United States v. Loney

Opinion

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21 3XUVXDQW WR 6L[WK &LUFXLW 5XOH   8QLWHG6WDWHVY/RQH\ 1R (/(&7521,& &,7$7,21  )(' $SS 3 WK &LU )LOH 1DPH DS &ROXPEXV 2KLR IRU $SSHOOHH  21 %5,()  *RUGRQ +REVRQ )('(5$/ 38%/,& '()(1'(5j6 2)),&( &ROXPEXV2KLRIRU$SSHOODQW0DUFLDs+DUULV81,7(' 81,7('67$7(6&28572)$33($/6 67$7(6$77251(<&ROXPEXV2KLRIRU$SSHOOHH )257+(6,;7+&,5&8,7 BBBBBBBBBBBBBBBBB BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB 81,7(' 67$7(6 2) $0(5,&$ ; 3ODLQWLII$SSHOOHH  526(1'LVWULFWsXGJH   1R ,,1752'8&7,21 Y  ! :KLOHFRQGXFWLQJDsDQXDU\VHDUFKSDUROHRIILFHUV  GLVFRYHUHGDQDXWRPDWLFULIOHLQWKHSRVVHVVLRQRI'HIHQGDQW 67(9(1 * /21(<  $SSHOODQW6WHYHQ*/RQH\$WWKHWLPHRIWKLVGLVFRYHU\ 'HIHQGDQW$SSHOODQW  'HIHQGDQW ZDV RQ SDUROH VWHPPLQJ IURP D  IHORQ\ 1 FRQYLFWLRQLQ2KLRIRUFDUU\LQJDFRQFHDOHGZHDSRQ$JUDQG $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW MXU\LQWKH6RXWKHUQ'LVWULFWRI2KLRVXEVHTXHQWO\LQGLFWHG IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW&ROXPEXV 'HIHQGDQWIRUXQODZIXOO\SRVVHVVLQJDILUHDUPDVDIHORQLQ 1Rn(GPXQG$6DUJXVsU'LVWULFWsXGJH YLRODWLRQ RI  86& † J   7KHUHDIWHU 'HIHQGDQW ILOHGPRWLRQVWRGLVPLVVWKHLQGLFWPHQWDQGWRVXSSUHVVWKH $UJXHG0D\ ULIOHDUJXLQJWKDW†J LVXQFRQVWLWXWLRQDOXQGHUWKH &RPPHUFH &ODXVH DQG WKDW WKH SDUROH RIILFHUV ODFNHG 'HFLGHGDQG)LOHGsXQH UHDVRQDEOH VXVSLFLRQ WR FRQGXFW WKH sDQXDU\  VHDUFK )ROORZLQJDVXSSUHVVLRQKHDULQJWKH'LVWULFW&RXUWGHQLHGWKH %HIRUH1(/621DQG&2/(&LUFXLWsXGJHV526(1 PRWLRQVDQGIRXQG'HIHQGDQWZKRKDGZDLYHGKLVULJKWWR 'LVWULFWsXGJH MXU\WULDOJXLOW\RIYLRODWLQJ†J 'HIHQGDQWDSSHDOV WKHGHQLDORIWKHDIRUHPHQWLRQHGPRWLRQV BBBBBBBBBBBBBBBBB )RUWKHUHDVRQVVHWIRUWKEHORZZH$)),50WKH'LVWULFW &2816(/ &RXUWjVGHQLDORIERWKPRWLRQV $5*8('  *RUGRQ +REVRQ )('(5$/ 38%/,& ,,%$&.*5281' '()(1'(5j6 2)),&( &ROXPEXV 2KLR IRU $SSHOODQW 0DUFLD s +DUULV 81,7(' 67$7(6 $77251(< $)DFWXDO%DFNJURXQG 2Q$XJXVWWKH6WDWHRI2KLRSODFHG'HIHQGDQWRQ

SDUROH IRU WKUHH \HDUV IROORZLQJ KLV 0D\  IHORQ\ 7KH +RQRUDEOH *HUDOG ( 5RVHQ 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH FRQYLFWLRQIRUFDUU\LQJDFRQFHDOHGZHDSRQ7KDWVDPHGD\ (DVWHUQ 'LVWULFW RI 0LFKLJDQ VLWWLQJ E\ GHVLJQDWLRQ

