Lyons v. Jackson

• Court: Court of Appeals for the Sixth Circuit
• Decided: August 8, 2002
• Docket: 00-2153
• Status: Published

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

'$6+$:1 /<216 ; 3HWLWLRQHU$SSHOOHH    1R Y  !  $1'5(: -$&.621:DUGHQ  5HVSRQGHQW$SSHOODQW  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW 1R²'HQLVH3DJH+RRG'LVWULFW-XGJH $UJXHG2FWREHU 'HFLGHGDQG)LOHG$XJXVW %HIRUH%2**6*,/0$1DQG%5,*+7&LUFXLW-XGJHV BBBBBBBBBBBBBBBBB &2816(/ $5*8('  7KRPDV 0 &KDPEHUV 2)),&( 2) 7+( 3526(&87,1* $77251(< 'HWURLW 0LFKLJDQ IRU $SSHOODQW  -RKQ 5 0LQRFN &5$0(5 0,12&. $QQ $UERU0LFKLJDQIRU$SSHOOHH21%5,()7KRPDV0

7KH +RQRUDEOH 0\URQ + %ULJKW 6HQLRU &LUFXLW -XGJH RI WKH 8QLWHG 6WDWHV &RXUW RI $SSHDOV IRU WKH (LJKWK &LUFXLW VLWWLQJ E\ GHVLJQDWLRQ

  /\RQVY-DFNVRQ 1R

&KDPEHUV2)),&(2)7+(3526(&87,1*$77251(< 'HWURLW0LFKLJDQIRU$SSHOODQW-RKQ50LQRFN&5$0(5 0,12&.$QQ$UERU0LFKLJDQIRU$SSHOOHH %5,*+7-GHOLYHUHGWKHRSLQLRQRIWKHFRXUW*,/0$1 - SS  GHOLYHUHG D VHSDUDWH FRQFXUULQJ RSLQLRQ %2**6 - SS  GHOLYHUHG D VHSDUDWH GLVVHQWLQJ RSLQLRQ BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB 0<521+%5,*+7&LUFXLW-XGJH$QGUHZ-DFNVRQWKH ZDUGHQRID0LFKLJDQVWDWHFRUUHFWLRQDOLQVWLWXWLRQDSSHDOVD IHGHUDOGLVWULFWFRXUW¶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¶WULDOFRXQVHOGLGQRWFRQVLGHURU DGYLVH/\RQVWKDWWKHSURVHFXWRUFRXOGDSSHDOWKHLPSRVLWLRQ RIDMXYHQLOHVHQWHQFH

 /\RQV KDV FKDQJHG KLV QDPH OHJDOO\ WR -DPHV (GZLQ /\RQV -U 1R /\RQVY-DFNVRQ 

/\RQVSHWLWLRQHGIRUDZULWRIKDEHDVFRUSXVDQGWKHIHGHUDO GLVWULFWFRXUWFRQFOXGHGWKDWWKHIDLOXUHRI/\RQV¶FRXQVHOWR LQIRUPKLPRIWKHSURVHFXWRU VULJKWWRDSSHDOSDUWLFXODUO\LQ OLJKW RI /\RQV¶ \RXWK DW WKH WLPH RI WKH SOHD constituted ineffective assistance of counsel. 7KHFRXUWIXUWKHUFRQFOXGHG WKDWDFRQWUDU\GHWHUPLQDWLRQRQWKHIDFWVDQGWKHODZE\WKH 0LFKLJDQ &RXUW RI $SSHDOV FRQVWLWXWHG DQ XQUHDVRQDEOH DSSOLFDWLRQRIFOHDUO\HVWDEOLVKHGIHGHUDOODZDVGHWHUPLQHGE\ WKH8QLWHG6WDWHV6XSUHPH&RXUWLQ:LOOLDPVY7D\ORU529 U.S. 362 (2000)+LOOY/RFNKDUW474 U.S. 52 (1985DQG 6WULFNODQGY:DVKLQJWRQ466 U.S. 668 (1984)$FFRUGLQJO\ WKHFRXUW JUDQWHG/\RQV¶SHWLWLRQIRUDZULWRIKDEHDVFRUSXV RQ WKH JURXQG RI LQHIIHFWLYH DVVLVWDQFH RI FRXQVHO  7KH ZDUGHQ DSSHDOV  $IWHU D FDUHIXO UHYLHZ RI WKH UHFRUG ZH $)),50WKHGLVWULFWFRXUW ,%$&.*5281' 2Q 1RYHPEHU   /\RQV VKRW DQG NLOOHG 'RXJODV 7KRPDV  7KH VWDWH RI 0LFKLJDQ FKDUJHG /\RQV ZLWK ILUVW GHJUHHPXUGHUDQGSRVVHVVLRQRIDILUHDUPGXULQJFRPPLVVLRQ RIDIHORQ\ /\RQV¶WULDOLQWKH5HFRUGHU¶V&RXUWIRUWKHFLW\RI'HWURLW ZDV VFKHGXOHG WR EHJLQ RQ 0DUFK    7KH DVVLJQHG MXGJH KDG DQRWKHU MXU\ WULDO WKDW GD\ VR /\RQV¶ WULDO ZDV SRVWSRQHG WR WKH QH[W GD\ DQG WUDQVIHUUHG WR WKH GRFNHW RI

 The Honorable Denise Page Hood 8QLWHG 6WDWHV 'LVWULFW &RXUW -XGJH IRU WKH (DVWHUQ 'LVWULFW RI 0LFKLJDQ

 7KH GLVWULFW FRXUW RUGHUHG WKDW XQOHVV 0LFKLJDQ WRRN DFWLRQ ZLWKLQ  GD\V WR DIIRUG /\RQV D QHZ WULDO /\RQV FRXOG DSSO\ IRU D ZULW

RUGHULQJ KLV IRUWKZLWK UHOHDVH IURP FXVWRG\ The district court did not publish its decision in this case. On the same day the district court granted Lyons’ habeas corpus petition, it granted two other petitions in similar cases. The court analyzed all three cases similarly and published only one opinion. See Haynes v. Burke, 115 F.Supp.2d 813 (E.D.Mich 2000). The other opinions are unpublished. See /\RQV Y -DFNVRQ 1R &9'7 (' 0LFK $XJ   0LOOHU Y 6WUDXE 1R  &9'7 (' 0LFK $XJ    /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

-XGJH5REHUVRQ&KLHI-XGJHRIWKH5HFRUGHU¶V&RXUW7KH WKHFODLPVEXWUHPDLQVGHIHUHQWLDOEHFDXVHWKHFRXUWFDQQRW QH[WGD\0DUFK/\RQVSOHGJXLOW\WRILUVWGHJUHHPXUGHU JUDQWUHOLHIXQOHVV WKHVWDWHFRXUW¶VUHVXOWLVQRWLQNHHSLQJ EHIRUH &KLHI -XGJH 5REHUVRQ RQ WKH DGYLFH RI KLV GHIHQVH ZLWK WKH VWULFWXUHV RI WKH $('3$´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³RQ SHUKDSV GHEDWDEOH LI ZH LJQRUH 6WULFNODQG¶V FOHDU WKHEDVLVRIWKDW´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¶VKRXVH/\RQVZDVFDUU\LQJDUHYROYHUDW WKHWLPH/\RQVVWDWHG³,ZHQWWRWDNHKLVZDOOHW7KHUHZDV D VWUXJJOH DQG , JRW VFDUHG DQG VKRW KLP´  7KH FRXUW VSHFLILFDOO\DVNHG/\RQVLIKHKDGWULHGWRUREWKHYLFWLPDQG /\RQVDGPLWWHGKHKDG

 8QGHU 0LFKLJDQ ODZ DW WKDW WLPH WKH WULDO FRXUW KDG GLVFUHWLRQ WR GHWHUPLQH ZKHWKHU MXYHQLOHV FRQYLFWHG RI ILUVW GHJUHH PXUGHU VKRXOG EH VHQWHQFHG DV MXYHQLOHV RU DV DGXOWV 6HH 0LFK &RPS /DZV $QQ †   7KH 0LFKLJDQ OHJLVODWXUH DPHQGHG WKH VWDWXWH LQ  WR UHPRYH WKLV GLVFUHWLRQ 6HH 0LFK 3XE $FW  1R  $OO MXYHQLOHV FRQYLFWHG RI ILUVW GHJUHH PXUGHU DUH QRZ PDQGDWRULO\ VHQWHQFHG DV DGXOWV 6HH 0LFK &RPS /DZV $QQ † J   /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

