United States v. Roper

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$SSHOOHH    1R Y  !  /(112; /,19$/ 523(5  'HIHQGDQW$SSHOODQW  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH(DVWHUQ'LVWULFWRI7HQQHVVHHDW.QR[YLOOH 1RnsDPHV+sDUYLV'LVWULFWsXGJH $UJXHG$XJXVW 'HFLGHGDQG)LOHG6HSWHPEHU %HIRUH&/$<*,/0$1DQG:$//$&(&LUFXLW sXGJHV

7KH +RQRUDEOH s &OLIIRUG :DOODFH &LUFXLW sXGJH RI WKH 8QLWHG 6WDWHV &RXUW RI $SSHDOV IRU WKH 1LQWK &LUFXLW VLWWLQJ E\ GHVLJQDWLRQ

  8QLWHG6WDWHVY5RSHU 1R

BBBBBBBBBBBBBBBBB &2816(/ $5*8('  & 0DUN 3LFNUHOO 1DVKYLOOH 7HQQHVVHH IRU $SSHOODQW  'DYLG 3 )ROPDU sU $66,67$17 81,7(' 67$7(6$77251(<.QR[YLOOH7HQQHVVHHIRU$SSHOOHH 21 %5,()  & 0DUN 3LFNUHOO 1DVKYLOOH 7HQQHVVHH IRU $SSHOODQW  'DYLG & sHQQLQJV $66,67$17 81,7(' 67$7(6$77251(<.QR[YLOOH7HQQHVVHHIRU$SSHOOHH  BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB 521$/'/((*,/0$1&LUFXLWsXGJH/HQQR[/LQYDO 5RSHUZDVLQGLFWHGIRUFRQVSLULQJWRGLVWULEXWHFRFDLQH K\GURFKORULGHDQG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6SHFLILFDOO\WKHIRXUFRFRQVSLUDWRUVDV ZHOODVDQRWKHULQGLYLGXDO'HQWZRUWK'DYLVZHUHDUUHVWHGLQ 5RSHUjV UHVLGHQFH DIWHU sDPHV :DUUHQ D JRYHUQPHQW LQIRUPDQWGHOLYHUHGWKUHHNLORJUDPVRIFRFDLQHWR5RSHUDQG KLVFRFRQVSLUDWRUV7KHSROLFHKDGREWDLQHGDVHDUFKZDUUDQW IRU5RSHUjVUHVLGHQFHLQDQWLFLSDWLRQRI:DUUHQjVGHOLYHU\  8QLWHG6WDWHVY5RSHU 1R 1R 8QLWHG6WDWHVY5RSHU 

GUXJRIIHQVHLQYROYLQJFUDFNFRFDLQHl,GDW 7KXVRQWKH  ,PPHGLDWHO\DIWHUWKHIRXUFRFRQVSLUDWRUVDQG'DYLVZHUH EDVLVRI6WDIIRUG+DUSHUDQG3UXLWWZHKROGWKDW5RSHUKDV DUUHVWHGWKHSROLFHIRXQGDIRXUWKNLORJUDPRIFRFDLQHKLGGHQ IDLOHG WR GHPRQVWUDWH WKDW KLV VHQWHQFH LV LQ YLRODWLRQ RI XQGHUQHDWKWKHEHGLQWKHURRPZKHUH0RUULVZDVDUUHVWHG $SSUHQGL :DUUHQKDGHDUOLHUREVHUYHG0RUULVKLGLQJVRPHWKLQJXQGHU WKHEHGGXULQJWKHLULQWHUDFWLRQLPPHGLDWHO\EHIRUHWKHDUUHVW ,,,&21&/86,21 7ZRPRUHNLORJUDPVRIFRFDLQHZHUHUHFRYHUHGIURPDFDU RZQHGE\0RUULVjVPRWKHUWKDWZDVSDUNHGLQWKHGULYHZD\RI )RU DOO WKH UHDVRQV VHW IRUWK DERYH ZH $)),50 WKH 5RSHUj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jVUHVLGHQFHWRPHHWZLWK0RUULVDQG 5RSHURQWKHGD\RIWKHLUDUUHVWVKHKDGREVHUYHG'DYLVDQG 0DOFROP GLVFXVVLQJ WKH DPRXQW RI PRQH\ WKH\ QHHGHG WR SXUFKDVHGUXJV 1XPHURXVRWKHUZLWQHVVHVDOVRFRQQHFWHG5RSHUWRWKHGUXJ FRQVSLUDF\2QHZLWQHVVZDV7DPP\0D\QDUGZKRZDVD IRUPHUORYHURI%UHQGD%URZQ0RUULVjVPRWKHU0D\QDUG WHVWLILHG WKDW 5RSHU SDLG WKH UHQW RQ %UHQGD %URZQjV UHVLGHQFH  ,Q UHWXUQ %UHQGD %URZQ DOORZHG 5RSHU WR PDLQWDLQDVDIHDWKHUKRXVHZKLFKZDVIRXQGWRFRQWDLQWZR NLORJUDPV RI FRFDLQH DQG DQ XQVSHFLILHG DPRXQW RI FDVK $GGLWLRQDO FRFDLQH ZDV VWRUHG LQ D GLDSHU EDJ RQ WKH SUHPLVHV0D\QDUGDOVRWHVWLILHGWKDW%UHQGD%URZQZRXOG  8QLWHG6WDWHVY5RSHU 1R 1R 8QLWHG6WDWHVY5RSHU 

RFFDVLRQDOO\VHOOVRPHRIWKHFRFDLQHKHUVHOIDQGJLYHSDUWRI   6WDIIRUG LQYROYHG D GHIHQGDQW ZKR DUJXHG WKDW KLV WKHSURFHHGVWR5RSHU VHQWHQFHHUURQHRXVO\UHIOHFWHGDQHQKDQFHPHQWIRUmFUDFNl FRFDLQHZKHQKLVLQGLFWPHQWVSHFLILHGQHLWKHUGUXJTXDQWLWLHV $QRWKHUZLWQHVV6WHYHQ0HQGHQKDOOWHVWLILHGWKDWKHKDG QRU GUXJ W\SH  ,G DW   7KLV FRXUW KRZHYHU KHOG WKDW SXUFKDVHG FRFDLQH IURP 5RSHU RQ QXPHURXV RFFDVLRQV m'HIHQGDQWjV IDLOXUH WR UDLVH DQ\ VRUW RI FKDOOHQJH LQ WKH EHJLQQLQJLQ+HDOVRUHYHDOHGWKDWKHKDGUHFHLYHGD SURFHHGLQJVEHORZRSHUDWHVDVDQDGPLVVLRQDVWRWKHGUXJ UHGXFHG VHQWHQFH RQ KLV XQUHODWHG RIIHQVH RI DUPHG EDQN W\SHV DQG TXDQWLWLHV VHW IRUWK LQ WKH >365@ DQG WKHUHE\ UREEHU\LQH[FKDQJHIRUKLVWHVWLPRQ\5RSHUREMHFWHGWRWKH SURYLGHV WKH UHTXLVLWH IDFWXDO EDVLV WR VXVWDLQ 'HIHQGDQWjV DGPLVVLRQRI0HQGHQKDOOjVWHVWLPRQ\RQWKHJURXQGWKDWWKH HQKDQFHG VHQWHQFH IRU D GUXJ RIIHQVH LQYROYLQJ FUDFN JRYHUQPHQWKDGYLRODWHG86&†F WKHIHGHUDO FRFDLQHl,GDW