 1R 8QLWHG6WDWHVY/RQH\   8QLWHG6WDWHVY/RQH\ 1R

'HIHQGDQW PHW ZLWK KLV SDUROH RIILFHU &RUH\ '\NVWUD DQG YLRODWRU DW ODUJH UHVSHFWLYHO\  7KHUHDIWHU LQ DQ HIIRUW WR VLJQHG D IRUP DJUHHLQJ WR WKH WHUPV DQG FRQGLWLRQV RI KLV ORFDWH 'HIHQGDQW 2IILFHU '\NVWUD UDQGRPO\ GURYH E\ DQG SDUROH7KHIRUPSURKLELWHG'HIHQGDQWjVSRVVHVVLRQRUXVHRI WHOHSKRQHG D KRXVH RZQHG E\ 'HIHQGDQWjV PRWKHU ZKHUH ILUHDUPVDPPXQLWLRQRUGUXJVUHTXLUHG'HIHQGDQWWRVXEPLW 'HIHQGDQWZDVNQRZQWRUHVLGH:KHQ'HIHQGDQWDQVZHUHG WRGUXJWHVWLQJDQGSURYLGHGIXUWKHU DSKRQHFDOOWRWKHKRXVHRQsDQXDU\2IILFHU'\NVWUD SURPSWO\FRQWDFWHGWKUHHRWKHUSDUROHRIILFHUVDOORIZKRP ,DJUHHWRDVHDUFKZLWKRXWZDUUDQWRIP\SHUVRQP\ SURFHHGHG WR WKH KRXVH ZLWK 2IILFHU '\NVWUD WR DUUHVW PRWRUYHKLFOHRUP\SODFHRIUHVLGHQFHE\DVXSHUYLVLQJ 'HIHQGDQW RIILFHU RU RWKHU DXWKRUL]HG UHSUHVHQWDWLYH RI WKH 'HSDUWPHQWRI5HKDELOLWDWLRQDQG&RUUHFWLRQDWDQ\WLPH $IWHUWHOHSKRQLQJWKHKRXVHDJDLQWRFRQILUP'HIHQGDQWjV 1RWLFH 3XUVXDQW WR VHFWLRQ  RI WKH 5HYLVHG SUHVHQFH 2IILFHU '\NVWUD NQRFNHG DQG LGHQWLILHG KLPVHOI &RGH 2IILFHUV RI WKH $GXOW 3DUROH $XWKRULW\ PD\ :KHQ'HIHQGDQWj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s$DW@ 'HIHQGDQWDVFHQGHGWKHVWDLUVVWLOOZHDULQJWKHVDPHWVKLUW DQG XQGHUZHDU  7KH RIILFHUV WKHQ SODFHG 'HIHQGDQW LQWR 7KHUHDIWHU'HIHQGDQWUHSHDWHGO\WHVWHGSRVLWLYHIRUGUXJV FXVWRG\GUHVVHGKLPDQGUHPRYHGKLPWRDWUDQVSRUWYHKLFOH ,QSDUWLFXODU'HIHQGDQWWHVWHGSRVLWLYHIRUPDULMXDQDXVHLQ RXWVLGH 2FWREHU 1RYHPEHU DQG 'HFHPEHU RI  DIWHU ZKLFK 2IILFHU '\NVWUD RUGHUHG 'HIHQGDQW WR FRPSOHWH VXEVWDQFH $IWHU 'HIHQGDQWjV UHPRYDO IURP WKH KRPH WKH SDUROH DEXVH FRXQVHOLQJ DW 1HLJKERUKRRG +RXVH  'HIHQGDQW RIILFHUV VHDUFKHG 'HIHQGDQWjV EHGURRP ILQGLQJ PDULMXDQD FRQWLQXHG WR XVH GUXJV GXULQJ KLV FRXQVHOLQJ DQG WHVWHG DQGDPPXQLWLRQ7KHRIILFHUVWKHQVHDUFKHG WKHEDVHPHQW SRVLWLYHIRUPDULMXDQDRQ2FWREHUDQG2FWREHU ILQGLQJ D ORDGHG $. ULIOH  7KHUHDIWHU 'HIHQGDQW ZDV DQG PDULMXDQD DQG FRFDLQH RQ 1RYHPEHU    :KHQ VHQWHQFHGWRGD\VRILPSULVRQPHQWIRUYLRODWLQJWKHWHUPV 'HIHQGDQW IDLOHG WR UHSRUW WR 2IILFHU '\NVWUD IRU D DQGFRQGLWLRQVRIKLVSDUROH 'HFHPEHUPHHWLQJKHZDVDUUHVWHGDQGLQFDUFHUDWHG IRUYLRODWLQJWKHWHUPVRIKLVSDUROH$IWHUVHUYLQJQLQHW\WZR %3URFHGXUDO+LVWRU\ GD\V RI LPSULVRQPHQW 'HIHQGDQW DJDLQ ZDV UHOHDVHG WR 2IILFHU '\NVWUDjV VXSHUYLVLRQ LQ 0D\ RI   'HVSLWH $VUHFLWHGDERYHRQsXQHDJUDQGMXU\LQGLFWHG DQRWKHUFRXQVHOLQJDVVLJQPHQWIRUGUXJWUHDWPHQW'HIHQGDQW 'HIHQGDQWXQGHU86&†J 2QsXO\ TXLFNO\ ODSVHG EDFN LQWR GUXJ XVH WHVWLQJ SRVLWLYH IRU PDULMXDQDDQGFRFDLQHRQsXO\DQGSRVLWLYHIRUPDULMXDQD RQ sXO\     $IWHU WKH sXO\  VHVVLRQ 'HIHQGDQW  FHDVHGUHSRUWLQJWR2IILFHU'\NVWUD  86& † J  SURYLGHV

2Q2FWREHUDQG1RYHPEHU2IILFHU'\NVWUD J ,W VKDOO EH XQODZIXO IRU DQ\ SHUVRQo

 ZKR KDV EHHQ FRQYLFWHG LQ DQ\ FRXUW RI D FULPH

LVVXHGDORFDORUGHUIRU'HIHQGDQWjVDUUHVWDQGODEHOHGKLPD SXQLVKDEOH E\ LPSULVRQPHQW IRU D WHUP H[FHHGLQJ RQH \HDU    1R 8QLWHG6WDWHVY/RQH\   8QLWHG6WDWHVY/RQH\ 1R