DIIHFWWKHLUMXGJPHQW1RBBB)GBBBWK&LU 2Q 1RYHPEHU   DIWHU D VHQWHQFLQJ KHDULQJ  FRQGXFWHGRYHUDQXPEHURIPRQWKV&KLHI-XGJH5REHUVRQ FRQFOXGHG WKDW LW ZDV DSSURSULDWH WR VHQWHQFH /\RQV DV D -XGJH*LOPDQ¶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¶DVVHUWLRQVWKDWWKH\ZRXOG ZLWKRXWSDUROHRQWKHILUVWGHJUHHPXUGHUFKDUJH2QDSSHDO KDYHJLYHQXSWKHLUFKDQFHDWDMXYHQLOHVHQWHQFHEHIRUH-XGJH WKH0LFKLJDQ6XSUHPH&RXUWRUGHUHGDVWD\RIIXUWKHUWULDO 5REHUVRQ7KHRQHFRXQVHOZKRWHVWLILHGVSHFLILFDOO\WKRXJKW FRXUWSURFHHGLQJVWKHQYDFDWHGWKHFRXUWRIDSSHDOVRSLQLRQ WKDWWKHFKDQFHVRIWKHVWDWHVXFFHHGLQJRQDSSHDOZHUHIDLUO\ RQWKHJURXQGRILQHIIHFWLYHDVVLVWDQFHRIDSSHOODWHFRXQVHO VPDOODQGZHKDYHQREDVLVIRUGLVFRXQWLQJWKDWMXGJPHQW DQGUHPDQGHGWRWKHFRXUWRIDSSHDOVIRUUHEULHILQJ7KHFRXUW 7KXVLIFRXQVHOFDOFXODWHGWKHFKDQFHVRI-XGJH5REHUVRQ¶V RIDSSHDOVDJDLQUHYHUVHGDQGUHPDQGHGIRULPSRVLWLRQRIWKH VHQWHQFLQJ WKH GHIHQGDQWV DV MXYHQLOHV DW  ZKHQ WKH DGXOWVHQWHQFH7KH0LFKLJDQ6XSUHPH&RXUWGHQLHGOHDYHWR UHDOLW\WXUQHGRXWWREHDQGEHOLHYHGWKHFKDQFHRI DSSHDO VXFFHVVRQDSSHDOE\WKHVWDWHWREHFRQWLQJHQWRQWKH MXYHQLOH VHQWHQFLQJ EHORZ WKHQ WKH FKDQFHV RI XOWLPDWH $W KLV UHVHQWHQFLQJ EHIRUH &KLHI -XGJH 5REHUVRQ RQ VXFFHVVZRXOGKDYHVKUXQNIURPWR7KLVPLJKW -DQXDU\/\RQVRUDOO\PRYHGWRZLWKGUDZKLVJXLOW\ VWLOO ORRN H[WUHPHO\ JRRG DV RSSRVHG WR D YHU\ ODUJH SOHD3XUVXDQWWRUHFHQW0LFKLJDQ6XSUHPH&RXUWRUGHUVLQ SUREDELOLW\RIFRQYLFWLRQRIILUVWGHJUHHPXUGHUDQGDVHQWHQFH VLPLODUFDVHV&KLHI-XGJH5REHUVRQLPPHGLDWHO\LPSRVHGWKH RIOLIHZLWKRXWSDUROH DGXOW VHQWHQFH RI OLIH ZLWKRXW SDUROH DQG GHIHUUHG FRQVLGHUDWLRQRIWKHPRWLRQXQWLODQHYLGHQWLDU\KHDULQJFRXOG :KLOHP\DVVLJQLQJRIYDOXHVLVMXVWDVVSHFXODWLYHDV-XGJH EHVFKHGXOHG/\RQVODWHUILOHGDZULWWHQPRWLRQWRZLWKGUDZ *LOPDQ¶V LW GRHV HPSKDVL]H WKDW WKH SURSHU LQTXLU\ IRU KLVJXLOW\SOHD HIIHFWLYHDVVLVWDQFHRIFRXQVHOVKRXOGEHWKHRYHUDOOVWUDWHJ\ HPSOR\HG,WGRHVQRWDSSHDUWRPHWKDWZHFDQSURSHUO\VD\ XQGHUWKH$('3$VWDQGDUGWKDWWKHVWDWHFRXUWVXQUHDVRQDEO\  $  DPHQGPHQW WR 0LFKLJDQ VWDWXWRU\ ODZ JUDQWHG Michigan DSSOLHG6WULFNODQG prosecutors an appeal of right from "[a] final judgment or final order of the . . . recorder’s court" in criminal cases. Mich. Comp. Laws Ann. )LQDOO\,GRQRWDJUHHZLWK-XGJH*LOPDQWKDWWKHIDLOXUHRI § 770.12 (as amended, Mich. Pub. Act 1988 No. 66) ,Q 1RYHPEHU  WKHVWDWHFRXUWWRGLVFXVVWKHSUHMXGLFHSURQJRI6WULFNODQG WKH 0LFKLJDQ &RXUW RI $SSHDOV SXEOLVKHG D GHFLVLRQ LQ ZKLFK LW FRQVWUXHG PHDQVWKDWLWGLGQRWFRUUHFWO\LGHQWLI\DQGDSSO\6WULFNODQGDV WKH DPHQGPHQW WR DOORZ SURVHFXWRUV WR DSSHDO FULPLQDO VHQWHQFHV DV RI

WKHJRYHUQLQJIHGHUDOUXOH%XWHYHQLIZHZHUHWRSDUVHWKH ULJKW 3HRSOH Y 5H\QROGV  1:G   0LFK $SS 

WZRSDUWVRI6WULFNODQGLQWKLVZD\ZHZRXOGQRWFRQGXFWD  IXOOGHQRYRUHYLHZEXWUDWKHUD³LQGHSHQGHQW´UHYLHZDVODLG See People v. Haynes, 527 N.W.2d 512-13 (Mich. 1994) and People RXWLQRXUUHFHQWFDVHRI+DUULVY6WRYDOO)G v. Miller, 527 N.W.2d 513 (Mich. 1994) (ordering that the two juvenile defendants who moved to withdraw their guilty pleas under circumstances WK &LU   7KHUH ZH VDLG LQ D VLPLODU FDVH  ³7KDW similar WR WKRVH RI /\RQV EH VHQWHQFHG ³IRUWKZLWK´ DV DGXOWV ³ZLWKRXW LQGHSHQGHQWUHYLHZKRZHYHULVQRWDIXOOGHQRYRUHYLHZRI SUHMXGLFH WR VXEVHTXHQW FRQVLGHUDWLRQ RI WKH PRWLRQ WR ZLWKGUDZ WKH SOHD RI JXLOW\´  /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

2Q $SULO   WKH WULDO FRXUW KHOG DQ HYLGHQWLDU\ E\WKH6XSUHPH&RXUWRIWKH8QLWHG6WDWHV´,ELG&RQH KHDULQJRQ/\RQV¶PRWLRQWRZLWKGUDZKLVSOHD/\RQV¶WULDO 6&WDW FRXQVHO%XUJHVVWHVWLILHG%XUJHVVVWDWHGWKDWKHGLGDOPRVW HQWLUHO\ WULDO ZRUN DQG KDQGOHG YHU\ IHZ DSSHOODWH FDVHV 7KH6XSUHPH&RXUWKHOGLQ:LOOLDPVY7D\ORU86 %XUJHVVH[SODLQHGWKDWKHKDGSUHSDUHGIRUWKH0DUFK   WKDW ³>W@KH PRVW LPSRUWDQW SRLQW LV WKDW DQ WULDOEHIRUHWKHRULJLQDOO\DVVLJQHGMXGJH%XWXSRQOHDUQLQJ XQUHDVRQDEOHDSSOLFDWLRQRIIHGHUDOODZLVGLIIHUHQWIURPDQ WKDW KLV FOLHQW¶V FDVH KDG EHHQ WUDQVIHUUHG WR &KLHI -XGJH LQFRUUHFWDSSOLFDWLRQRIIHGHUDOODZ´,GDWHPSKDVLVLQ 5REHUVRQ%XUJHVVFKDQJHGWDFNDQGUHFRPPHQGHGWR/\RQV RULJLQDO$VWDWHFRXUWGHFLVLRQFDQLQYROYHDQXQUHDVRQDEOH WKDWKHSOHDGJXLOW\$OWKRXJK%XUJHVVEHOLHYHGWKDWKHFRXOG DSSOLFDWLRQRI8QLWHG6WDWHV6XSUHPH&RXUWSUHFHGHQWLQRQO\ DUJXH DQ LPSHUIHFW VHOIGHIHQVH FODLP RQ /\RQV¶ EHKDOI DW WZRZD\V)LUVWDVWDWHFRXUWPLJKWLGHQWLI\WKHFRUUHFWOHJDO WULDOZKLFKPLJKWUHVXOWLQ/\RQVEHLQJFRQYLFWHGRIDOHVVHU UXOHEXWXQUHDVRQDEO\DSSO\LWWRWKHIDFWV6HFRQGDVWDWH RIIHQVH %XUJHVV¶V NQRZOHGJH RI &KLHI -XGJH 5REHUVRQ V FRXUWGHFLVLRQPLJKWXQUHDVRQDEO\H[WHQGD6XSUHPH&RXUW VHQWHQFLQJ SROLFLHV DQG JHQHUDO SKLORVRSK\ IRU KDQGOLQJ OHJDOSUHFHGHQWWRDQHZFRQWH[WZKHUHLWVKRXOGQRWDSSO\RU MXYHQLOHVFRQYLQFHGKLPWKDWKH³FRXOGJHWDIDLUKHDULQJIURP XQUHDVRQDEO\UHIXVHWRH[WHQGWKDWSULQFLSOHWRDQHZFRQWH[W -XGJH5REHUVRQDQGSHUVXDGHKLPWRVHQWHQFH>/\RQV@DV ZKHUH LW VKRXOG DSSO\ ,G DW   7KH 6XSUHPH &RXUW DMXYHQLOH´$FFRUGLQJO\%XUJHVVWRRNWKH³XQXVXDO´VWHSRI UHFHQWO\ UHLWHUDWHG WKDW WKH :LOOLDPV REMHFWLYH DGYLVLQJ/\RQVWRSOHDGJXLOW\WRILUVWGHJUHHPXUGHU XQUHDVRQDEOHQHVV VWDQGDUG DSSOLHV WR WKH LQHIIHFWLYH DVVLVWDQFHRIFRXQVHOVHWWLQJ&RQH6&WDW,Q %XUJHVVDFNQRZOHGJHGWKDWSULRUWR0DUFKKHDQG/\RQV &RQH WKH &RXUW KHOG WKDW ZKHQ D VWDWH FRXUW FRUUHFWO\ KDG³GLVFXVV>HG@WKHWULDOPRUHWKDQDQ\WKLQJHOVH´DQGWKHLU LGHQWLILHVWKH6WULFNODQGVWDQGDUGDVDSSOLFDEOHDQGPDNHVD PDLQGLVFXVVLRQUHJDUGLQJ/\RQV¶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¶IDWKHUDQGDGYLVHGKLPWKDWLWZDVLQ HYHQZHUH,WRGLVDJUHHZLWKLWDVWKHPDMRULW\GRHV /\RQV¶EHVWLQWHUHVWWRSOHDGJXLOW\ -XGJH*LOPDQ¶VFRQFXUUHQFHPDNHVDQXPEHURILQWHUHVWLQJ %XUJHVVWHVWLILHGWKDWLQIRUPXODWLQJKLVDGYLFHWR/\RQV SRLQWVWKDWGHVHUYHDEULHIUHVSRQVH&RQWUDU\WRWKHVWDWHPHQW KH GLG QRW FRQVLGHU WKH SURVHFXWRU¶V ULJKW WR DSSHDO D WULDO DWSDJH,KDGWKRXJKWWKDW,GLGQRWHLQWKHILUVWSDUDJUDSK FRXUW¶VVHQWHQFLQJGHFLVLRQ RIWKLVGLVVHQWDQGGLGQRWGLVSXWHWKHREYLRXVIDFWVLQWKH UHFRUG WKDW FRXQVHO GLG QRW LQIRUP WKHLU FOLHQWV RI WKH 4 ,QIRUPXODWLQJ\RXUDGYLFHWR0U/\RQVGLG SRVVLELOLW\ RI D JRYHUQPHQW DSSHDO  $OO RI WKH FRXQVHO \RX WDNH LQWR DFFRXQW WKH IDFW WKDW WKH LQYROYHG QRWHG WKDW WKH\ GLG QRW FRQWHPSODWH WKDW VXFK DQ 3URVHFXWLRQ KDG D ULJKW WR DSSHDO -XGJH DSSHDO FRXOG RFFXU RU WKDW LW ZRXOG EH VXFFHVVIXO  ,Q WKH 5REHUVRQ¶VGHFLVLRQ" SDUDOOHOFDVHEHIRUHXV0LOOHU¶VFRXQVHODVZHOODVKLVFOLHQW ZDVLQFRXUWZKHQWKHSURVHFXWRUVDLGWKDWWKHVWDWHZRXOG DSSHDODQGVSHFLILFDOO\WHVWLILHGWKDWKHIHOWWKDWWKHFKDQFHV RIVXFKDQDSSHDOVXFFHHGLQJRQHKDGQHYHUEHHQ WULHGLQ  %XUJHVV VWDWHG WKDW /\RQV¶ IDWKHU ³GLGQ¶W UHDOO\ NQRZ DQ\WKLQJ DERXW 0LFKLJDQWRWKLVSRLQWZHUHVXIILFLHQWO\ORZWKDWLWGLGQRW WKH ODZ DV LW UHODWHG WR WKLV VLWXDWLRQ ,W ZDV DOO QHZ´  /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

