United States v. Saari

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$SSHOODQW    1R Y  !  0,&+$(/ 6$$5,  'HIHQGDQW$SSHOOHH  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH:HVWHUQ'LVWULFWRI7HQQHVVHHDW0HPSKLV 1RnsXOLD6*LEERQV'LVWULFWsXGJH $UJXHG$SULO 'HFLGHGDQG)LOHG1RYHPEHU %HIRUH%2**6DQG&/$<&LUFXLWsXGJHV52%(576 'LVWULFWsXGJH BBBBBBBBBBBBBBBBB &2816(/ $5*8(')UHGHULFN+*RGZLQ$66,67$1781,7(' 67$7(6$77251(<0HPSKLV7HQQHVVHHIRU$SSHOODQW 0LFKDHO s 6WHQJHO 0HPSKLV 7HQQHVVHH IRU $SSHOOHH

7KH +RQRUDEOH 9LFWRULD $ 5REHUWV 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH (DVWHUQ 'LVWULFW RI 0LFKLJDQ VLWWLQJ E\ GHVLJQDWLRQ

  8QLWHG6WDWHVY6DDUL 1R 1R 8QLWHG6WDWHVY6DDUL 

21 %5,()  7UDF\ / %HUU\ $66,67$17 81,7(' ZLWKRXW H[LJHQW FLUFXPVWDQFHV LQ YLRODWLRQ RI WKH )RXUWK 67$7(6$77251(<0HPSKLV7HQQHVVHHIRU$SSHOODQW $PHQGPHQW&RQVHTXHQWO\WKH&RXUW$)),506WKHGLVWULFW 0LFKDHOs6WHQJHO0HPSKLV7HQQHVVHHIRU$SSHOOHH FRXUWjVVXSSUHVVLRQRIWKHJXQVHL]HGLQFLGHQWWR'HIHQGDQWjV LOOHJDODUUHVW BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB 52%(576'LVWULFWsXGJH,Q3D\WRQY1HZ