'HIHQGDQWILOHGDPRWLRQWRGLVPLVVLQGLFWPHQWIRUODFNRI >7@KH 1RULQFR 6.6  FDOLEHU ULIOH VHULDO QXPEHU IHGHUDO MXULVGLFWLRQ RU LQ WKH DOWHUQDWLYH EDVHG RQ KDGEHHQVKLSSHGDQGWUDQVSRUWHGLQLQWHUVWDWH LQVXIILFLHQF\RIHYLGHQFHDUJXLQJWKDW†J YLRODWHV FRPPHUFH WR ZLW WKH ULIOH KDG EHHQ PDQXIDFWXUHG LQ WKH &RPPHUFH &ODXVH E\ QRW UHTXLULQJ D mVXEVWDQWLDOl &KLQD LPSRUWHG E\ .6SRUWV ,PSRUWV ,QF 3RPRQD FRQQHFWLRQWRLQWHUVWDWHFRPPHUFHDQGWKDWWKHJRYHUQPHQW &DOLIRUQLD VKLSSHG WR /HZ +RUWRQ 'LVW &R ,QF LQ ODFNHGHYLGHQFHWRHVWDEOLVKVXFKDVXEVWDQWLDOFRQQHFWLRQ :HVWERUR 0DVVDFKXVHWWV DQG ILQDOO\ VKLSSHG WR 7KDW VDPH GD\ 'HIHQGDQW ILOHG KLV PRWLRQ WR VXSSUHVV 6WDWHZLGH*XQV*DOOLSROLV2KLR DVVHUWLQJWKDWWKHSDUROHRIILFHUVODFNHGUHDVRQDEOHVXVSLFLRQ WRFRQGXFWWKHsDQXDU\VHDUFKWKDWSURGXFHGWKHULIOH2Q >s$DW@  $XJXVWWKH'LVWULFW&RXUWFRQGXFWHGDQHYLGHQWLDU\ KHDULQJRQWKHPRWLRQWRVXSSUHVV2IILFHU'\NVWUDWHVWLILHG 2Q 1RYHPEHU   WKH 'LVWULFW &RXUW GHQLHG DW WKH KHDULQJ WKDW KH EDVHG KLV GHFLVLRQ WR VHDUFK WKH 'HIHQGDQWjV PRWLRQ WR GLVPLVV FLWLQJ ERWK 6L[WK &LUFXLW EHGURRPRQm0U/RQH\jVH[WHQVLYHGUXJSDVWZKLOHXQGHU SUHFHGHQW XSKROGLQJ WKH FRQVWLWXWLRQDOLW\ RI † J DQG VXSHUYLVLRQ DQG KLV SULRU FRQYLFWLRQl >s$ DW @ 'HIHQGDQWjVVWLSXODWLRQTXRWHGDERYHWKDWWKHULIOHKDGEHHQ $FFRUGLQJ WR 2IILFHU '\NVWUD WKH SDUROH RIILFHUV WKHQ VKLSSHGDQGWUDQVSRUWHGLQLQWHUVWDWHFRPPHUFH7KH'LVWULFW VHDUFKHGWKHEDVHPHQWmEHFDXVHLWZDVZKHUH0U/RQH\ZHQW &RXUWDOVRGHQLHG'HIHQGDQWjVPRWLRQWRVXSSUHVVILQGLQJ ZKHQ ZH HQWHUHG WKH KRXVHl  >s$ DW @  2Q FURVV WKDWWKHsDQXDU\VHDUFKZDVDYDOLGVSHFLDOQHHGVVHDUFK H[DPLQDWLRQ2IILFHU'\NVWUDIXUWKHUH[SODLQHGKLVUHDVRQVIRU XQGHU*ULIILQY:LVFRQVLQ866 &W VHDUFKLQJWKHEDVHPHQWDVIROORZV DQGLWVSURJHQ\$IWHUILQGLQJ'HIHQGDQWJXLOW\RI YLRODWLQJ†J WKH'LVWULFW&RXUWVHQWHQFHG'HIHQGDQW +H KDV DFFHVV WR WKDW URRP VR ZH ZHQW WR WKDW URRP WRWKLUW\ILYHPRQWKVRILPSULVRQPHQW $QRWKHUUHDVRQZHVHDUFKHGWKDWEDVHPHQWZDVEHFDXVH GXULQJWKHVHDUFKRIKLVURRPZHXQFRYHUHGQDUFRWLFV ,,,$1$/<6,6 VXVSHFWHGQDUFRWLFV:HDOVRXQFRYHUHGDPPXQLWLRQ6R DWWKLVSRLQWZHILQGDPPXQLWLRQZHDUHWKLQNLQJ7KHUH $0RWLRQWR6XSSUHVV PD\EHDJXQLQWKLVKRXVHVRPHZKHUH6RWKHILUVWSODFH ZHORRNHGZDVWKHEDVHPHQWZKHUH0U/RQH\ZHQWDQG 2QDSSHDO'HIHQGDQWUHQHZVKLVFRQWHQWLRQWKDW2IILFHU WKDWjVZKHUHZHIRXQGWKHULIOH '\NVWUD DQG KLV IHOORZ SDUROH RIILFHUV ODFNHG UHDVRQDEOH JURXQGVWRFRQGXFWWKHsDQXDU\VHDUFK$OWKRXJKZHUHYLHZ >s$DW@ WKH'LVWULFW&RXUWjVILQGLQJVRIIDFWIRUFOHDUHUURUZHUHYLHZ GHQRYRWKHXOWLPDWHTXHVWLRQRIZKHWKHUDVHDUFKVXUYLYHV )ROORZLQJWKHVXSSUHVVLRQKHDULQJWKHSDUWLHVVWLSXODWHGWR FRQVWLWXWLRQDOVFUXWLQ\8QLWHG6WDWHVY3D\QH)GDW 'HIHQGDQWjVSULRUIHORQ\FRQYLFWLRQDQGKLVSRVVHVVLRQRID WK&LU:KHQDVKHUHWKH'LVWULFW&RXUW ILUHDUP'HIHQGDQWDOVRVWLSXODWHGDQGDJUHHGWKDW KDVGHQLHGDPRWLRQWRVXSSUHVVmZHUHYLHZDOOHYLGHQFHLQ DOLJKWPRVWIDYRUDEOHWRWKH*RYHUQPHQWl8QLWHG6WDWHVY *DOORZD\)GWK&LU 6SHFLDO1HHGV6HDUFKHV8QGHU*ULIILQ WR VKLS RU WUDQVSRUW LQ LQWHUVWDWH RU IRUHLJQ FRPPHUFH RU SRVVHVV

LQ RU DIIHFWLQJ FRPPHUFH DQ\ ILUHDUP RU DPPXQLWLRQ RU WR ,Q *ULIILQ Y :LVFRQVLQ  86   6 &W  UHFHLYH DQ\ ILUHDUP RU DPPXQLWLRQ ZKLFK KDV EHHQ VKLSSHG RU

WUDQVSRUWHG LQ LQWHUVWDWH RU IRUHLJQ FRPPHUFH  WKH 6XSUHPH &RXUW GHOLQHDWHG WKH VWDQGDUGV IRU 1R 8QLWHG6WDWHVY/RQH\   8QLWHG6WDWHVY/RQH\ 1R