SHUIRUPDQFH6WULFNODQG86DW&RQH6 >%XUJHVV@ 1RGLGQ¶WFRQVLGHUWKDWDWDOODQG,FHUWDLQO\ &WDW GLGQ¶WGLVFXVVLWZLWKKLP%XWLWUHDOO\GLGQ¶W HQWHUP\PLQG $VIRUWKHSUHMXGLFHHOHPHQWRI6WULFNODQGLWVHHPVFOHDU WKDWHYHQZLWKNQRZOHGJHRIWKHSRVVLELOLW\RISURVHFXWRULDO  DSSHDO/\RQVZRXOGVWLOOKDYHSOHGJXLOW\/\RQVPDGHQR DWWHPSW WR ZLWKGUDZ KLV JXLOW\ SOHD DIWHU WKH SURVHFXWLRQ 4 %XUJHVV@ 1R  ,W¶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ELWHEHFDXVHRIWKHSRVVLELOLW\RISURVHFXWRULDODSSHDO GLVFUHWLRQVXFKDVWKLV GHILHVFUHGHQFH 4 ,I\RXKDGWDNHQWKDWLQWRFRQVLGHUDWLRQDUH /\RQV ZDV YHU\ DZDUH RI WKH SRVVLEOH FRQVHTXHQFHV RI \RXDEOHWRVD\ZKHWKHULWZRXOGKDYHPDGH SOHDGLQJJXLOW\WRILUVWGHJUHHPXUGHU-XGJH5REHUVRQWROG DGLIIHUHQFHLQ\RXUDGYLFH" KLPEHIRUHKHSOHGWKDWKHFRXOGSRVVLEO\EHVHQWHQFHGDVDQ DGXOWDQGWKHUHIRUHEHVXEMHFWWRDPDQGDWRU\OLIHVHQWHQFH >%XUJHVV@    , FDQ¶W UHDOO\ WHOO \RX ZKHWKHU RU QRW , DVDUHVXOWRIKLVJXLOW\SOHD7KDWLVH[DFWO\ZKDWKDSSHQHG ZRXOGKDYHJRQHDKHDGDQGVWLOODGYLVHGKLP DIWHUWKHSURVHFXWRULDODSSHDO/\RQVNQHZWKHULVNDQGWRRN RIWKLVEXWDWOHDVWKHVKRXOGKDYHEHHQDZDUH KLVFKDQFHV7KHIDFWWKDWKHGLGQRWFRUUHFWO\DVVHVVZKHWKHU RILWDQGLQWKDWFDVH,ZDVUHPLVV,JXHVV RUQRWKHDFWXDOO\ZRXOGEHVHQWHQFHGDVDQDGXOWLVZKROO\ %XWLW¶VQRWVRPHWKLQJ,HYHQWKRXJKWDERXW LUUHOHYDQW  7KH SOHD ZDV PDGH YROXQWDULO\ DQG ZLWK IXOO ,FDQWHOO\RX NQRZOHGJHRIWKHSRVVLEOHFRQVHTXHQFHV /\RQV-$DW 0RUHRYHU$('3$LPSRVHVDGGLWLRQDOFRQVWUDLQWVRQWKH DELOLW\RIIHGHUDOFRXUWVWRJUDQWDZULWRIKDEHDVFRUSXV,Q /\RQVWHVWLILHGDWWKHHYLGHQWLDU\KHDULQJDVZHOO+HVWDWHG RUGHUWRPHHWWKHJDWHNHHSHUVWDQGDUGVVHWIRUWKE\$('3$ WKDWZKHQ%XUJHVVDGYLVHGKLPWRSOHDGJXLOW\KHLQLWLDOO\  86& † G IRU WKH LVVXDQFH RI ZULWV RI KDEHDV ³ZDQWHGWRILJKW´WKHFKDUJHVDQGJRWRWULDO+RZHYHUKH FRUSXV WKH VWDWH FRXUW DGMXGLFDWLRQ RI WKH FODLP WKDW LV HYHQWXDOO\ DFFHGHG WR WKH SOHD UHO\LQJ RQ WKH DGYLFH DQG FKDOOHQJHG RQ FROODWHUDO DSSHDO PXVW KDYH UHVXOWHG LQ D LQIRUPDWLRQ%XUJHVVSURYLGHGWRKLP/\RQVWKHQWHVWLILHG GHFLVLRQWKDWZDV³FRQWUDU\WRRULQYROYHGDQXQUHDVRQDEOH DERXW%XUJHVV¶VIDLOXUHWRLQIRUPKLPRIWKHSURVHFXWRU¶VULJKW DSSOLFDWLRQRIFOHDUO\HVWDEOLVKHG)HGHUDOODZDVGHWHUPLQHG WRDSSHDODQGWKHLPSDFWVXFKLQIRUPDWLRQZRXOGKDYHKDGRQ KLVGHFLVLRQWRSOHDGJXLOW\  /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

4 'LG\RXDQG0U%XUJHVVGLVFXVVWKHIDFWWKDW BBBBBBBBBBBBBB WKH3URVHFXWRUKDGDULJKWWRDSSHDOWKHFDVH DQG LI -XGJH 5REHUVRQ VHQWHQFHG \RX DV D ',66(17 MXYHQLOHDQRWKHUFRXUWFRXOGGHFLGHWRUHYHUVH BBBBBBBBBBBBBB WKDWDQGVD\QR\RXKDYHWREHVHQWHQFHGDV DQDGXOW" %2**6 &LUFXLW -XGJH GLVVHQWLQJ  , GLVDJUHH ZLWK WKH PDMRULW\¶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 GHILFLHQW SHUIRUPDQFH E\ WKH  DWWRUQH\DQGSUHMXGLFH6WULFNODQGY:DVKLQJWRQ 86    /HJLWLPDWH WULDO WDFWLFV DUH H[SUHVVO\ >/\RQV@ /LNHO\,ZRXOGKDYHFKRVHQWRJRWRWULDO H[FOXGHGIURPWKHGHILQLWLRQRIGHILFLHQWSHUIRUPDQFH%HOO /\RQV-$DW Y&RQH6&W7RHVWDEOLVKSUHMXGLFH DIWHUKDYLQJSOHGJXLOW\WKHSOHDGHUPXVWVKRZDUHDVRQDEOH /\RQVWHVWLILHGWKDWKHILUVWOHDUQHGDERXWWKHSURVHFXWRU¶V SUREDELOLW\ WKDW KH ZRXOG QRW KDYH SOHG KDG KH UHFHLYHG DSSHDO ZKHQ D UHODWLYH UHDG LQ D QHZVSDSHU WKDW /\RQV¶ FRPSHWHQWDGYLFH+LOOY/RFNKDUW86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¶VUHVLGHQFHZLWKWKH VHQWHQFHG DV D MXYHQLOH LI KH SOHG JXLOW\ EHFDXVH RI WKH LQWHQWWRNLOOKLPEXWUDWKHUWRVHHDERXWVRPHPRQH\7KRPDV VHQWHQFLQJ KDELWV RI WKH SDUWLFXODU MXGJH LQ WKH FDVH RZHGKLP/\RQVWULHGWRJHWWKHPRQH\E\UHDFKLQJIRUWKH &RXQVHO¶VSHUIRUPDQFHZDVQRWGHILFLHQWLQGHHGWKHLGHDIRU ZDOOHWLQ7KRPDV¶VSRFNHW$JXQZDVRQWKHIORRU7KRPDV WKH JDPEOH VSUDQJ IURP GHIHQVH FRXQVHO¶V VXSHULRU DQG JUDEEHGWKHJXQILUVWDQGWKHWZRRIWKHPVWUXJJOHGRYHULW LQWLPDWHNQRZOHGJHRIWKHFRXUW/\RQV¶VFRXQVHOWRRNH[WUD VWHSVWRHQVXUHWKDWKLVFOLHQW¶VGHFLVLRQZDVZHOOLQIRUPHG +H H[SODLQHG H[WHQVLYHO\ WKH SRVVLEOH FRQVHTXHQFHV RI  SOHDGLQJ WR ILUVW GHJUHH PXUGHU  +H DUUDQJHG IRU /\RQV¶V 7KH 0LFKLJDQ &RXUW RI $SSHDOV KDQGHG GRZQ LWV GHFLVLRQ UHYHUVLQJ LPSRVLWLRQ RI D MXYHQLOH VHQWHQFH DQG UHPDQGLQJ IRU LPSRVLWLRQ RI DQ IDWKHU WR EH LQYROYHG LQ WKH GHFLVLRQPDNLQJ SURFHVV  7KH DGXOW VHQWHQFH RQ $XJXVW   2Q $XJXVW   /\RQV ZURWH D GHFLVLRQ WR SOHDG ZDV FDOFXODWHG YROXQWDU\ DQG LQIRUPHG OHWWHU WR &KLHI -XGJH 5REHUVRQ UHTXHVWLQJ QHZ FRXQVHO ³0\ >DSSHOODWH WKLVLVSUHFLVHO\WKHVRUWRIFRPSHWHQWUHSUHVHQWDWLRQWKDWLV FRXQVHO@ QHYHU FDPH WR VHH PH DQG QHYHU ZURWH WR PH 0\ IDPLO\ DQG , H[FOXGHG IURP WKH 6WULFNODQG GHILQLWLRQ RI GHILFLHQW OHDUQHG RI P\ VHQWHQFH EHLQJ FKDQJHG LQ WKH QHZV SDSHU >VLF@  /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