FLWLQJ3UXLWW)GDW ZLWQHVV DQWLJUDWXLW\ VWDWXWH  7KH GLVWULFW FRXUW KRZHYHU RYHUUXOHG 5RSHUjV REMHFWLRQ DQG DOORZHG 0HQGHQKDOO WR ,Q UHMHFWLQJ 6WDIIRUGjV $SSUHQGL DUJXPHQW WKLV FRXUW WHVWLI\ UHDVRQHGWKDWWKHm'HIHQGDQWjVIDFWXDODGPLVVLRQVLQWKLVFDVH REYLDWHDQ\SRVVLEOHFRQFHUQVDERXWWKHSURSHUVWDQGDUGRI )LYHDGGLWLRQDOZLWQHVVHVn0DXULFH&ODUN/HUR\sRQHV SURRIl,GDW 7KHFRXUWSRLQWHGRXWWKDWWKH6XSUHPH sHIIUH\6LPSVRQ:DUUHQDQG0LFKDHO:KLWHGnWHVWLILHG &RXUW LQ $SSUHQGL LWVHOI GLVWLQJXLVKHG LWV SULRU UXOLQJ LQ WKDW WKH\ KDG SXUFKDVHG FRFDLQH IURP 5RSHU RQ YDULRXV $OPHQGDUH]7RUUHVY8QLWHG6WDWHV86RQ RFFDVLRQVEHWZHHQ)HEUXDU\RIDQG0D\RI,Q WKH JURXQG WKDW WKH GHIHQGDQW LQ $OPHQGDUH]7RUUHV KDG DGGLWLRQ WKUHH RWKHU ZLWQHVVHV VDLG WKDW WKH\ KDG ERXJKW DGPLWWHGWRWKHSULRUIHORQ\FRQYLFWLRQVXVHGWRHQKDQFHKLV FRFDLQH IURP 5RSHU LQ mFRQWUROOHGl EX\V  $OO RI WKHVH VHQWHQFH7KHUHZDVWKXVmQRTXHVWLRQFRQFHUQLQJWKH ZLWQHVVHV LGHQWLILHG WKH VSHFLILF GDWHV RI WKHLU GUXJ VWDQGDUGRISURRIWKDWZRXOGDSSO\WRDFRQWHVWHGLVVXHRIIDFW WUDQVDFWLRQVDVZHOODVWKHDPRXQWVRIFRFDLQHWKDWWKH\KDG >WKDW@ ZDV EHIRUH WKH &RXUWl LQ $OPHQGDUH]7RUUHV SXUFKDVHG&ODUNDOVRWHVWLILHGWKDWKLVGUXJEX\VIURP5RSHU $SSUHQGL  86 DW   ,QGHHG HYHQ WKH FRQFXUULQJ ZHUHmDVVRFLDWHGZLWKl0RUULV RSLQLRQ LQ 6WDIIRUG ZKLFK ZRXOG KDYH IRXQG PHULW LQ 6WDIIRUGjV $SSUHQGL DUJXPHQW EXW IRU WKH IDFW WKDW WKH :DUUHQGHWDLOHGWKHHYHQWVVXUURXQGLQJWKH0D\ VHQWHQFHGLGQRWDIIHFWKLVVXEVWDQWLDOULJKWVDFNQRZOHGJHG DUUHVWDVZHOODVKLVSULRUGHDOLQJVZLWK5RSHU+HVDLGWKDW WKH ODFN RI DQ $SSUHQGL SUREOHP LQ D FDVH OLNH +DUSHU KHDQG5RSHUZRXOGEUHDNGRZQWKHNLORJUDPVRIFRFDLQH EHFDXVHm+DUSHUXQOLNH>6WDIIRUG@FOHDUO\VWLSXODWHGWRDGUXJ VHSDUDWHWKHPLQWREDJVRIVPDOOHUTXDQWLWLHVDQGWKHQVHOOWKH TXDQWLW\ IDOOLQJ XQGHU † E  % ZKLFK SURYLGHG WKH EDJJHGFRFDLQHWR5RSHUjVFXVWRPHUV:DUUHQDOVRWHVWLILHG