DQDO\]LQJ VHDUFKHV RI SUREDWLRQHUV XQGHU WKH )RXUWK RUFRQGLWLRQVRISDUROH,GDW$VIRUWKHVHFRQGSURQJ $PHQGPHQW&LWLQJWKHmVSHFLDOQHHGlRIVWDWHVWRFORVHO\ WKHUHDVRQDEOHVXVSLFLRQVWDQGDUGLVOHVVVWULQJHQWWKDQWKH VXSHUYLVHSUREDWLRQHUVWRDVVXUHWKHREVHUYDQFHRISUREDWLRQ SUREDEOHFDXVHUHTXLUHPHQW1RQHWKHOHVVLWVWLOOUHTXLUHVWKDW FRQGLWLRQV WKH *ULIILQ &RXUW XSKHOG DJDLQVW D )RXUWK JLYHQWKHWRWDOLW\RIWKHFLUFXPVWDQFHVSDUROHRIILFHUVSURYLGH $PHQGPHQWFKDOOHQJHD:LVFRQVLQUHJXODWLRQDXWKRUL]LQJWKH mµDUWLFXODEOH UHDVRQVj DQG µD SDUWLFXODUL]HG DQG REMHFWLYH ZDUUDQWOHVVVHDUFKRIDSUREDWLRQHUjVKRPHZKHQDSUREDWLRQ EDVLVjlIRUWKHLUVXVSLFLRQRIDSDUROHYLRODWLRQ,GDW RIILFHUKDVmUHDVRQDEOHJURXQGVlWRVXVSHFWWKHSUHVHQFHRI TXRWLQJ8QLWHG6WDWHVY&RUWH]86 FRQWUDEDQG  ,G DW   6 &W DW   $V 6&W  H[SODLQHG E\ WKH 6XSUHPH &RXUW WKH UHDVRQDEOH JURXQGV VHDUFKDWLVVXHLQ*ULIILQmVDWLVILHGWKHGHPDQGVRIWKH)RXUWK 7KH6HDUFKRIWKH%HGURRPDQG%DVHPHQW $PHQGPHQW EHFDXVH LW ZDV FDUULHG RXW SXUVXDQW WR D UHJXODWLRQ WKDW LWVHOI VDWLVILHV WKH )RXUWK $PHQGPHQWjV $SSO\LQJ WKH ILUVW SURQJ RI WKH *ULIILQ DQDO\VLV 2IILFHU UHDVRQDEOHQHVV UHTXLUHPHQW XQGHU ZHOOHVWDEOLVKHG '\NVWUDDQGKLVIHOORZSDUROHRIILFHUVFRQGXFWHGWKHsDQXDU\ SULQFLSOHVl,GDW6&WDW VHDUFKSXUVXDQWWRDQ2KLRVWDWXWHWKDWDXWKRUL]HVVHDUFKHV RISDUROHHVZLWKRUZLWKRXWDZDUUDQWLIDVXSHUYLVLQJSDUROH %HFDXVHWKHVSHFLDOQHHGVRISDUROHV\VWHPVPLUURUWKRVHRI RIILFHU KDV mUHDVRQDEOH JURXQGVl WR EHOLHYH DPRQJ RWKHU SUREDWLRQV\VWHPVVXEVHTXHQWFRXUWVORJLFDOO\H[WHQGHGWKH UHDVRQVWKDWDSDUROHHmLVQRWFRPSO\LQJZLWKWKHWHUPVDQG *ULIILQ H[FHSWLRQ WR WKH ZDUUDQW DQG SUREDEOH FDXVH FRQGLWLRQV    RI SDUROHl 2KLR 5HY &RGH $QQ UHTXLUHPHQWWRVHDUFKHVRISDUROHHVDVZHOO6HHHJ3D\QH †F 7KHSDUWLHVGRQRWGLVSXWHDQGZHDJUHHWKDW )GDWFLWLQJ*ULIILQIRUWKHSURSRVLWLRQWKDWm>L@Q WKH FRQWH[W RI WKH VSHFLDO QHHGV RI WKH SDUROH V\VWHP WKH SUHVHQFHRIDUHDVRQDEOHUHJXODWRU\VFKHPHFDQPDNHDVHDUFK  XSRQOHVVWKDQSUREDEOHFDXVHµUHDVRQDEOHjIRUSXUSRVHVRIWKH 2KLR ODZ SURYLGHV LQ SHUWLQHQW SDUW