:HDUHXQDEOHRIFRXUVHWRGHWHUPLQHWKHH[DFWRGGVWKDW /\RQVJRWWKHJXQDQGVKRW7KRPDV/\RQVGHQLHGWU\LQJWR /\RQV EHOLHYHG KH IDFHG SULRU WR SOHDGLQJ JXLOW\ EXW WKH URE7KRPDVRIKLVZDOOHW DERYH H[DPSOH LOOXVWUDWHV WKH VLJQLILFDQFH RI IDLOLQJ WR FRQVLGHUWKHSRVVLELOLW\RIWKHVWDWHDSSHDOLQJ7KHIDFWWKDW 7KHWULDOFRXUWGHWHUPLQHGWKDW/\RQV¶JXLOW\SOHDKDGQRW /\RQVZDVDZDUHRIWKHPD[LPXPSHQDOW\KHIDFHGGRHVQRW EHHQYROXQWDU\NQRZLQJDQGLQWHOOLJHQWGXHWRLQHIIHFWLYHQHVV WKHUHIRUH QHJDWH WKH VLJQLILFDQFH RI WKH LQIRUPDWLRQ WKDW RI WULDO FRXQVHO  7KH FRXUW JUDQWHG /\RQV¶ PRWLRQ WR QHLWKHUKHQRUKLVFRXQVHOFRQVLGHUHG3HUKDSV/\RQVZRXOG ZLWKGUDZKLVJXLOW\SOHD7KH0LFKLJDQ&RXUW RI $SSHDOV KDYHSOHGJXLOW\HYHQLIKHKDGNQRZQWKDWWKHWULDOMXGJH¶V JUDQWHGOHDYHWRWKHSURVHFXWRUWRDSSHDOWKDWRUGHU VHQWHQFLQJGHFLVLRQZDVQRWWKHRQO\KXUGOHWKDWKHKDGWR RYHUFRPHLQRUGHUWREHVHQWHQFHGDVDMXYHQLOH%XWKHZDV ,Q D FRQVROLGDWHG GHFLVLRQ DGGUHVVLQJ /\RQV¶ FDVH DORQJ HQWLWOHG WR EH DGYLVHG RI DOO WKH ULVNV WKDW KH IDFHG EHIRUH ZLWKWZRRWKHUVLPLODUO\VLWXDWHGDSSHOODQWVWKHDSSHDOVFRXUW FKRRVLQJWRSOHDGJXLOW\DQGIRUHJRLQJKLVULJKWWRDMXU\WULDO UHYHUVHGWKHWULDOFRXUW3HRSOHY+D\QHV$IWHU5HPDQG 1:G0LFK$SS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† G  SURYLGLQJ WKDW D ZULW RI KDEHDV FRUSXV LV UHJDUGLQJKLVVHQWHQFH7KHUHIRUHWKHFRXUWFRQFOXGHG/\RQV DYDLODEOH IRU D SHUVRQ LQ VWDWH FXVWRG\ LI WKH VWDWH FRXUW¶V XQGHUVWRRGWKHFRQVHTXHQFHVRIKLVSOHDDQGWKHSOHDZDV DGMXGLFDWLRQRIWKHSHWLWLRQHU¶VFODLP³UHVXOWHGLQDGHFLVLRQ NQRZLQJO\XQGHUVWDQGLQJO\DQGYROXQWDULO\PDGH+D\QHV WKDWLQYROYHGDQXQUHDVRQDEOHDSSOLFDWLRQRIFOHDUO\ $IWHU5HPDQG1:GDW7KH0LFKLJDQ6XSUHPH HVWDEOLVKHG)HGHUDOODZDVGHWHUPLQHGE\WKH6XSUHPH&RXUW &RXUWGHQLHG/\RQVOHDYHWRDSSHDO RI WKH 8QLWHG 6WDWHV´ +LOO Y /RFNKDUW  86   ³>,@QRUGHUWRVDWLVI\WKHµSUHMXGLFH¶UHTXLUHPHQWWKH ,Q$XJXVW/\RQVSHWLWLRQHGWKHIHGHUDOGLVWULFWFRXUW GHIHQGDQWPXVWVKRZWKDWWKHUHLVDUHDVRQDEOH SUREDELOLW\ IRUDZULWRIKDEHDVFRUSXV7KHFRXUWFRQGLWLRQDOO\JUDQWHG WKDW EXW IRU FRXQVHO¶V HUURUV KH ZRXOG QRW KDYH SOHDGHG WKHZULWRUGHULQJ/\RQV¶UHOHDVHXQOHVVKHZDVJLYHQDWULDO JXLOW\DQGZRXOGKDYHLQVLVWHGRQJRLQJWRWULDO´6WULFNODQG 7KH GLVWULFW FRXUW FRQFOXGHG WKDW DV D UHVXOW RI LQHIIHFWLYH 86DW³$UHDVRQDEOHSUREDELOLW\LVDSUREDELOLW\ DVVLVWDQFH RI WULDO FRXQVHO /\RQV KDG QRW SOHG JXLOW\ VXIILFLHQWWRXQGHUPLQHFRQILGHQFHLQWKHRXWFRPH´

 7KLV GHQLDO LV FRQWUDU\ WR /\RQV¶ DGPLVVLRQ GXULQJ KLV SOHD FROORTX\ ZLWK &KLHI -XGJH 5REHUVRQ LQ 

 7KRVH WZR DSSHOODQWV &RUWH] 0LOOHU DQG .HUPLW +D\QHV DOVR SHWLWLRQHG IRU ZULWV RI KDEHDV FRUSXV LQ IHGHUDO GLVWULFW FRXUW ,Q DQ RSLQLRQ ILOHG FRQWHPSRUDQHRXVO\ ZLWK WKH LQVWDQW FDVH ZH KDYH DIILUPHG WKH JUDQW RI KDEHDV FRUSXV UHOLHI WR 0LOOHU DQG +D\QHV E\ WKH GLVWULFW FRXUW +D\QHV Y %XUNH BBB )G BBB WK &LU   /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

