United States v. Cleaves

Court of Appeals for the Sixth Circuit·Decided August 6, 2002·No. 00-5854·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

81,7(' 67$7(6 2) $0(5,&$ ; 3ODLQWLII$SSHOOHH    1R Y  !  '$55

7KH +RQRUDEOH &KDUOHV 5 6LPSVRQ ,,, 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH :HVWHUQ 'LVWULFW RI .HQWXFN\ VLWWLQJ E\ GHVLJQDWLRQ

  8QLWHG6WDWHVY&OHDYHV 1R

21%5,()5REHUW &%URRNV0HPSKLV7HQQHVVHHIRU $SSHOODQW  7KRPDV / 3DUNHU $66,67$17 81,7(' 67$7(6$77251(<0HPSKLV7HQQHVVHHIRU$SSHOOHH BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB 0$57+$ &5$,* '$8*+75(< &LUFXLW sXGJH  7KH GHIHQGDQW'DUU\O&OHDYHVZDVLQGLFWHGDORQJZLWKVHYHQFR GHIHQGDQWVLQDVLQJOHFRXQWLQGLFWPHQWFKDUJLQJFRQVSLUDF\ WRGLVWULEXWHLQH[FHVVRIILYHNLORJUDPVRIFRFDLQHDQG NLORJUDPVRIPDULMXDQD+HZHQWWRWULDODORQHSULRUWRWKH UHOHDVHRIWKH6XSUHPH&RXUWjVRSLQLRQLQ$SSUHQGLY1HZ sHUVH\86  DQGZDVFRQYLFWHGE\DMXU\WKDW KDGQRWEHHQLQVWUXFWHGWRILQGHLWKHUWKHW\SHRUWKHTXDQWLW\ RI FRQWUROOHG VXEVWDQFHV LQYROYHG LQ WKH FRQVSLUDF\  $W VHQWHQFLQJWKHGLVWULFWFRXUWIRXQGWKDWWKHUHFRUGmSODLQO\l VXVWDLQHG D FRQVSLUDF\ WR GLVWULEXWH EHWZHHQ ILYH DQG  NLORJUDPVRIFRFDLQHDQGLPSRVHGDOLIHVHQWHQFHEDVHGRQ WKDWILQGLQJDQGRQDVWDWXWRU\HQKDQFHPHQWUHVXOWLQJIURPWKH GHIHQGDQWj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

 7KH GHIHQGDQW DOVR UDLVHV WKH SRVVLELOLW\ WKDW WKH 6XSUHPH &RXUW PD\ UHYHUVH LWVHOI DQG H[WHQG $SSUHQGL WR UHTXLUH WKDW mWKH IDFW RI D SULRU FRQYLFWLRQ> @ PXVW EH VXEPLWWHG WR D MXU\ DQG SURYHG EH\RQG D UHDVRQDEOH GRXEWl ,Q RUGHU WR SUHVHUYH WKDW JURXQG IRU WKH IXWXUH LW KDV EHHQ LQFOXGHG LQ KLV EULHI RQ DSSHDO 1R 8QLWHG6WDWHVY&OHDYHV 

)RU WKH UHDVRQV VHW RXW EHORZ ZH DJUHH ZLWK WKH JRYHUQPHQWjVSRVLWLRQ )$&78$/$1'352&('85$/+,6725< )URP  WKURXJK  'DUU\O &OHDYHV KLV VHYHQ FR GHIHQGDQWVDQGVHYHUDORWKHUXQLQGLFWHGFRFRQVSLUDWRUVUDQ D GUXJWUDIILFNLQJ RSHUDWLRQ EHWZHHQ 'DOODV 7H[DV DQG 0HPSKLV7HQQHVVHH&OHDYHVDUHVLGHQWRI0HPSKLVZDV LQWURGXFHGWR'DOODVGUXJVXSSOLHUV'DPLHQ*LOODQG0LJXHO 6DUGX\&UX]WKURXJKDIULHQG)UHGsHWHUsHWHUYRXFKHGIRU WKHUHOLDELOLW\RI&OHDYHVWRWKH'DOODVGUXJFRQWDFWVDQGZDV LQWHUPLWWHQWO\LQYROYHGLQWKHDFWXDOSXUFKDVHVRIERWKFRFDLQH DQGPDULMXDQD 6KRUWO\ DIWHU EHLQJ LQWURGXFHG WR 6DUGX\&UX] &OHDYHV EHJDQEX\LQJFRFDLQHIURPKLPRQDUHJXODUEDVLV&OHDYHV PDGHDWOHDVWILYHDQGSRVVLEO\DVPDQ\DVWHQWULSVWR'DOODV LQWKHFRPSDQ\RIDQRWKHUIULHQG5REHUW%ODFNEXUQ'XULQJ HDFKRIWKRVHWULSV&OHDYHVSXUFKDVHGRQHRUWZRNLORJUDPV RIFRFDLQH$IWHUILYHVXFKWUDQVDFWLRQV&OHDYHVDOVREHJDQ VHQGLQJDFRXULHU5DQGROSKm&RZER\l/LJJHQVZKRZRXOG FDUU\ NLORJUDPV RI FRFDLQH IRU &OHDYHV RQ D EXV WUDYHOLQJ IURP 'DOODV WR 0HPSKLV  +DYLQJ HVWDEOLVKHG DQ RQJRLQJ UHODWLRQVKLSZLWK6DUGX\&UX]&OHDYHVYLVLWHGKLPIRUWKH SXUSRVHRIEX\LQJFRFDLQHLQWKHFRPSDQ\RIVHYHUDORIWKH RWKHUFRGHIHQGDQWVLQFOXGLQJsHWHU$GGLWLRQDOO\&OHDYHV DVNHG 6DUGX\&UX] WR FUHDWH D VHFUHW FRPSDUWPHQW LQ KLV DXWRPRELOHIRUWKHSXUSRVHRIWUDQVSRUWLQJFRFDLQHEHWZHHQ 'DOODVDQG0HPSKLV6DUGX\&UX]DJUHHGWRGRVREXLOGLQJ DFRPSDUWPHQWLQWKHIORRURIWKHGHIHQGDQWjVFDUWKDWZDV H[DFWO\WKHVL]HRIDNLOREORFNRIFRFDLQH3ROLFHRIILFHUV ODWHUGLVFRYHUHGLWLQDVHDUFKRI&OHDYHVjVDXWRPRELOH 'XULQJRQHRIWKHWULSVEHWZHHQ'DOODVDQG0HPSKLVsHWHU DQG$QWKRQ\7\URQH+DUULVZHUHVWRSSHGRQ,QWHUVWDWHE\ D7H[DVSROLFHRIILFHUZKRIRXQGDVPDOODPRXQWRIFRFDLQH LQWKHWUXQNRIWKHFDUZKLFKKDGEHHQOHDVHGWKHGD\EHIRUH LQ0HPSKLVE\&OHDYHV  8QLWHG6WDWHVY&OHDYHV 1R 1R 8QLWHG6WDWHVY&OHDYHV 

