHV 6XSUHPH &RXUW UHMHFWHG WKLV DZDUGHGLQFRPSHQVDWRU\GDPDJHVDQGLQ WDFWLF LQ 'RQRYDQ Y 3HQQ 6KLSSLQJ &R ,QF  86   SXQLWLYHGDPDJHV7KHGLVWULFWFRXUWFRQGLWLRQDOO\JUDQWHGWKH KROGLQJ WKDW mD SODLQWLII FDQQRW µSURWHVWj D UHPLWWLWXU KH KDV DFFHSWHG LQ DQ GHIHQGDQWjVPRWLRQIRUDQHZWULDOXQOHVV+LOODJUHHGWRUHPLW DWWHPSW WR RSHQ LW WR FKDOOHQJH RQ DSSHDOl ,G DW  7KH &RXUW ZHQW RQ WKH HQWLUH SXQLWLYH GDPDJHV DZDUG  +LOO DJUHHG WR WKH WR HPSKDVL]H WKDW m>D@ OLQH RI GHFLVLRQV VWUHWFKLQJ EDFN WR  KDV ILUPO\ UHPLWWLWXU EXW UHVHUYHG KLV ULJKW WR DSSHDO  7KH GHIHQGDQW HVWDEOLVKHG WKDW D SODLQWLII FDQQRW DSSHDO WKH SURSULHW\ RI D UHPLWWLWXU RUGHU DSSHDOHGWKHILQGLQJRIOLDELOLW\XQGHU†DQG+LOOFURVV WR ZKLFK KH KDV DJUHHG  2QFH D SODLQWLII KDV DFFHSWHG D UHPLWWLWXU RUGHU KH FDQQRW DSSHDO LW DW  :5,*+7 0,//(5 ,G DSSHDOHGWKHUHPLWWLWXURIKLVSXQLWLYHGDPDJHDZDUG † FLWLQJ QXPHURXV FDVHV IRU WKH SURSRVLWLRQ m7KH UXOH WKDW D 6HH LG VHH DOVR

SODLQWLII FDQQRW DFFHSW WKH UHPLWWLWXU HYHQ XQGHU SURWHVW DQG WKHQ DSSHDO WKH UHPLWWLWXU LV QRQHWKHOHVV ZHOO HQWUHQFKHGl