YROXQWDULO\ RU NQRZLQJO\  7KH ZDUGHQ DSSHDOHG WR WKLV )GWK&LUH[SODLQLQJWKDWEHFDXVH FRXUW WKH VWDWH FRXUW FRQVLGHUHG RQO\ WZR RI WKUHH UHTXLUHPHQWV QHFHVVDU\WRHVWDEOLVKDYLRODWLRQRI%UDG\Y0DU\ODQG ,,',6&866,21 86DGHQRYRVWDQGDUGRIUHYLHZDSSOLHGWRWKH WKLUG HOHPHQW  , WKHUHIRUH EHOLHYH WKDW WKH GLVVHQW¶V $ +DEHDV&RUSXV5HYLHZ DSSOLFDWLRQRI$('3$¶V³REMHFWLYHO\XQUHDVRQDEOH´WHVWWR WKH SUHMXGLFH FRPSRQHQW RI 6WULFNODQG LV QRW DSSURSULDWH 3URYLVLRQVRIWKH$QWLWHUURULVPDQG(IIHFWLYH'HDWK3HQDOW\ :LOOLDPVY7D\ORU86FODULI\LQJWKH $FW$('3$FRGLILHG DW86&†GJRYHUQRXU PHDQLQJRIDQ³XQUHDVRQDEOHDSSOLFDWLRQ´RIODZXQGHU UHYLHZRIWKHVWDWHFRXUWGHFLVLRQVLQWKLVKDEHDVFRUSXVFDVH 86&†G   G $Q DSSOLFDWLRQ IRU D ZULW RI KDEHDV FRUSXV RQ 7KHGLVVHQWFRQFOXGHVWKDW/\RQV¶VHIIRUWWRZLWKGUDZKLV EHKDOIRIDSHUVRQLQFXVWRG\SXUVXDQWWRWKHMXGJPHQWRI JXLOW\SOHDFRQVWLWXWHGDQDWWHPSWWRJHW³DVHFRQGELWHDWWKH D 6WDWH FRXUW VKDOO QRW EH JUDQWHG ZLWK UHVSHFW WR DQ\ DSSOH´DQGWKDW/\RQVHQWHUHGKLVJXLOW\SOHDYROXQWDULO\DQG FODLPWKDWZDVDGMXGLFDWHGRQWKHPHULWVLQ6WDWHFRXUW ZLWKIXOONQRZOHGJHRIWKHSRVVLEOHVHQWHQFHWKDWKHIDFHG, SURFHHGLQJVXQOHVVWKHDGMXGLFDWLRQRIWKHFODLP² UHVSHFWIXOO\ GLVDJUHH  $OWKRXJK /\RQV GLG QRW VHHN WR  UHVXOWHG LQ D GHFLVLRQ WKDW ZDV FRQWUDU\ WR RU ZLWKGUDZKLVJXLOW\SOHDGXULQJWKHVWDWHDSSHOODWHSURFHVVWKH LQYROYHG DQ XQUHDVRQDEOH DSSOLFDWLRQ RI FOHDUO\ UHFRUGUHIOHFWVWKDWKHZDVQRWDGYLVHGE\KLVDWWRUQH\WKDWWKH HVWDEOLVKHG)HGHUDOODZDVGHWHUPLQHGE\WKH6XSUHPH VWDWHKDGHYHQDSSHDOHG+LVILUVWNQRZOHGJHRIWKHVWDWH¶V &RXUWRIWKH8QLWHG6WDWHV>@ DSSHDO ZDV DSSUR[LPDWHO\ WZR \HDUV ODWHU ZKHQ D UHODWLYH UHDGDERXWWKH0LFKLJDQ&RXUWRI$SSHDOV¶VGHFLVLRQRUGHULQJ 86&†G  KLPWREHVHQWHQFHGDVDQDGXOW7KXVWKHGLVVHQW¶VLQIHUHQFH WKDW/\RQVZDV³JDPLQJWKHV\VWHP´LVXQZDUUDQWHGXQGHU 7KH IHGHUDO GLVWULFW FRXUW FRQVLGHUHG /\RQV¶ SHWLWLRQ IRU WKHVHFLUFXPVWDQFHV KDEHDVFRUSXVXQGHUWKH³XQUHDVRQDEOHDSSOLFDWLRQ´SURQJRI WKLVVWDWXWH1HLWKHUSDUW\DUJXHVWKDWWKHIHGHUDOGLVWULFWFRXUW :LWK UHVSHFW WR ZKHWKHU /\RQV HQWHUHG KLV JXLOW\ SOHD VKRXOGKDYHLQTXLUHGZKHWKHUWKH0LFKLJDQ&RXUWRI$SSHDOV NQRZLQJO\ DQG LQWHOOLJHQWO\ , EHOLHYH WKDW WKH GLVVHQW GHFLVLRQ ZDV ³FRQWUDU\ WR´ FOHDUO\ HVWDEOLVKHG IHGHUDO ODZ XQGHUHVWLPDWHVWKHVLJQLILFDQFHRIDSRVVLEOHDSSHDOLQDQ\ :HSURFHHGWKHUHIRUHXQGHUWKH³XQUHDVRQDEOHDSSOLFDWLRQ´ FDOFXODWLRQ WKDW /\RQV RU KLV FRXQVHO PDGH  /\RQV PLJKW SURQJRI86&†G  KDYH EHOLHYHG WKDW KH KDG VD\ DQ  FKDQFH RI EHLQJ VHQWHQFHG DV D MXYHQLOH E\ WKH SDUWLFXODU WULDO MXGJH EHIRUH ,Q:LOOLDPVY7D\ORU86WKH6XSUHPH ZKRPKHSOHGJXLOW\,IKHKDGEHHQDGYLVHGWKDWWKHVWDWH &RXUWHOXFLGDWHGWKHWHUPVRI86&†G )LUVW FRXOGDSSHDOKRZHYHUKHPLJKWKDYHHYDOXDWHGWKHRGGVRI WKH&RXUWH[SODLQHGWKDW³FOHDUO\HVWDEOLVKHG)HGHUDOODZDV WKHWULDOMXGJH¶VGHWHUPLQDWLRQEHLQJVXVWDLQHGRQDSSHDODV GHWHUPLQHG E\ WKH 6XSUHPH &RXUW´ UHIHUV WR WKH &RXUW¶V RQO\7KHULVNRIWKHWULDOMXGJH¶VVHQWHQFLQJGHFLVLRQ EHLQJUHYHUVHGRQDSSHDOZRXOGLQWKLVH[DPSOHUHGXFHWKH XOWLPDWHOLNHOLKRRGRI/\RQVEHLQJVHQWHQFHGDVDMXYHQLOH  ,Q IHGHUDO GLVWULFW FRXUW /\RQV DOOHJHG GHQLDO RI GXH SURFHVV DV D IURPWRRQO\ VHFRQG JURXQG IRU KDEHDV FRUSXV UHOLHI 7KH IHGHUDO GLVWULFW FRXUW KDYLQJ JUDQWHG UHOLHI EDVHG RQ /\RQV¶ LQHIIHFWLYH DVVLVWDQFH RI FRXQVHO FODLP GLG QRW DGGUHVV WKH GXH SURFHVV DUJXPHQW  /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

SUHFLVHO\WRWKHH[WHQWWKDWUHDVRQDEOHSURIHVVLRQDOMXGJPHQWV KROGLQJVDVRSSRVHGWRGLFWDDWWKHWLPHRIWKHUHOHYDQWVWDWH VXSSRUW WKH OLPLWDWLRQV RQ LQYHVWLJDWLRQ´  $V WKH OHDG FRXUWGHFLVLRQ,GDW6HFRQGWKH&RXUWH[SODLQHGWKDW RSLQLRQQRWHVDUHDVRQDEOHDWWRUQH\ZRXOGKDYHFRQVLGHUHG DVWDWHFRXUWGHFLVLRQXQUHDVRQDEO\DSSOLHV6XSUHPH&RXUW WKHSRVVLELOLW\RIDQDSSHDOEHIRUHDGYLVLQJ/\RQVWRSOHDG SUHFHGHQW E\ HLWKHU   LGHQWLI\LQJ WKH FRUUHFW JRYHUQLQJ JXLOW\XQGHUWKHFLUFXPVWDQFHVRIWKHSUHVHQWFDVH OHJDOUXOHIURP6XSUHPH&RXUWSUHFHGHQWEXWXQUHDVRQDEO\ DSSO\LQJLWWRWKHIDFWVRUXQUHDVRQDEO\H[WHQGLQJDOHJDO )LQDOO\ , EHOLHYH WKDW WKH GLVVHQW¶V FRQVLGHUDWLRQ RI WKH SULQFLSOH IURP 6XSUHPH &RXUW SUHFHGHQW WR D QHZ FRQWH[W VWUHQJWKRIWKHVWDWH¶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DQG6WULFNODQGY DVVHVVPHQW RI WKH ULVNV DQG EHQHILWV RI SOHDGLQJ JXLOW\ DV :DVKLQJWRQ86WKH6XSUHPH&RXUWVHWRXW RSSRVHGWRSURFHHGLQJWRWULDOLWUHFRJQL]HVWKDWFRXQVHOPXVW WKH ODZ DSSOLFDEOH WR DQ LQHIIHFWLYH DVVLVWDQFH RI FRXQVHO DWOHDVWEHDZDUHRIVXFKULVNVHVSHFLDOO\ZKHUHWKHODFNRI FODLPVXFKDVWKDWPDGHE\/\RQV%RWK+LOODQG6WULFNODQG DZDUHQHVV GLUHFWO\ LPSDFWV WKH UHDVRQLQJ EHKLQG ZKDWHYHU DGYLFHLVSURYLGHG  6HH0F0DQQY5LFKDUGVRQ86 ³4XHVWLRQVOLNHWKHVH>UHODWLQJWRWKHULVNVRI  7KH 6XSUHPH &RXUW LQ :LOOLDPV DFNQRZOHGJHG WKH GLIILFXOW\ LQ WULDO@ FDQQRW EH DQVZHUHG ZLWK FHUWLWXGH \HW D GHFLVLRQ WR GHILQLQJ WKH WHUP ³XQUHDVRQDEOH´ EXW H[SODLQHG WKDW ³LW LV D FRPPRQ WHUP SOHDG JXLOW\ PXVW QHFHVVDULO\ UHVW XSRQ FRXQVHO¶V DQVZHUV LQ WKH OHJDO ZRUOG DQG DFFRUGLQJO\ IHGHUDO MXGJHV DUH IDPLOLDU ZLWK LWV XQFHUWDLQDVWKH\PD\EH´8QLWHG6WDWHVY+DQOH\)G PHDQLQJ´  86 DW  7KLV FLUFXLW KDV VWDWHG WKDW ZH ³UHO\ VROHO\ RQ WK&LUUHFRJQL]LQJWKDW³DUHYHUVDOIRU WKH 6XSUHPH &RXUW¶V GHFLVLRQ LQ :LOOLDPV IRU WKH DSSURSULDWH VWDQGDUG LQHIIHFWLYHDVVLVWDQFHZRXOGEHLQRUGHU´LIWKHGHIHQGDQWKDG XQGHU † G´ Harris v. Stovall, 212 F.3d 940, 943 (6th Cir. 2000); accord   )G   Q WK &LU  2WKHU FLUFXLW FRXUWV WKDW KDYH DWWHPSWHG JUHDWHU FODULILFDWLRQ KDYH FRPH WR 0LOOHU Y )UDQFLV SOHG JXLOW\ VROHO\ LQ UHOLDQFH XSRQ KLV FRXQVHO¶V HUURQHRXV DGYLFH³WKDWKHZRXOGEHHOLJLEOHIRUSDUROHLQRQHWKLUGWKH ZLGHO\ GLYHUJHQW YLHZV RQ WKH PHDQLQJ RI ³XQUHDVRQDEOH´ &RPSDUH WLPHKHUHFHLYHGIRUVHQWHQFH´   )G   G &LU  VWDWLQJ WKDW DQ ³XQUHDVRQDEOH DSSOLFDWLRQ´ UHTXLUHV ³>V@RPH LQFUHPHQW RI LQFRUUHFWQHVV )UDQFLV 6 Y 6WRQH