$IWHU D VHULHV RI VWLQJ RSHUDWLRQV WKH GHIHQGDQWV ZHUH DXWRPRELOH RQ sDQXDU\   DQG UHFRYHUHG D VPDOO MRLQWO\ LQGLFWHG FKDUJHG ZLWK D FRQVSLUDF\ WR mXQODZIXOO\ DPRXQWRIFRFDLQHIURPDMDFNHWLQWKHFDU7KHDXWRPRELOH NQRZLQJO\ DQG LQWHQWLRQDOO\ SRVVHVV  ZLWK WKH LQWHQW WR UHQWHG E\ &OHDYHV ZDV RFFXSLHG E\ WZR RI WKH RWKHU FR GLVWULEXWH DQG FDXVH WKH SRVVHVVLRQ ZLWK WKH LQWHQW WR FRQVSLUDWRUVsHWHUDQG+DUULV$GGLWLRQDOO\WKHIDFWWKDWD GLVWULEXWHDQDPRXQWLQH[FHVVRINLORJUDPVRIFRFDLQHlDQG SROLFHVHDUFKUHYHDOHGWKDW&OHDYHVjVFDUZDVRXWILWWHGZLWKD mWRXQODZIXOO\NQRZLQJO\DQGLQWHQWLRQDOO\SRVVHVVZLWKWKH KLGGHQ FRPSDUWPHQW GHVLJQHG IRU FRFDLQH WUDQVSRUW FRXOG LQWHQW WR GLVWULEXWH DQG FDXVH WKH SRVVHVVLRQ ZLWK LQWHQW WR KDYH OHG D UHDVRQDEOH MXU\ WR FRQFOXGH WKDW &OHDYHV ZDV GLVWULEXWH DQ DPRXQW LQ H[FHVV RI  NLORJUDPV RI LQYROYHG LQ D GUXJ FRQVSLUDF\ ZLWKRXW DQ\ FRQFOXVLYH PDULMXDQDl  7KH LQGLFWPHQW IXUWKHU DOOHJHG WKDW WKH GHWHUPLQDWLRQRIWKHDPRXQWRIFRFDLQHLQYROYHG7KHUHLVQR FRQVSLUDF\mFRQVLVWHGRIDQDJUHHPHQWEHWZHHQDQGDPRQJ LQGLFDWLRQRQWKHUHFRUGWKDWDQ\ODUJHDPRXQWRIFRFDLQHZDV WKHYDULRXVFRFRQVSLUDWRUVDOORZLQJIRUHDFKPHPEHUWKHUHRI HYHUUHFRYHUHGE\WKHDXWKRULWLHVRUHQWHUHGLQWRHYLGHQFHDW WR SHUIRUP FHUWDLQ VSHFLILF IXQFWLRQV GHVLJQHG ZKHQ HDFK WULDO FRQVSLUDWRUSHUIRUPHGKLVRUKHUSDUWWRREWDLQFRFDLQHDQGRU PDULMXDQD>

Free access — add to your briefcase to read the full text and ask questions with AI

United States v. Cleaves, (6th Cir. 2002).

United States v. Cleaves (United States v. Cleaves) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.