UDQJHZLWKLQZKLFKKHZDVVHQWHQFHGl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jV DJUHHPHQW QRW WR SXUVXH D ILUHDUP ZLWK5RSHUDQG0RUULVZHUHWKHUHIRUHWDSHGDQGPRQLWRUHG HQKDQFHPHQW7KLVH[SUHVVDJUHHPHQWmSURYLGHVWKHUHTXLVLWH ZLWK:DUUHQjVFRQVHQW IDFWXDOEDVLVWRVXVWDLQ'HIHQGDQWjVHQKDQFHGVHQWHQFHIRUD  8QLWHG6WDWHVY5RSHU 1R 1R 8QLWHG6WDWHVY5RSHU 

HUURUl VWDQGDUG  )HG 5 &ULP 3 E VHH DOVR 8QLWHG 5RSHUZDVFKDUJHGZLWKFRQVSLULQJWRGLVWULEXWHFRFDLQH 6WDWHV Y 3DJH  )G   WK &LU  K\GURFKORULGHEHWZHHQ)HEUXDU\RIDQG0D\RILQ DSSO\LQJWKHSODLQHUURU VWDQGDUGLQDGUXJTXDQWLW\FDVH YLRODWLRQ RI  86& ††  DQG E  $ DQG )RU D FKDOOHQJH WR EH VXFFHVVIXO XQGHU SODLQ HUURU UHYLHZ SRVVHVVLQJFRFDLQHK\GURFKORULGHZLWKLQWHQWWRGLVWULEXWH mWKHUHPXVWEHHUURUWKDWLVSODLQDQGWKDWDIIHFW>V@ RQ0D\LQYLRODWLRQRI86&††D DQG VXEVWDQWLDOULJKWV,IDOOWKUHHFRQGLWLRQVDUHPHWDQDSSHOODWH E  %  ,Q GHWHUPLQLQJ WKH DPRXQW RI FRFDLQH FRXUW PD\ WKHQ H[HUFLVH LWV GLVFUHWLRQ WR QRWLFH D IRUIHLWHG DWWULEXWDEOH WR 5RSHU WKH SUREDWLRQ RIILFHU UHOLHG RQ WKH HUURUEXWRQO\LIWKHHUURUVHULRXVO\DIIHFW>V@WKHIDLUQHVV WHVWLPRQ\RI&ODUNsRQHV0D\QDUG6LPSVRQDQG:DUUHQ LQWHJULW\ RU SXEOLF UHSXWDWLRQ RI MXGLFLDO SURFHHGLQJVl EXWGLGQRWLQFOXGHWKHDPRXQW5RSHUSXUFKDVHGLQDQ\RIWKH sRKQVRQY8QLWHG6WDWHV86FLWDWLRQV FRQWUROOHGEX\V7KHSUREDWLRQRIILFHURQWKHEDVLVRIWKLV DQGLQWHUQDOTXRWDWLRQPDUNVRPLWWHGEUDFNHWVLQRULJLQDO WHVWLPRQ\GHWHUPLQHGWKDW5RSHUVKRXOGEHKHOGDFFRXQWDEOH IRU  WZR NLORJUDPV RI FRFDLQH ZLWK UHVSHFW WR &ODUN :HILQG5RSHUjV$SSUHQGLFKDOOHQJHWREHZLWKRXWPHULW  RQHKDOI NLORJUDP ZLWK UHVSHFW WR sRQHV  WKUHH (YHQ LI KH FRXOG RWKHUZLVH VKRZ WKDW DQ $SSUHQGL LVVXH NLORJUDPVZLWKUHVSHFWWR6LPSVRQDQGILYHDQGDKDOI DIIHFWHGKLVVXEVWDQWLDOULJKWVWKLVFRXUWLQ8QLWHG6WDWHVY NLORJUDPVZLWKUHVSHFWWR:DUUHQ$OWKRXJKWKHSUREDWLRQ +DUSHU)GWK&LUKDVHVWDEOLVKHGWKDW RIILFHU GLG QRW UHFRPPHQG