,DOVRDJUHHZLWKWKHOHDGRSLQLRQWKDWLI/\RQV¶VFRXQVHO EH\RQG HUURU´ EXW ³WKH LQFUHPHQW QHHG QRW EH JUHDW RWKHUZLVH KDEHDV UHOLHI ZRXOG EH OLPLWHG WR VWDWH FRXUW GHFLVLRQV µVR IDU RII WKH PDUN DV WR KDG LQIRUPHG /\RQV WKDW WKH VWDWH FRXOG DSSHDO WKH WULDO VXJJHVW MXGLFLDO LQFRPSHWHQFH¶´ TXRWLQJ 0DWWHR Y 6XSHULQWHQGHQW 6&, MXGJH¶VVHQWHQFLQJGHFLVLRQDUHDVRQDEOHSUREDELOLW\H[LVWV $OELRQ  )G   G &LU   ZLWK .LEEH Y 'XERLV  WKDW/\RQVZRXOGKDYHSURFHHGHGWRWULDOUDWKHUWKDQSOHDG )G   VW &LU  ³>$@ VWDWH FRXUW GHFLVLRQ LV REMHFWLYHO\ JXLOW\,QFRQVLGHULQJ6WULFNODQG¶V³SUHMXGLFH´SURQJZHDUH XQUHDVRQDEOH XQGHU $('3$ RQO\ LI LW LV VR RIIHQVLYH WR H[LVWLQJ QRW ERXQG E\ $('3$¶V GHIHUHQWLDO VWDQGDUG RI UHYLHZ SUHFHGHQW VR GHYRLG RI UHFRUG VXSSRUW RU VR DUELWUDU\ DV WR LQGLFDWH WKDW LW LV RXWVLGH WKH XQLYHUVH RI SODXVLEOH FUHGLEOH RXWFRPHV´ LQWHUQDO EHFDXVH WKH 0LFKLJDQ &RXUW RI $SSHDOV QHYHU UHDFKHG WKH TXRWDWLRQ PDUNV UHPRYHG DQG ZLWK 'HOJDGR Y /HZLV  )G   LVVXH RI SUHMXGLFH ZKHQ LW GHWHUPLQHG WKDW FRXQVHO¶V WK &LU  HTXDWLQJ DQ ³XQUHDVRQDEOH DSSOLFDWLRQ´ ZLWK ³FOHDU SHUIRUPDQFHZDVQRWGHILFLHQW6HH*RQ]DOHVY0F.XQH HUURU´ LH ³D GHILQLWH DQG ILUP FRQYLFWLRQ WKDW DQ HUURU KDV EHHQ FRPPLWWHG´  /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

ZHUH FOHDUO\ HVWDEOLVKHG IHGHUDO ODZ DV GHWHUPLQHG E\ WKH __________________ 6XSUHPH &RXUW DW WKH WLPH RI WKH ILQDO 0LFKLJDQ &RXUW RI $SSHDOVGHFLVLRQLQ6HH:LOOLDPV86DW CONCURRENCE UHIHUULQJWR6WULFNODQGDV³FOHDUO\HVWDEOLVKHGSUHFHGHQW´DW __________________ WKHWLPHRID9LUJLQLDVWDWHFRXUW¶VGHFLVLRQ 521$/' /(( *,/0$1 &LUFXLW -XGJH FRQFXUULQJ  , 8QGHU 6WULFNODQG D GHIHQGDQW FODLPLQJ LQHIIHFWLYH IXOO\FRQFXUZLWKWKHOHDGRSLQLRQ¶VFRQFOXVLRQWKDW/\RQV¶V DVVLVWDQFHRIFRXQVHOPXVWVKRZERWKGHILFLHQWSHUIRUPDQFH FRXQVHO ZDV FRQVWLWXWLRQDOO\ LQHIIHFWLYH EHFDXVH RI WKH E\FRXQVHODQGSUHMXGLFHWRWKHGHIHQGDQWUHVXOWLQJIURPWKDW ODZ\HU¶VIDLOXUHWRLQIRUP/\RQVWKDWWKHVWDWHFRXOGDSSHDO GHILFLHQW SHUIRUPDQFH   86 DW   7R EH GHILFLHQW WKHGHFLVLRQRIWKHWULDOMXGJHWRVHQWHQFHKLPDVDMXYHQLOH FRXQVHO¶VSHUIRUPDQFHPXVWIDOOEHORZDQREMHFWLYHVWDQGDUG 0\ UHDVRQ IRU ZULWLQJ VHSDUDWHO\ LV WR H[SODLQ LQ ZKDW , RIUHDVRQDEOHQHVV,GDW+LOO86DW,Q UHJDUGDVDQH[WUHPHO\FORVHFDVHZK\,ILQGWKHZHOOZULWWHQ +LOOZKLFKDSSOLHG6WULFNODQGWRWKHJXLOW\SOHDFRQWH[WWKH GLVVHQWLQJRSLQLRQOHVVSHUVXDVLYHWKDQWKHOHDGRSLQLRQ &RXUW H[SODLQHG WKDW D GHIHQGDQW VKRZV SUHMXGLFH E\ GHPRQVWUDWLQJ³DUHDVRQDEOHSUREDELOLW\WKDWEXWIRUFRXQVHO V /LNHWKHOHDGRSLQLRQ,EHOLHYHWKDWWKH0LFKLJDQ&RXUWRI HUURUV >WKH GHIHQGDQW@ ZRXOG QRW KDYH SOHDGHG JXLOW\ DQG $SSHDOV¶V GHWHUPLQDWLRQ WKDW /\RQV¶V FRXQVHO SHUIRUPHG ZRXOGKDYHLQVLVWHGRQJRLQJWRWULDO´,GDW FRPSHWHQWO\ZDVDQXQUHDVRQDEOHDSSOLFDWLRQRI6WULFNODQGY :DVKLQJWRQ867KHGLVVHQWLQFRQWUDVW $OWKRXJKWKH0LFKLJDQ&RXUWRI$SSHDOVGLGQRWPHQWLRQ ILQGVFRXQVHO¶VSHUIRUPDQFHWREHFRQVWLWXWLRQDOO\FRPSHWHQW HLWKHU+LOORU6WULFNODQGE\QDPHLWGLGDSSO\WKHODZRIWKRVH DFRQFOXVLRQZLWKZKLFK,GLVDJUHHIRUVHYHUDOUHDVRQV FDVHV7KXVZHPXVWH[DPLQHZKHWKHUWKDWFRXUWDSSOLHG +LOODQG6WULFNODQGXQUHDVRQDEO\ )LUVW LQ UHDFKLQJ WKH FRQFOXVLRQ WKDW /\RQV¶V FRXQVHO SURYLGHG FRPSHWHQW UHSUHVHQWDWLRQ WKH GLVVHQW GRHV QRW :HHPSKDVL]HWKDW+LOODQG6WULFNODQGVWDWHWKHUHOHYDQW DGGUHVVWKHIDLOXUHRIFRXQVHOWRLQIRUP/\RQVWKDWWKHVWDWH ODZLQWKLVFDVH5HO\LQJRQDVWULQJRIFLUFXLWFRXUWFDVHVWKH FRXOG DSSHDO WKH WULDO MXGJH¶V VHQWHQFLQJ GHFLVLRQ  7KH ZDUGHQDUJXHVWKDWGHIHQVHFRXQVHO¶VIDLOXUHWRLQIRUP/\RQV GLVVHQWLQVWHDGIRFXVHVVROHO\RQZKHWKHUFRXQVHO¶VVWUDWHJ\ RI WKH SURVHFXWLRQ V ULJKW WR DSSHDO WKH LPSRVLWLRQ RI D ZDVUHDVRQDEOHLQOLJKWRIKLVNQRZOHGJHRIWKHWULDOMXGJH¶V MXYHQLOH VHQWHQFH GRHV QRW FRPSULVH LQHIIHFWLYH DVVLVWDQFH VHQWHQFLQJWHQGHQFLHVWKHUHE\RYHUORRNLQJWKHYHU\RPLVVLRQ EHFDXVH WKH SURVHFXWRU¶V ULJKW RI DSSHDO UHSUHVHQWV D WKDW LQ P\ RSLQLRQ UHQGHUHG WKH SHUIRUPDQFH RI /\RQV¶V FRXQVHOGHILFLHQW  6HFRQG EHFDXVH /\RQV¶V FRXQVHO QHYHU FRQVLGHUHG WKH 7KH FRXUW RI DSSHDOV UHFRJQL]HG WKDW D GHWHUPLQDWLRQ RI ZKHWKHU /\RQV¶ JXLOW\ SOHD ZDV PDGH NQRZLQJO\ DQG YROXQWDULO\ WXUQHG RQ ZKHWKHU SRVVLELOLW\RIWKHVWDWHDSSHDOLQJWKHWULDOMXGJH¶VVHQWHQFLQJ KLV FRXQVHO¶V DGYLFH ZDV ³ZLWKLQ WKH UDQJH RI FRPSHWHQFH GHPDQGHG RI GHFLVLRQ KLV DGYLVLQJ /\RQV WR SOHDG JXLOW\ WR ILUVWGHJUHH DWWRUQH\V LQ FULPLQDO FDVHV´ +D\QHV $IWHU 5HPDQG  1:G DW  PXUGHUFDQQRWEHFRQVLGHUHGDUHDVRQDEOHVWUDWHJLFGHFLVLRQ 6WULFNODQG 6HH  7KLV LV WKH HTXLYDOHQW RI WKH SHUIRUPDQFH LQTXLU\ LQ WRZKLFKGHIHUHQFHVKRXOGEHDFFRUGHG6WULFNODQG86 +LOO  86 DW   HTXDWLQJ 6WULFNODQG¶V SHUIRUPDQFH LQTXLU\ ZLWK DW  H[SODLQLQJ WKDW ³VWUDWHJLF FKRLFHV PDGH DIWHU FRQVLGHUDWLRQ RI ZKHWKHU FRXQVHO¶V DGYLFH ZDV ³ZLWKLQ WKH UDQJH RI FRPSHWHQFH GHPDQGHG RI DWWRUQH\V LQ FULPLQDO FDVHV´ Because WKH WKRURXJKLQYHVWLJDWLRQRIODZDQGIDFWVUHOHYDQWWRSODXVLEOH 0LFKLJDQ &RXUW RI $SSHDOV GHWHUPLQHG /\RQV¶ WULDO FRXQVHO SHUIRUPHG RSWLRQVDUHYLUWXDOO\XQFKDOOHQJHDEOHDQGVWUDWHJLFFKRLFHV DGHTXDWHO\ LW GLG QRW UHDFK WKH TXHVWLRQ ZKHWKHU /\RQV ZDV SUHMXGLFHG E\ PDGH DIWHU OHVV WKDQ FRPSOHWH LQYHVWLJDWLRQ DUH UHDVRQDEOH GHILFLHQW SHUIRUPDQFH  /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