GLVSRVH RI WKH ZHDSRQU\ KH ZDV DFFXVHG RI SRVVHVVLQJ ,QKHURSLQLRQsXGJH*LEERQVDGRSWHG0DJLVWUDWHsXGJH )XUWKHUZLWKRIILFHUVVXUYHLOOLQJHYHU\SRUWDORI'HIHQGDQWjV 9HVFRYRjV SURSRVHG ILQGLQJV RI IDFW ZLWK FHUWDLQ DSDUWPHQWWKHUHZDVQRGDQJHUWKDWKHZRXOGHVFDSHEHIRUH PRGLILFDWLRQV  2Q EULHI WKH *RYHUQPHQW DJUHHG WKDW WKH DZDUUDQWFRXOGEHVHFXUHG)LQDOO\EHFDXVHWKHUHZDVQR GLVWULFWFRXUWjVILQGLQJVRIIDFWZHUHQRWFOHDUO\HUURQHRXV LPPHGLDWHRUFRQWLQXRXVSXUVXLWRIWKH'HIHQGDQWIURPWKH 7KXVWKHIROORZLQJIDFWXDOILQGLQJVDUHQRWLQGLVSXWH VFHQH RI D FULPH WKH RIILFHUV ZHUH QRW LQ KRW SXUVXLW RI D IOHHLQJIHORQ:HOVKY:LVFRQVLQ86 2Q0DUFK0HPSKLV3ROLFH'HSDUWPHQW2IILFHUV 6&W   /(GG    :LWKRXW WKH WKUHDW RI sDPHV &XUULQ 5REHUWV %ULGJHV *DOHRFUHGR %DWHPDQ DQG LPPHGLDWH GDQJHU WKDW ZRXOG KDYH JLYHQ ULVH WR H[LJHQW :LOWRQ&OHYHODQGUHVSRQGHGWRDFDOOUHJDUGLQJmVKRWVILUHGl FLUFXPVWDQFHV WKH RIILFHUVj VDIHW\ GLG QRW UHTXLUH WKHP WR DWWKHUHVLGHQFHRI'HIHQGDQWjVH[ZLIH$QQH6DDUL%HIRUH VXPPRQ 'HIHQGDQW RXW RI KLV KRXVH DW JXQ SRLQW EHIRUH SURFHHGLQJWR'HIHQGDQWjVDSDUWPHQW2IILFHUV%DWHPDQDQG REWDLQLQJDQDUUHVWZDUUDQW %ULGJHVZHQWWRVSHDNWR0V6DDUL:KLOHWKHUH2IILFHUV %DWHPDQDQG%ULGJHVOHDUQHGWKDWVKRWVKDGQRWDFWXDOO\EHHQ $OWKRXJK WKH *RYHUQPHQW LQVLVWV WKDW WKH RIILFHUV KDG ILUHG  5DWKHU 'HIHQGDQW ZDV REVHUYHG VWDQGLQJ LQ 0V SUREDEOHFDXVHLWDOVRHPSKDVL]HVWKDWWKHRIILFHUVZHUHQRW 6DDULj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mXQNQRZQVRXUFHlWKDW'HIHQGDQW QRQFRHUFLYHIDVKLRQXVLQJWKHLURZQMXGJPHQWDVWRKRZRU EHORQJHGWRDPLOLWLDJURXSDQGZDVKHDYLO\DUPHG LIWRZDUQKLPDERXWDQ\LPSHQGLQJGLVSOD\RIIRUFH%XW WKHLUGHVLUHWRLQWHUYLHZ'HIHQGDQWGLGQRWMXVWLI\RUGHULQJ  (YHQWXDOO\ WKH IRXU RIILFHUV ZHQWWR'HIHQGDQWjV KLP RXW RI KLV KRPH DW JXQSRLQW RU FRQVWLWXWH DQ H[LJHQW DSDUWPHQW ZKHUH WKH GLVWULFW FRXUW IRXQG WKH IROORZLQJ FLUFXPVWDQFH WKDW H[FXVHG WKHLU ZDUUDQWOHVV HQWU\ LQWR WUDQVSLUHG 'HIHQGDQWjVDSDUWPHQW 8SRQ DUULYLQJ DW GHIHQGDQWjV DSDUWPHQW WKH IRXU ,QGHHG UHJDUGOHVV RI ZKHUH 'HIHQGDQW ZDV ORFDWHG RIILFHUVGHFLGHGWRDSSURDFKWKHKRXVHDQGPDNHFRQWDFW 'HIHQGDQWKDGWKHULJKWWRUHPDLQVLOHQW86&RQVWDPHQG ZLWK GHIHQGDQW &OHYHODQG WHVWLILHG WKDW WKH IURQW GRRU 90LUDQGDY$UL]RQD866&W ZDVFORVHGDQGWKHVKDGHVZHUHGUDZQEXWKHVDZVRPH /(GG    'HIHQGDQWjV ULJKW WR UHPDLQ VLOHQW FRXSOHGZLWKKLVULJKWWRUHWUHDWLQWRKLVRZQKRPHDQGEHIUHH IURPXQUHDVRQDEOHJRYHUQPHQWDOLQWUXVLRQ3D\WRQ86 DWOHDGVWREXWRQHFRQFOXVLRQWKHRIILFHUVKDGQRULJKW  9 RUDO DUJXPHQW KRZHYHU WKH *RYHUQPHQW WRRN H[FHSWLRQ WR RQH