KROGLQJ 5RSHU UHVSRQVLEOH IRU $SSUHQGL LV QRW LPSOLFDWHG ZKHUH WKH GHIHQGDQW KDV 0HQGHQKDOOjV RU :KLWHGjV SXUFKDVHV KH GLG UHFRPPHQG mVWLSXODWHG WR WKH DPRXQW RI GUXJV IRU ZKLFK KH ZDV KHOG KROGLQJ5RSHUDFFRXQWDEOHIRUWKHWZRNLORJUDPVRIFRFDLQH UHVSRQVLEOH DQG WKH GLVWULFW FRXUW GLG QRW UHO\ RQ DQ\ IDFW VWRUHGLQ%UHQGD%URZQjVVDIHDQGIRUWKHWKUHHNLORJUDPVRI RXWVLGHRIWKHSOHDDJUHHPHQWWRGHWHUPLQHGUXJTXDQWLW\DW FRFDLQHSXUFKDVHGRQWKHGD\RI5RSHUjVDUUHVW$FFRUGLQJO\ VHQWHQFLQJl  ,G DW VWDWLQJ WKDW mWKH SULQFLSOHV WKHRIILFHUGHWHUPLQHGWKDWWRWDODPRXQWRIFRFDLQHIRUZKLFK DUWLFXODWHG LQ $SSUHQGL DUH QRW LPSOLFDWHG E\ WKH LQVWDQW 5RSHU VKRXOG EH KHOG DFFRXQWDEOH ZDV DW OHDVW VL[WHHQ FDVHl NLORJUDPV 5RSHUWKHUHIRUHZDLYHGKLV$SSUHQGLDUJXPHQWGXULQJKLV 5RSHUILOHGDZULWWHQREMHFWLRQWRWKHRIILFHUjV3UHVHQWHQFH VHQWHQFLQJ KHDULQJ ZKHQ KH H[SUHVVO\ DJUHHG WR WKH GUXJ ,QYHVWLJDWLRQ5HSRUW365FRQWHVWLQJWKHDPRXQWRIFRFDLQH TXDQWLW\ SURYLGHG LQ WKH 365 LQ H[FKDQJH IRU WKH IRUZKLFKKHVKRXOGEHKHOGDFFRXQWDEOHDVZHOODVWRWKH JRYHUQPHQWjVDJUHHPHQWQRWWRVHHNDWZROHYHOHQKDQFHPHQW RIILFHUjV UHFRPPHQGDWLRQV WKDW KH EH JLYHQ D WZROHYHO IRUSRVVHVVLRQRIDILUHDUP7KLVUHVXOWLVFRQVLVWHQWZLWKWKH HQKDQFHPHQW IRU SRVVHVVLRQ RI D ILUHDUP DQG D IRXUOHYHO GHFLVLRQ LQ 8QLWHG 6WDWHV Y 3UXLWW  )G  WK &LU HQKDQFHPHQWIRUKLVUROHLQWKHFRQVSLUDF\ LQZKLFKWKLVFRXUWKHOGWKDWmRQFHDGHIHQGDQWKDV H[SUHVVO\DJUHHGWKDWKHVKRXOGEHKHOGDFFRXQWDEOHIRUWKH  $WWKHVHQWHQFLQJKHDULQJKRZHYHU5RSHUZLWKGUHZKLV DPRXQW RI GUXJV LQYROYHG KH FDQQRW QRZ FKDOOHQJH WKH REMHFWLRQ WR WKH GUXJ TXDQWLW\ DFNQRZOHGJLQJ WKDW KH ZDV FRXUWjV IDFWXDO ILQGLQJ RQ WKLV LVVXHl  ,G DW  LQWHUQDO DFFRXQWDEOHIRUWKHDPRXQWSURYLGHGLQWKH365LQUHWXUQIRU TXRWDWLRQPDUNVRPLWWHG WKH JRYHUQPHQWjV DJUHHPHQW QRW WR SXUVXH D WZROHYHO HQKDQFHPHQWIRUSRVVHVVLRQRIDILUHDUPLQFRQQHFWLRQZLWK 