)RXUWK$PHQGPHQWl8QLWHG6WDWHVYsRQHV)G 'XULQJ WKH SHULRG RI D FRQGLWLRQDO SDUGRQ RU SDUROH RI

WK&LUQRWLQJWKDWWKH*ULIILQSULQFLSOHVmDSSO\ WUDQVLWLRQDO FRQWURO RU RI DQRWKHU IRUP RI DXWKRUL]HG UHOHDVH

WRSDUROHHVDWOHDVWWRWKHVDPHGHJUHHDVSUREDWLRQHUVl IURP FRQILQHPHQW LQ D VWDWH FRUUHFWLRQDO LQVWLWXWLRQ WKDW LV

JUDQWHG WR DQ LQGLYLGXDO DQG WKDW LQYROYHV WKH SODFHPHQW RI WKH

,Q DQDO\]LQJ D VSHFLDO QHHGV VHDUFK RI D SDUROHH XQGHU LQGLYLGXDO XQGHU WKH VXSHUYLVLRQ RI WKH DGXOW SDUROH DXWKRULW\

*ULIILQDQGLWVSURJHQ\FRXUWVFRQGXFWDWZRSURQJHGLQTXLU\ DQG GXULQJ D SHULRG RI SRVWUHOHDVH FRQWURO RI D IHORQ LPSRVHG

XQGHU VHFWLRQ  RI WKH 5HYLVHG &RGH DXWKRUL]HG ILHOG

)LUVW FRXUWV H[DPLQH ZKHWKHU WKH UHOHYDQW UHJXODWLRQ RU RIILFHUV RI WKH DXWKRULW\ ZKR DUH HQJDJHG ZLWKLQ WKH VFRSH RI

VWDWXWHSXUVXDQWWRZKLFKWKHVHDUFKZDVFRQGXFWHGVDWLVILHV WKHLU VXSHUYLVRU\ GXWLHV RU UHVSRQVLELOLWLHV PD\ VHDUFK ZLWK RU

WKH)RXUWK$PHQGPHQWjVUHDVRQDEOHQHVVUHTXLUHPHQW6HH ZLWKRXW D ZDUUDQW WKH SHUVRQ RI WKH LQGLYLGXDO RU IHORQ WKH SODFH

3D\QH  )G DW  8QLWHG 6WDWHV Y &RQZD\  RI UHVLGHQFH RI WKH LQGLYLGXDO RU IHORQ DQG D PRWRU YHKLFOH

)GWK&LU,IVRFRXUWVWKHQDQDO\]H DQRWKHU LWHP RI WDQJLEOH RU LQWDQJLEOH SHUVRQDO SURSHUW\ RU RWKHU

UHDO SURSHUW\ LQ ZKLFK WKH LQGLYLGXDO RU IHORQ KDV D ULJKW WLWOH RU

ZKHWKHUWKHIDFWVRIWKHVHDUFKLWVHOIVDWLVI\WKHUHJXODWLRQRU LQWHUHVW RU IRU ZKLFK WKH LQGLYLGXDO RU IHORQ KDV WKH H[SUHVV RU

VWDWXWHDWLVVXH3D\QH)GDW:LWKUHVSHFWWR LPSOLHG SHUPLVVLRQ RI D SHUVRQ ZLWK D ULJKW WLWOH RU LQWHUHVW WR

WKH ILUVW SURQJ RI WKH *ULIILQ DQDO\VLV LW LV QRZ EH\RQG XVH RFFXS\ RU SRVVHVV LI WKH ILHOG RIILFHUV KDYH UHDVRQDEOH JURXQGV TXHVWLRQ WKDW D VWDWH VWDWXWH VXUYLYHV )RXUWK $PHQGPHQW WR EHOLHYH WKDW WKH LQGLYLGXDO RU IHORQ KDV OHIW WKH VWDWH

VFUXWLQ\ LI LW DXWKRUL]HV VHDUFKHV RI SDUROHHV EDVHG RQ D LV QRW DELGLQJ E\ WKH ODZ RU RWKHUZLVH LV QRW FRPSO\LQJ ZLWK WKH