WR IRUFH 'HIHQGDQW RXW KLV KRPH ZLWK WKHLU JXQV GUDZQ WR QDUURZ IDFWXDO ILQGLQJ WKDW WKH &RXUW ZLOO GHVFULEH LQIUD

FRQGXFWDQLQWHUYLHZ  7KH IDFW WKDW WKH RIILFHUV OHDUQHG WKDW VKRWV KDG QRW DFWXDOO\ EHHQ

,,, &RQFOXVLRQ ILUHG LV QRW LQFOXGHG LQ WKH GLVWULFW FRXUWjV ILQGLQJV RI IDFW +RZHYHU 2IILFHU %DWHPDQ WHVWLILHG WR WKDW HIIHFW GXULQJ WKH 'HFHPEHU  

7KHWULDOFRXUWSURSHUO\KHOGWKDW'HIHQGDQWjVZDUUDQWOHVV VXSSUHVVLRQ KHDULQJ :KLOH QRW VSHFLILFDOO\ UHIHUULQJ WR WKLV SRUWLRQ RI 2IILFHU %DWHPDQjV WHVWLPRQ\ WKH GLVWULFW FRXUW IRXQG KLV WHVWLPRQ\ DUUHVW ZDV DFFRPSOLVKHG ZKLOH KH ZDV LQ KLV KRPH DQG FRQFHUQLQJ KLV FRQWDFWV ZLWK 0V 6DDUL WR EH FUHGLEOH  8QLWHG6WDWHVY6DDUL 1R 1R 8QLWHG6WDWHVY6DDUL 