1HYHUWKHOHVVDVSHFLILFTXHVWLRQZDVUDLVHGGXULQJRUDO DFRQVSLUDF\WRGLVWULEXWHGUXJV7KHUHOHYDQWH[FHUSWIURP DUJXPHQWDVWRZKHWKHU3UXLWWVXUYLYHV$SSUHQGL7KLVLVVXH WKHFROORTX\LVDVIROORZV ZDV UHFHQWO\ UHVROYHG E\ WKLV FRXUW LQ 8QLWHG 6WDWHV Y 6WDIIRUG1R:/WK&LUsXO\  8QLWHG6WDWHVY5RSHU 1R 1R 8QLWHG6WDWHVY5RSHU 

7KH&RXUW >$@V,XQGHUVWDQGLW0U5RSHU\RX\RXU Y6LQJOHWRQ)GWK&LUHQEDQFFHUWGHQLHG ODZ\HUDQGWKHJRYHUQPHQWjVODZ\HUKDYH 86 UHDFKHGFHUWDLQDJUHHPHQWVFRQFHUQLQJWKH SUHVHQFH DQG XVH RI D ILUHDUP DQG WKH 7KLVFRXUWKDVDOUHDG\KHOGWKDW86&†F WKH DPRXQW RI GUXJV LQYROYHG KHUH  $QG IHGHUDO ZLWQHVV DQWLJUDWXLW\ VWDWXWH GRHV QRW SURKLELW WKH WKH\jYHDJUHHGWKDWWKHJXQZRXOGQRWEH JRYHUQPHQWIURPRIIHULQJOHQLHQF\LQH[FKDQJHIRUWUXWKIXO FRXQWHGDWWKLVVHQWHQFLQJKHDULQJEXWWKDW WHVWLPRQ\DJDLQVWWKHGHIHQGDQW6HH8QLWHG6WDWHVY:DUH D FHUWDLQ DPRXQW RI GUXJV ZRXOG EH )GWK&LUUHMHFWLQJWKHUHDVRQLQJ FRXQWHG'R\RXXQGHUVWDQGWKDW" RI6LQJOHWRQDQGKROGLQJWKDW86&†F GRHVQRW DSSO\WRWKHIHGHUDOJRYHUQPHQW&RQVHTXHQWO\WKHGLVWULFW 0U5RSHU R@WKHU WKDQ WKH IDFW RI D SULRU FRQYLFWLRQ DQ\ IDFW WKDW LQFUHDVHV WKH SHQDOW\ IRU D FULPH $ 7HVWLPRQ\RI0HQGHQKDOO EH\RQGWKHSUHVFULEHGVWDWXWRU\PD[LPXPPXVWEHVXEPLWWHG WRDMXU\DQGSURYHGEH\RQGDUHDVRQDEOHGRXEWlHPSKDVLV 5RSHUFKDOOHQJHVWKHDGPLVVLRQRI0HQGHQKDOOjVWHVWLPRQ\ DGGHG DUJXLQJWKDWWKHJRYHUQPHQWYLRODWHGWKHIHGHUDOZLWQHVVDQWL JUDWXLW\VWDWXWHE\RIIHULQJ0HQGHQKDOODQLQGXFHPHQWIRUKLV 5RSHUKRZHYHUH[SOLFLWO\ZLWKGUHZKLVFKDOOHQJHWRWKH WHVWLPRQ\  7KH RQO\ FDVH 5RSHU FLWHV LQ VXSSRUW RI KLV GUXJTXDQWLWLHVLQWKH3658QGHU5XOHERIWKH)HGHUDO DUJXPHQWLV8QLWHG6WDWHVY6LQJOHWRQ)GWK 5XOHV RI &ULPLQDO 3URFHGXUH FKDOOHQJHV DIIHFWLQJ D &LUZKLFKZDVYDFDWHGE\WKH7HQWK&LUFXLWHQEDQF GHIHQGDQWjV VXEVWDQWLDO ULJKWV EXW mQRW EURXJKW WR WKH ZLWKLQWZRZHHNVRIWKHGDWHLWZDVILOHG6HH8QLWHG6WDWHV DWWHQWLRQRIWKHFRXUWlPD\EHUHYLHZHGRQO\XQGHUWKHmSODLQ