WHUPV DQG FRQGLWLRQV RI WKH LQGLYLGXDO V RU IHORQ V FRQGLWLRQDO

UHDVRQDEOHVXVSLFLRQWKDWDQLQGLYLGXDOLVYLRODWLQJWKHWHUPV SDUGRQ SDUROH WUDQVLWLRQDO FRQWURO RWKHU IRUP RI DXWKRUL]HG

UHOHDVH RU SRVWUHOHDVH FRQWURO 1R 8QLWHG6WDWHVY/RQH\   8QLWHG6WDWHVY/RQH\ 1R

2KLRjVmUHDVRQDEOHJURXQGVlVWDQGDUGPLUURUVWKHUHDVRQDEOH FDXVHGDQDUUHVWZDUUDQWWRLVVXHRQ6HSWHPEHU%XUGHWWH JURXQGV VWDQGDUG ILUVW GLVFXVVHG LQ *ULIILQ DQG ODWHU WKHQ FRQWDFWHG D SDUROH RIILFHU LQ %RZOLQJ *UHHQ QDPHG FKDUDFWHUL]HGDVWKHIHGHUDOUHDVRQDEOHVXVSLFLRQVWDQGDUGE\ 'XYDOO ZKR DJUHHG WR PDNH WKH DUUHVW  ,Q WXUQ 'XYDOO WKLV &RXUW LQ 3D\QH   $FFRUGLQJO\ 25& † F UHTXHVWHGWKDW6PLWKKHOSZLWKWKHDUUHVWZKLFKGLGQRWRFFXU SDVVHVFRQVWLWXWLRQDOPXVWHUDQGWKHYDOLGLW\RIWKHVSHFLDO XQWLO2FWREHUDSSUR[LPDWHO\DPRQWKDQGDKDOIDIWHUWKH QHHGVVHDUFKLQWKHLQVWDQWFDVHWXUQVRQWKHVHFRQGSURQJRI WLS,QWKHFRXUVHRIHIIHFWLQJWKHDUUHVWWKHRIILFHUVORFDWHG WKH*ULIILQDQDO\VLVQDPHO\ZKHWKHU2IILFHU'\NVWUDKDG GUXJVDQGDGLJLWDOVFDOHZKLFKOHGWRWKHLVVXDQFHRIDVHDUFK UHDVRQDEOHJURXQGVWRVXVSHFWWKDW'HIHQGDQWZDVYLRODWLQJ ZDUUDQWWKHGLVFRYHU\RIDQDVVDXOWULIOHDQGWKHSDUROHHjV WKHWHUPVDQGFRQGLWLRQVRIKLVSDUROH$UHYLHZRIWKHUHFRUG HYHQWXDOFRQYLFWLRQLQIHGHUDOFRXUWRQDILUHDUPVFKDUJH,Q UHYHDOVWKDWKHXQTXHVWLRQDEO\GLG ILQGLQJWKDWWKHRIILFHUVODFNHGUHDVRQDEOHVXVSLFLRQIRUWKH LQLWLDO VHDUFK WKH PDMRULW\ LQ 3D\QH ILUVW H[SODLQHG WKDW D )LUVW DQG IRUHPRVW 2IILFHU '\NVWUD WHVWLILHG DW WKH SDUROHHjVmFULPLQDOUHFRUGDORQHGRHVQRWMXVWLI\DVHDUFKRI VXSSUHVVLRQKHDULQJWKDWKHVHDUFKHG'HIHQGDQWjVEHGURRP KLVRUKHUKRPHl)GDW7KHPDMRULW\WKHQ EHFDXVH RI 'HIHQGDQWjV H[WHQVLYH GUXJ SDVW ZKLOH XQGHU FRQFOXGHGWKDWWKHSDUROHHjVFULPLQDOUHFRUGFRXSOHGZLWKDQ VXSHUYLVLRQ   ,Q SRLQW RI IDFW ZKHQ 2IILFHU '\NVWUD XQUHOLDEOHDQGVWDOHWLSDERXWWKHGHIHQGDQWjVSRVVHVVLRQRI SURFHHGHGWR'HIHQGDQWjVUHVLGHQFHRQsDQXDU\RUGHU GUXJV JLYHQ WR D VWDWH SROLFH RIILFHU UDWKHU WKDQ WKH RIDUUHVWLQKDQGKHSRVVHVVHGH[WHQVLYHSHUVRQDONQRZOHGJH GHIHQGDQWjV SDUROH RIILFHU GLG QRW FUHDWH D UHDVRQDEOH RI'HIHQGDQWjVORQJKLVWRU\RIGUXJDEXVHZKLOHRQSDUROHDQG VXVSLFLRQWKDWWKHSDUROHHZDVHQJDJHGLQLOOHJDOGUXJDFWLYLW\ XQGHU VXSHUYLVLRQ  ,QGHHG 2IILFHU '\NVWUD NQHZ WKDW ,G 'HIHQGDQWKDGIDLOHGDWOHDVWHLJKWGUXJWHVWVVLQFHJRLQJRQ SDUROHLQ$XJXVWRILQFOXGLQJKLVODVWWHVWLQsXO\RI 7KHFLUFXPVWDQFHVRIWKHSUHVHQWFDVHKRZHYHUVWDQGLQ  DIWHU ZKLFK 'HIHQGDQW DEVFRQGHG IURP VXSHUYLVLRQ VKDUSFRQWUDVWWR3D\QH+HUH2IILFHU'\NVWUDGLGQRWUHO\ *LYHQ2IILFHU'\NVWUDjVSHUVRQDONQRZOHGJHRI'HIHQGDQWjV VROHO\ RQ 'HIHQGDQWjV FULPLQDO ILUHDUPV UHFRUG  5DWKHU GUXJXVHZKLOHRQSDUROHZHFDQQRWLPDJLQHDVFHQDULRXQGHU 2IILFHU '\NVWUD KDG H[WHQVLYH SHUVRQDO NQRZOHGJH RI ZKLFK2IILFHU'\NVWUDZRXOGQRWKDYHUHDVRQDEO\VXVSHFWHG 'HIHQGDQWjVUHSHDWHGGUXJSUREOHPVLQFOXGLQJDSOHWKRUDRI WKDW 'HIHQGDQW ZDV FRQWLQXLQJ WR HQJDJH LQ LOOLFLW GUXJ IDLOHGGUXJWHVWVDQGXQVXFFHVVIXOWUHDWPHQWSURJUDPVZKLOH DFWLYLW\LQYLRODWLRQRIKLVSDUROHWHUPVDQGFRQGLWLRQV RQSDUROHDQGXQGHUKLVGLUHFWVXSHUYLVLRQ 1RQHWKHOHVV 'HIHQGDQW DUJXHV WKDW WKLV &LUFXLWjV HDUOLHU 0RUHRYHU'HIHQGDQWjVDWWHPSWWRGUDZDQDQDORJ\WRWKH GHFLVLRQLQ3D\QHVXSUDSUHFOXGHVDILQGLQJRIUHDVRQDEOH VWDOH WLS LQ 3D\QH LV VLPSO\ XQDYDLOLQJ  %\ DUJXLQJ WKDW VXVSLFLRQ LQ WKH LQVWDQW FDVH  :H GLVDJUHH  ,Q 3D\QH D 2IILFHU'\NVWUDjVH[WHQVLYHNQRZOHGJHRI'HIHQGDQWjVGUXJ .HQWXFN\VWDWHSROLFHRIILFHULQ%RZOLQJ*UHHQQDPHG6PLWK XVHZDVVWDOHEHFDXVH'HIHQGDQWKDGQRWIDLOHGDGUXJWHVWIRU UHFHLYHGDQDQRQ\PRXVWLSLQ$XJXVWWKDWDSDUROHHZLWK VHYHUDO PRQWKV 'HIHQGDQW HIIHFWLYHO\ DVNV WKH &RXUW WR WZR SULRU GUXJ FRQYLFWLRQV ZKR KDG DEVFRQGHG IURP UHZDUGKLPIRUVNLSSLQJRXWRQKLVSDUROH:HGHFOLQHWRGR VXSHUYLVLRQSRVVHVVHGDODUJHDPRXQWRIPHWKDPSKHWDPLQH VR  $V FRUUHFWO\ QRWHG E\ WKH 'LVWULFW &RXUW 'HIHQGDQWjV LQWKHWUXQNRIKLVFDU7KHUHDIWHU6PLWKFRQWDFWHG%XUGHWWH IDLOXUHWRUHSRUWIRUSDUROHPHHWLQJVIROORZLQJKLVIDLOHGGUXJ WKHVXVSHFWjVSDUROHRIILFHULQ%DUUHQ&RXQW\ZKRHYHQWXDOO\ WHVWLQsXO\RIRQO\VHUYHGWRKHLJKWHQ2IILFHU'\NVWUDjV VXVSLFLRQ WKDW 'HIHQGDQW ZDV FRQWLQXLQJ WR HQJDJH LQ SURKLELWHG GUXJ DFWLYLWLHV LQ YLRODWLRQ RI WKH WHUPV RI KLV SDUROH  8QOLNH D WLS ZKLFK EHFRPHV PRUH DQG PRUH 2KLR 5HY &RGH $QQ † F HPSKDVLV DGGHG 1R 8QLWHG6WDWHVY/RQH\   8QLWHG6WDWHVY/RQH\ 1R