III. CONCLUSION FROODWHUDO DVRSSRVHGWRDGLUHFWFRQVHTXHQFHRIWKHSOHD :HUHMHFWWKLVDUJXPHQWRQWZRJURXQGV We conclude that Lyons received constitutionally ineffective assistance of counsel. We further conclude that a )LUVW WKH ZDUGHQ¶V UHOLDQFH RQ FLUFXLW FRXUW FDVHV LV decision to the contrary on the facts of this case is an LPSURSHU7KH$('3$SURKLELWVXVHRIORZHUFRXUWGHFLVLRQV unreasonable application of clearly established federal law. LQGHWHUPLQLQJZKHWKHUWKHVWDWHFRXUWGHFLVLRQLVFRQWUDU\WR We therefore AFFIRM the federal district court’s conditional RU LV DQ XQUHDVRQDEOH DSSOLFDWLRQ RI FOHDUO\ HVWDEOLVKHG grant of habeas corpus. IHGHUDO ODZ  :LOOLDPV  86 DW  GHILQLQJ ³FOHDUO\ HVWDEOLVKHGODZDVGHWHUPLQHGE\WKH6XSUHPH&RXUW´WRPHDQ KROGLQJVRI6XSUHPH&RXUWGHFLVLRQV+DUULV)GDW  KROGLQJ GLVWULFW FRXUW HUUHG LQ ³UHO\>LQJ@ RQ DXWKRULW\ RWKHUWKDQWKDWRIWKH6XSUHPH&RXUWRIWKH8QLWHG6WDWHVLQ LWVDQDO\VLVXQGHU†G´ 6HFRQG WKH ZDUGHQ¶V DUJXPHQW LV LQFRPSDWLEOH ZLWK 6XSUHPH &RXUW FDVH ODZ  7KH &RXUW GRHV QRW XVH D GLUHFWFROODWHUDOFRQVHTXHQFHFDWHJRUL]DWLRQVFKHPHWRGHFLGH LQHIIHFWLYHDVVLVWDQFHRIFRXQVHOFODLPV,QGHHGLQ+LOOWKH 6XSUHPH&RXUWUHYLHZHGDQ(LJKWK&LUFXLWGHFLVLRQKROGLQJ WKDW SDUROH HOLJLELOLW\ ZDV QRW D ³GLUHFW FRQVHTXHQFH´ RI D JXLOW\SOHD6HH+LOOY/RFNKDUW)GWK &LU7KH&RXUWQRWHGWKLVKROGLQJEXWHVFKHZHGDQ\ VXFKFKDUDFWHUL]DWLRQLQIDYRURIGLUHFWO\DSSO\LQJ6WULFNODQG WRWKHSOHDFRQWH[W+LOO86DW$VWKH&RXUW VWDWHGLQ:LOOLDPV³WKH6WULFNODQGWHVWSURYLGHVVXIILFLHQW JXLGDQFHIRUUHVROYLQJYLUWXDOO\DOOLQHIIHFWLYHDVVLVWDQFHRI FRXQVHOFODLPV´86DW & $QDO\VLV 7KH IHGHUDO GLVWULFW FRXUW FRQFOXGHG WKDW WKH 0LFKLJDQ &RXUWRI$SSHDOVGHFLVLRQZDVDQXQUHDVRQDEOHDSSOLFDWLRQRI +LOO DQG 6WULFNODQG  :H UHYLHZ GH QRYR D GLVWULFW FRXUW¶V OHJDOFRQFOXVLRQVLQDKDEHDVFRUSXVSURFHHGLQJ0LOOHUY )UDQFLV)GWK&LU:KHUHDVKHUH WKHGLVWULFWFRXUW¶VIDFWXDOILQGLQJVDUHEDVHGRQDWUDQVFULSW IURPWKHVWDWHFRXUWSURFHHGLQJVDQGWKHGLVWULFWFRXUWPDNHV QRFUHGLELOLW\GHWHUPLQDWLRQZHDOVRUHYLHZWKRVHILQGLQJVGH QRYR,G:HPXVWGHWHUPLQHZKHWKHULWLVDQXQUHDVRQDEOH DSSOLFDWLRQ RI +LOO DQG 6WULFNODQG WR KROG HLWKHU   WKDW /\RQV¶WULDOFRXQVHOSURYLGHGKLPZLWKREMHFWLYHO\UHDVRQDEOH  /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

DVVLVWDQFH RU  WKDW HYHQ LI /\RQV KDG EHHQ UHDVRQDEO\ need not decide this issue here because other evidence DGYLVHGKHVWLOOZRXOGKDYHSOHGJXLOW\ supports Lyons' claim of prejudice.  3HUIRUPDQFHRI&RXQVHO At the March 1990 plea hearing, Burgess told the court that Lyons wished to offer a plea of guilty "on the basis of" 7KH SURSHU PHDVXUH RI DWWRUQH\ SHUIRUPDQFH LV ZKHWKHU Burgess's belief that he could convince Chief Judge Roberson FRXQVHO¶V DVVLVWDQFH ZDV UHDVRQDEOH ³XQGHU SUHYDLOLQJ to sentence Lyons as a juvenile. Later, at the evidentiary SURIHVVLRQDOQRUPV´DQG³FRQVLGHULQJDOOWKHFLUFXPVWDQFHV´ hearing on Lyons’ motion to withdraw his guilty plea, 6WULFNODQG  86 DW   :H PDNH D FDVHE\FDVH Burgess acknowledged the possibility that, had he considered H[DPLQDWLRQRIWKHHYLGHQFH:LOOLDPV86DWDQG the possibility that the prosecutor would appeal a juvenile ³LQGXOJH D VWURQJ SUHVXPSWLRQ WKDW FRXQVHO¶V FRQGXFW IDOOV sentence, he might not have recommended that Lyons plead ZLWKLQWKHZLGHUDQJHRIUHDVRQDEOHSURIHVVLRQDODVVLVWDQFH´ guilty. Both Lyons and his counsel testified that Lyons relied 6WULFNODQG86DW heavily on the attorney’s advice; thus, evidence that Burgess might have changed his recommendation indicates that 7KH SURIHVVLRQDO QRUPV WKDW JXLGH XV UHVW XSRQ GHIHQVH Lyons would have been more likely to demand a trial rather FRXQVHO¶VIXQGDPHQWDOGXWLHV³WREULQJWREHDUVXFKVNLOODQG than plead guilty. NQRZOHGJHDVZLOOUHQGHUWKHWULDODUHOLDEOHDGYHUVDULDOWHVWLQJ SURFHVV´ DQG ³WR FRQVXOW ZLWK WKH GHIHQGDQW RQ LPSRUWDQW Lyons testified at the plea withdrawal hearing that, when GHFLVLRQVDQGWRNHHSWKHGHIHQGDQWLQIRUPHGRILPSRUWDQW first presented with Burgess's advice that he plead guilty, GHYHORSPHQWVLQWKHFRXUVHRIWKHSURVHFXWLRQ´,GDW Lyons initially "wanted to fight" and put the government to its 7KH IHGHUDO GLVWULFW FRXUW DUWLFXODWHG WKH FLUFXPVWDQFHV burden of proof. Burgess corroborated Lyons’ belief that he UHOHYDQWWRWKHSHUIRUPDQFHLQTXLU\LQWKLVFDVH had defenses to the first degree murder charge. In fact, Burgess and Lyons had been concentrating almost exclusively >7@ULDOFRXQVHO¶VSHUIRUPDQFHZDVGHILFLHQWZLWKLQWKH on trial preparation up until the date of the trial, when the case PHDQLQJ RI WKH6WULFNODQG VWDQGDUG ZKHUH KH IDLOHG WR was transferred to Chief Judge Roberson. Given this DGYLVH SHWLWLRQHU WKDW WKH SURVHFXWRU FRXOG DSSHDO D background, had Burgess advised Lyons of all the risks he MXYHQLOHVHQWHQFHWRD0LFKLJDQDSSHOODWHFRXUWZLWKWKH was facing, Lyons might have pled not guilty. YHU\ UHDO SRVVLELOLW\ WKDW D KLJKHU FRXUW ZRXOG RUGHU SHWLWLRQHU UHVHQWHQFHG DV DQ DGXOW  %HFDXVH RI To meet the prejudice requirement under Strickland and SHWLWLRQHU¶V\RXQJDJHSHWLWLRQHUZDVSDUWLFXODUO\UHOLDQW Hill, Lyons need only show a reasonable probability that he RQKLVDWWRUQH\¶VDGYLFHWRSOHDGJXLOW\WRWKHRIIHQVHVLQ would have pled not guilty had Burgess’s performance been WKLVFDVH,QOLJKWRIFRXQVHO VH[WUDRUGLQDU\DGYLFHWR objectively reasonable. We conclude that Lyons' and SHWLWLRQHUWKDWKHSOHDGJXLOW\WRDQRIIHQVHZKLFKFDUULHG Burgess’s testimony, along with reasonable inferences from D PDQGDWRU\ VHQWHQFH RI OLIH LPSULVRQPHQW ZLWKRXW the facts and circumstances of this case, are sufficient to SDUROHFRXQVHOKDGDGXW\ERWKWRFRQVLGHUDQGWRDGYLVH demonstrate not only a reasonable probability that Lyons SHWLWLRQHURIWKHSURVHFXWRU¶VULJKWWRDSSHDODQ\VHQWHQFH would have decided to plead not guilty but also that a WRWKH0LFKLJDQDSSHOODWHFRXUWVZLWKWKHSRVVLELOLW\WKDW contrary conclusion is objectively unreasonable. SHWLWLRQHU¶V MXYHQLOH VHQWHQFH ZRXOG EH RYHUWXUQHG RQ DSSHDODQGKHZRXOGWKHQKDYHWRVHUYHDQRQSDURODEOH OLIHVHQWHQFH  /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