XQUHOLDEOHRYHUWLPHWKHIDLOXUHWRUHSRUWIRUSDUROHPHHWLQJV TXRWLQJ8QLWHG6WDWHVY.QLJKWV866&W DQG GUXJ WHVWV VXJJHVWV WKDW D KDELWXDO GUXJ XVHU KDV   VRPHWKLQJ WR KLGH  /RJLF GLFWDWHV WKDW LI 'HIHQGDQW KDG ZLVKHGWRQHJDWH2IILFHU'\NVWUDjVUHDVRQDEOHVXVSLFLRQWKDW +HUH2IILFHU'\NVWUDWHVWLILHGDWWKHVXSSUHVVLRQKHDULQJ 'HIHQGDQW ZDV FRQWLQXLQJ WR SRVVHVV DQG XVH GUXJV WKDWKHZDVPRWLYDWHGWRVHDUFKWKHEHGURRPE\0U/RQH\jV 'HIHQGDQWVKRXOGKDYHUHSRUWHGIRUKLVVXSHUYLVRU\PHHWLQJV H[WHQVLYHGUXJSDVWZKLOHXQGHUVXSHUYLVLRQ,QFRQWUDVWWR DQGSDVVHGKLVGUXJWHVWV &DUQHVWKHUHFRUGLQWKLVFDVHDERXQGVZLWKHYLGHQFHIRU H[DPSOH 'HIHQGDQWjV PXOWLSOH IDLOHG GUXJ WHVWV ZKLOH RQ )LQDOO\ XQOLNH 3D\QH WKH SUHVHQW FDVH GRHV QRW LQYROYH SDUROH DQG XQGHU 2IILFHU '\NVWUDjV VXSHUYLVLRQ  RYHUWRQHV WKDW UHJXODU ODZ HQIRUFHPHQW RIILFHUV LQ HIIHFW FRUURERUDWLQJ2IILFHU'\NVWUDjVSURIIHUHGPRWLYDWLRQIRUWKH XVXUSHGDSDUROHRIILFHUjVDELOLW\WRFRQGXFWDVSHFLDOQHHGV sDQXDU\  VHDUFK  0RUHRYHU 'HIHQGDQW KDV RIIHUHG  QR VHDUFK EDVHG RQ OHVV WKDQ SUREDEOH FDXVH   ,Q 3D\QH WKH HYLGHQFHFDVWLQJHYHQDVFLQWLOODRIGRXEWRQ2IILFHU'\NVWUDjV DUUHVWDQGVHDUFKZHUHFRQGXFWHGE\WKUHHSDUROHRIILFHUVDQG VWDWHPHQWWKDWKHZDVPRWLYDWHGWRVHDUFKWKHEHGURRPE\KLV WKUHH VWDWH SROLFH RIILFHUV RQH RI ZKRP WHVWLILHG WKDW KH H[WHQVLYHSHUVRQDONQRZOHGJHRI'HIHQGDQWjVGUXJXVH,Q YLHZHGWKHDUUHVWDVDQRSSRUWXQLW\WRKDYHDSUREDWLRQSDUROH VXP&DUQHVSURYLGHVQREDVLVIRULQYDOLGDWLQJWKHVHDUFKRI RIILFHUKHOSKLPJHWLQWRWKHGHIHQGDQWjVWUDLOHU6HH)G WKHEHGURRPLQWKLVFDVH DW+HUH2IILFHU'\NVWUDDQGKLVIHOORZSDUROHRIILFHUV HIIHFWHGWKHDUUHVWDQGVHDUFKZLWKRXWKHOSIURPWKHSROLFH,Q )LQDOO\WKHUHZDVQRWKLQJLPSURSHUDERXWWKHVHDUFKRIWKH VKRUWJLYHQWKHWRWDOLW\RIWKHFLUFXPVWDQFHVLWZRXOGKDYH EDVHPHQW2IILFHU'\NVWUDWHVWLILHGDWWKHVXSSUHVVLRQKHDULQJ EHHQ XQUHDVRQDEOH IRU 2IILFHU '\NVWUD QRW WR VXVSHFW WKDW WKDWKHJURXQGHGKLVGHFLVLRQWRVHDUFKWKHEDVHPHQWRQKLV 'HIHQGDQW ZDV FRQWLQXLQJ WR YLRODWH KLV SDUROH WHUPV E\ NQRZOHGJH RI 'HIHQGDQWjV SULRU FRQFHDOHG ZHDSRQV SRVVHVVLQJDQGXVLQJGUXJV /LNHZLVH'HIHQGDQWjVUHOLDQFH FRQYLFWLRQDFRQYLFWLRQIRUZKLFK'HIHQGDQWZDVRQSDUROH RQ8QLWHG6WDWHVY&DUQHV)GWK&LULV DW WKH WLPH RI WKH VHDUFK  WKH GLVFRYHU\ RI GUXJV DQG PLVSODFHG,Q&DUQHVSROLFHDQGSDUROHRIILFHUVVHL]HGDXGLR DPPXQLWLRQ LQ 'HIHQGDQWjV EHGURRP DQG WKH IDFW WKDW WDSHV GXULQJ D VHDUFK LPPHGLDWHO\ IROORZLQJ D SDUROHHjV 'HIHQGDQW IOHG WR WKH EDVHPHQW ZKHQ WKH DXWKRULWLHV ILUVW DUUHVW  7KUHH PRQWKV ODWHU DQ $VVLVWDQW 8QLWHG 6WDWHV HQWHUHGWKHKRXVH:LWKRXWTXHVWLRQWKHVHXQGLVSXWHGDQG $WWRUQH\OLVWHQHGWRWKHWDSHVDQGGHWHUPLQHGWKDWWKH\IRUPHG DUWLFXODEOHIDFWVIRUPHGDVROLGIRXQGDWLRQIRU2IILFHU'\NVWUD WKH EDVLV IRU D ZLUHWDSSLQJ FKDUJH  ,Q UHMHFWLQJ WKH WR UHDVRQDEO\ VXVSHFW WKDW WKHUH ZDV FRQWUDEDQG LQ WKH JRYHUQPHQWjVDUJXPHQWWKDWWKHWDSHVZHUHOLVWHQHGWRIRUWKH SXUSRVHRIKHOSLQJWRHVWDEOLVKDYLRODWLRQRIWKHSDUROHHjV UHVLGHQF\UHTXLUHPHQWWKHPDMRULW\QRWHGWKHODFNRIUHFRUG HYLGHQFHVXSSRUWLQJWKLVWKHRU\DQGWKDWWKHJRYHUQPHQWjV  WKDW .QLJKWV GLG QRW LQYROYH D VSHFLDO QHHGV VHDUFK XQGHU