The warden maintains that if a defendant is aware of the /\RQVY-DFNVRQ1R&9'76OLS2SDW(' maximum possible sentence he cannot be prejudiced by his 0LFK$XJ counsel's failure to inform him of the prosecutor's right to appeal. We decline to adopt the warden’s argument. An /\RQV¶WULDOFRXQVHO%XUJHVVEURXJKWWREHDURQWKLVFDVH awareness of the sentencing range available to the trial judge KLV NQRZOHGJH RI &KLHI -XGJH 5REHUVRQ V VHQWHQFLQJ is not the same as an informed understanding that a SUDFWLFHV:LWKRXWDQ\GRXEWLQWKLVUHJDUG/\RQVLQLWLDOO\ sentencing judge's decision is subject to reversal. The rule EHQHILWWHGIURPFRXQVHO VNQRZOHGJH)XUWKHUPRUH%XUJHVV suggested by the warden would preclude courts from finding DGHTXDWHO\LQIRUPHG/\RQVUHJDUGLQJWKHULVNVDVWKH\UHODWHG prejudice in any situation where the defendant knew the range WR&KLHI-XGJH5REHUVRQ¶VVHQWHQFLQJGHWHUPLQDWLRQ/\RQV of penalties to which he was subject. understood that if he pled guilty Chief Judge Roberson could opt to impose either a severe adult sentence of life Furthermore, the circumstances of this case illustrate the imprisonment or a lenient juvenile sentence. failings of the warden's argument. Lyons pled guilty in hopes of avoiding life imprisonment without parole. A reduced However, Burgess acted incompetently in failing to likelihood of being sentenced as an adult was the sole benefit consider the likelihood that the prosecutor would exercise his of Lyons' guilty plea before Chief Judge Roberson. In reality, right to appeal the district court's imposition of a juvenile the risk of being sentenced as an adult came in two parts: sentence. Any juvenile sentence imposed on Lyons would be (1) being sentenced as an adult by Chief Judge Roberson; and less than five years in a juvenile facility. Given such a lenient (2) having received a juvenile sentence from Chief Judge sentence for first degree murder, it was unreasonable for Roberson, being subject to a successful appeal by the Burgess not to have considered that the prosecutor could prosecutor. Lyons, however, was informed by his attorney, appeal and the juvenile sentence could be reversed. Yet Burgess, of only the first risk. Burgess's failure to assess all Burgess did not factor this scenario into his advice to Lyons the risks and inform his client left Lyons to make the most that pleading guilty was in Lyons’ best interest. important decision of his life without essential information. Presented with all the risks, Lyons might well have decided Thus, Lyons did not know that the prosecutor could appeal to plead not guilty and to take his chances at trial. and that the juvenile sentence could be reversed, and, if so, Lyons would serve a life sentence without possibility of Indeed, Lyons puts forth evidence that he would have pled parole. Lyons was left unaware that, even if Burgess’s not guilty. At the evidentiary hearing on his plea withdrawal assessment on his chances of receiving a juvenile sentence motion, Lyons testified that he would not have pled guilty had from Chief Judge Roberson were correct, this was not a one- he known of the prosecutor’s right to appeal. This testimony, act play in Chief Judge Roberson's courtroom. though self-serving, may be enough by itself to satisfy the prejudice prong under the circumstances here. See Magana Burgess should have considered these possibilities, v. Hofbauer, 263 F.3d 542, 547 n.1 (6th Cir. 2001) (noting informed Lyons about them, and incorporated them into his that, unlike the Seventh and Second Circuits, this Circuit has risk assessment when he advised Lyons about pleading guilty. not explicitly adopted a requirement that in order to establish prejudice a defendant must come forward with objective  evidence in addition to his post-conviction claim that he ,Q DGGLWLRQ %XUJHVV HQWLUHO\ IDLOHG WR FRQVLGHU WKDW DQ DSSHDOV FRXUW IDFHG ZLWK WKH VDPH WZR UDGLFDOO\ GLIIHUHQW VHQWHQFLQJ SRVVLELOLWLHV would have changed his mind about pleading guilty). We DV &KLHI -XGJH 5REHUVRQ PLJKW ZHOO UHYHUVH WKH WULDO FRXUW LQ IDYRU RI WKH PRUH VHYHUH VHQWHQFH  /\RQVY-DFNVRQ 1R 1R /\RQVY-DFNVRQ 

He failed to do so. Rather, he advised Lyons to plead guilty advising him." This case epitomizes the criminal defendant's based solely upon his assessment of the relative risks in going need for what the Supreme Court has called the "guiding hand to trial versus pleading guilty before Chief Judge Roberson. of counsel at every step in the proceeding against him." As a result, Burgess misinformed Lyons regarding the Powell v. Alabama, 287 U.S. 45, 69 (1932). likelihood he would receive an adult sentence. Lyons was not fully apprised of the risks he faced. We conclude that Lyons’ trial counsel was incompetent. It is an objectively unreasonable application of Hill and The duty of defense counsel to consult is paramount when Strickland for the Michigan Court of Appeals to hold a client has to decide whether or not to waive a constitutional otherwise. right, such as the right to trial. Because the decision whether or not to plead guilty ultimately rests with the client, see 2. Prejudice Jones v. Barnes, 463 U.S. 745, 751 (1983) ("the accused has the ultimate authority to make certain fundamental decisions To determine whether Lyons was prejudiced by his regarding the case, as to whether to plead guilty, waive a jury, counsel’s deficient performance, we ask whether there is a testify in his or her own behalf, or take an appeal"); reasonable probability that, had he been advised of the Wainwright v. Sykes, 433 U.S. 72, 93 n.1 (1977) (Burger, prosecutor’s right of appeal, he would not have pled guilty. C.J., concurring) ("[o]nly such basic decisions as whether to A "reasonable probability" is a probability sufficient to plead guilty, waive a jury, or testify in one's own behalf are undermine confidence in the outcome; it is less than a ultimately for the accused to make"), counsel must ensure that preponderance of the evidence. Strickland86DW the client's decision is as informed as possible. Failing even to consider, let alone notify the client of, a factor that could The warden argues that Lyons could not have been negate the entire benefit of the guilty plea is not within the prejudiced by any deficiency on the part of his trial counsel range of professional norms. because Lyons acknowledged at the plea hearing in March 1990 that he could receive an adult sentence of life Lyons’ age and his heavy reliance on Burgess, a reliance of imprisonment without parole.  $FFRUGLQJ WR WKH ZDUGHQ which Burgess was aware, enhanced Burgess’s duty to make "the fact that [Lyons] might not have been told that the certain that Lyons understood all the risks associated with his prosecution could appeal [the juvenile] sentence he was never guilty plea. Lyons was sixteen years old and had a seventh assured of receiving in the first place should be of no grade education. His father knew nothing about the consequence." applicable law. Burgess acknowledges that he was "placed in the role where [he] was both [Lyons'] lawyer and like a parent

 7KH ZDUGHQ DOVR DUJXHV WKDW /\RQV FDQQRW VKRZ SUHMXGLFH EHFDXVH  &LWLQJ WKH 6XSUHPH &RXUW¶V UHFHQW GHFLVLRQ LQ %HOO Y &RQH  DIWHU OHDUQLQJ WKDW WKH SURVHFXWLRQ KDG DSSHDOHG WKH MXYHQLOH VHQWHQFH 6&W   WKH GLVVHQW VWDWHV WKDW DQ DWWRUQH\¶V OHJLWLPDWH WULDO /\RQV IDLOHG WR UHTXHVW WKDW WKH FDVH EH UHPDQGHG WR WKH WULDO FRXUW VR WKDW WDFWLFV GR QRW FRQVWLWXWH GHILFLHQW SHUIRUPDQFH $ GHIHQVH FRXQVHO¶V KH FRXOG ZLWKGUDZ KLV SOHD $ GHIHQGDQW¶V GHFLVLRQ QRW WR DEDQGRQ WKH IDLOXUH WR FRQVLGHU D SURVHFXWRU¶V ULJKW WR DSSHDO LV QRW D WDFWLF RU VWUDWHJ\ DSSHOODWH SURFHVV LQ DQ HIIRUW WR ZLWKGUDZ KLV JXLOW\ SOHD GRHV QRW REYLDWH $ GHIHQVH FRXQVHO¶V IDLOXUH WR LQIRUP RU DGYLVH WKH GHIHQGDQW UHJDUGLQJ SUHMXGLFH WR WKH GHIHQGDQW LQ SOHDGLQJ JXLOW\ DV WKH GHFLVLRQ WR SOHDG KDG WKH VWDWH¶V ULJKW RI DSSHDO DQG WKH DWWHQGDQW FKDQFHV RI UHYHUVDO LV QRW D DOUHDG\ EHHQ PDGH 0RUHRYHU WKH ZDUGHQ¶V FRQWHQWLRQ LV ZHDNHQHG WDFWLF RU VWUDWHJ\ 6XFK RPLVVLRQV RI OHJDO SUDFWLFH DQG OHJDO FRXQVHOLQJ EHFDXVH WKH FDVH UHPDLQHG LQ WKH DSSHDOV FRXUW QRW WKH WULDO FRXUW ZKHUH FDQ QHYHU EH D OHJLWLPDWH GHIHQVH WDFWLF RU VWUDWHJ\ ZLWKGUDZDO SOHDV PXVW EH PDGH