IDLOXUH WR OLVWHQ WR WKH WDSHV IRU VHYHUDO PRQWKV VXJJHVWHG *LYHQ

*ULIILQ EXW UDWKHU RUGLQDU\ )RXUWK $PHQGPHQW DQDO\VLV WKH &DUQHV VRPHRWKHUPRWLYDWLRQ,QUHDFKLQJWKLVGHFLVLRQWKHPDMRULW\ GHFLVLRQjV UHOLDQFH RQ .QLJKWV IRU WKH SURSRVLWLRQ WKDW FRXUWV PXVW HPSKDVL]HG WKDW ZKHUH WKH JRYHUQPHQW FODLPV WKDW VSHFLDO H[DPLQH WKH DFWXDO PRWLYDWLRQ RI RIILFHUV LQ *ULIILQ VW\OH SDUROHH VHDUFK QHHGV MXVWLI\ D VHDUFK DQG VHL]XUH EDVHG RQ UHDVRQDEOH FDVHV LV SX]]OLQJ WR VD\ WKH OHDVW 6HH .QLJKWV  86 DW   6 &W

VXVSLFLRQUDWKHUWKDQSUREDEOHFDXVHmDFRXUWPXVWORRNWRWKH DW  QRWLQJ WKDW ZLWK WKH OLPLWHG H[FHSWLRQ RI VRPH VSHFLDO QHHGV DQG DGPLQLVWUDWLYH VHDUFK FDVHV mZH KDYH EHHQ XQZLOOLQJ WR HQWHUWDLQ )RXUWK µDFWXDOPRWLYDWLRQVRILQGLYLGXDORIILFHUVjl)GDW $PHQGPHQW FKDOOHQJHV EDVHG RQ WKH DFWXDO PRWLYDWLRQV RI LQGLYLGXDO RIILFHUVl 7KDW EHLQJ VDLG WKH UHFRUG LQ WKLV FDVH LV GHYRLG RI DQ\ HYLGHQFH VXJJHVWLQJ WKDW 2IILFHU '\NVWUDjV SURIIHUHG PRWLYDWLRQV IRU WKH sDQXDU\  VHDUFK ZHUH SUHWH[WXDO 1R 8QLWHG6WDWHVY/RQH\   8QLWHG6WDWHVY/RQH\ 1R

EDVHPHQW LQ YLRODWLRQ RI 'HIHQGDQWjV SDUROH WHUPV DQG )LQDOO\JLYHQWKDW†J GRHVQRWUHTXLUHDVXEVWDQWLDO FRQGLWLRQV FRQQHFWLRQWRLQWHUVWDWHFRPPHUFHDQGJLYHQWKDW'HIHQGDQW VWLSXODWHGWRWKHIDFWWKDWKLVULIOHZDVVKLSSHGDQGWUDQVSRUWHG %0RWLRQWR'LVPLVV LQLQWHUVWDWHFRPPHUFHQDPHO\IURP&KLQDWR&DOLIRUQLD WR0DVVDFKXVHWWVWR2KLRZHILQGZKROO\ZLWKRXWPHULW :HQH[WWXUQRXUDWWHQWLRQWR'HIHQGDQWjVDVVHUWLRQWKDW 'HIHQGDQWjV ODVW DUJXPHQW WKDW WKH *RYHUQPHQW ODFNHG 86&†J LVXQFRQVWLWXWLRQDOXQGHUWKH&RPPHUFH VXIILFLHQWHYLGHQFHWRHVWDEOLVKWKDW'HIHQGDQWjVSRVVHVVLRQRI &ODXVHEHFDXVHLWIDLOVWRUHTXLUHWKDWDIHORQjVSRVVHVVLRQRI WKHULIOHmVXEVWDQWLDOO\lDIIHFWHGLQWHUVWDWHFRPPHUFH ILUHDUPV mVXEVWDQWLDOO\l DIIHFW LQWHUVWDWH FRPPHUFH  :H UHYLHZDPRWLRQFKDOOHQJLQJWKHFRQVWLWXWLRQDOLW\RIDIHGHUDO ,9&21&/86,21 VWDWXWHGHQRYR&DUQHV)GDWFLWLQJ8QLWHG6WDWHV Y6PLWK)GWK&LU  )RU DOO RI WKH DIRUHPHQWLRQHG UHDVRQV ZH $)),50 WKH 'LVWULFW&RXUWjVGHQLDORI'HIHQGDQWjVPRWLRQV $V DFNQRZOHGJHG DQG FRQFHGHG E\ 'HIHQGDQW KLV FRQVWLWXWLRQDO DUJXPHQW UXQV FRXQWHU WR 6XSUHPH &RXUW SUHFHGHQWDQGQXPHURXVGHFLVLRQVRIWKLV&LUFXLWILQGLQJWKDW † J  UHSUHVHQWV D YDOLG H[HUFLVH RI &RQJUHVVj OHJLVODWLYH SRZHU XQGHU WKH &RPPHUFH &ODXVH  6HH 6FDUERURXJKY8QLWHG6WDWHV866&W &DUQHV)GDW8QLWHG6WDWHVY&KHVQH\ )GWK&LU8QLWHG6WDWHVY7XUQHU )G   WK &LU  VHH DOVR 8QLWHG 6WDWHV Y 1DSLHU  )G   WK &LU  UHMHFWLQJ WKH FRQWHQWLRQWKDW†J ZKLFKXVHVWKHVDPHFRPPHUFH ODQJXDJHDV†J UHTXLUHVWKHJRYHUQPHQWWRHVWDEOLVK DmVXEVWDQWLDOlFRQQHFWLRQWRLQWHUVWDWHFRPPHUFH,QOLJKW RI WKHVH GHFLVLRQV ZH VHH QR UHDVRQ WR UHYLVLW WKLV VHWWOHG LVVXHKHUH

 7KH 6XSUHPH &RXUW LQ .QLJKWV  86 DW   6 &W DW  UHFHQWO\ XSKHOG D SROLFH RIILFHUj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