PRYHPHQW LQVLGH WKH DSDUWPHQW WKURXJK WKH GUDZQ ' VKDGHV'HIHQGDQWjVDSDUWPHQWZDVRQWKHVHFRQGIORRU &OHYHODQGDQG&XUULQSRVLWLRQHGWKHPVHOYHVRQDODQGLQJ &RQWUDU\ WR WKH *RYHUQPHQWjV DUJXPHQW RWKHUZLVH WKLV DSSUR[LPDWHO\LQIURQWRIGHIHQGDQW VIURQWGRRU%ULGJHV &RXUWjV KROGLQJ ZLOO QRW SODFH SROLFH RIILFHUV LQ MHRSDUG\ VWRRG DERXW IRXU VWHSV GRZQ IURP WKH ODQGLQJ DQG 7KH*RYHUQPHQWQRWHVWKDWRIILFHUVDUHSHUPLWWHGWRDSSURDFK %DWHPDQ ZDV SRVLWLRQHG DW WKH ERWWRP RI WKH VWHSV DVXVSHFWjVKRPHIRUDQLQWHUYLHZ$OYDUH]Y0RQWJRPHU\ &OHYHODQGKDGDJDXJHSXPSDFWLRQVKRWJXQGUDZQ &RXQW\)GWK&LU8QLWHG6WDWHVY DQG LQ D µORZ UHDG\j SRVLWLRQ WKDW LV SRLQWHG DW 'DRXVW  )G   VW &LU   ,W IXUWKHU DSSUR[LPDWHO\IRUW\ILYHGHJUHHVWRZDUGWKHJURXQGLQ HPSKDVL]HVWKHQHHGIRURIILFHUVWRSURWHFWWKHPVHOYHVZKLOH IURQWRIWKHGRRU&XUULQKDGKLVVHUYLFHZHDSRQGUDZQ DSSURDFKLQJLQGLYLGXDOVWKDWWKH\KDYHUHDVRQWREHOLHYHPD\ %ULGJHVWHVWLILHGWKDWKHGUHZKLVVHUYLFHZHDSRQDIWHU EHDUPHGDQGGDQJHURXV+RZHYHUWKHRIILFHUVKHUHGLGPRUH RIILFHUV &OHYHODQG DQG &XUULQ PDGH FRQWDFW ZLWK WKDQDSSURDFK'HIHQGDQWjVDSDUWPHQWIRUDQLQWHUYLHZ7KH\ GHIHQGDQWDQGWKHQLPPHGLDWHO\ZHQWWRWKHWRSRIWKH HIIHFWHG D FRQVWUXFWLYH DUUHVW RI 'HIHQGDQW LQVLGH KLV VWDLUV%DWHPDQWHVWLILHGWKDWVKHZDLWHGRQWKHILUVWIORRU DSDUWPHQW$QGWKHRIILFHUVjVDIHW\FRQFHUQVGLGQRWUHTXLUH ZLWKKHUJXQGUDZQXQWLOVKHKHDUGWKDWGHIHQGDQWKDG WKHPWRDFWVRSUHFLSLWRXVO\ EHHQ GLVDUPHG DW ZKLFK WLPH VKH ZHQW WR WKH VHFRQG IORRU $VVXPLQJZLWKRXWGHFLGLQJWKDWWKH*RYHUQPHQWLVFRUUHFW WKDWWKHRIILFHUVKDGSUREDEOHFDXVHWRDUUHVW'HIHQGDQWWKH &OHYHODQG DQG &XUULQ NQRFNHG IRUFHIXOO\ RQ RIILFHUVKDGWLPHWRVHFXUHDQDUUHVWZDUUDQW$UPHGZLWKD GHIHQGDQWjVDSDUWPHQWGRRUDQGLGHQWLILHGWKHPVHOYHVDV ZDUUDQW WKH RIILFHUV ZRXOG KDYH EHHQ SHUPLWWHG WR DUUHVW SROLFHDVGHIHQGDQWDQVZHUHGWKHGRRU7KHRIILFHUVZHUH 'HIHQGDQWXVLQJDOOQHFHVVDU\SUHFDXWLRQV7KHRIILFHUVGLG DSSUR[LPDWHO\IRXUIHHWDZD\IURPGHIHQGDQW&OHYHODQG QRWDWWHPSWWRJHWDZDUUDQW WHVWLILHG WKDW KH WKLQNV WKDW GHIHQGDQWjV GRRU ZDV VWLOO FORVHG ZKHQ WKH RIILFHUV DQQRXQFHG µSROLFHj 1HLWKHU )XUWKHULIH[LJHQWFLUFXPVWDQFHVGLFWDWHGoLI'HIHQGDQW &XUULQ QRU &OHYHODQG ZDV DEOH WR UHFDOO ZKHWKHU KDGSRVHGDQLPPHGLDWHWKUHDWWRWKHVDIHW\RIWKHSXEOLFRUWR GHIHQGDQW ZDV RUGHUHG RXW RU ZKHWKHU KH FDPH RXW WKHRIILFHUVLIWKHUHZDVDQLPPHGLDWHGDQJHUWKDW'HIHQGDQW +RZHYHU&OHYHODQGWHVWLILHGWKDWWKHRIILFHUVZRXOGQRW ZRXOGGHVWUR\HYLGHQFHLI'HIHQGDQWKDGSRVHGDWKUHDWRI KDYHSHUPLWWHGGHIHQGDQWWRVWD\LQVLGHKLVDSDUWPHQW IOHHLQJEHIRUHWKHRIILFHUVFRXOGREWDLQDZDUUDQWRULIWKH 7UDW'HIHQGDQWRQWKHRWKHUKDQGVSHFLILFDOO\ RIILFHUVZHUHLQKRWSXUVXLWRI'HIHQGDQWEHFDXVHKHZDVD WHVWLILHGWKDWZKHQKHRSHQHGWKHGRRUKHZDVVWDQGLQJ IOHHLQJIHORQoWKHRIILFHUVZRXOGKDYHEHHQH[FXVHGIURPWKH LQVLGH KLV DSDUWPHQW LQ WKH GRRUZD\  $FFRUGLQJ WR ZDUUDQWUHTXLUHPHQW6HH0LQQHVRWDY2OVRQ86 GHIHQGDQWWKHRIILFHUVKDGWKHLUZHDSRQVSRLQWHGDWKLP   6&W   /(GG    +DG DQ\ RI DQG LQVWUXFWHG KLP WR VWHS RXWVLGH  7KH FRXUW ILQGV WKHVHH[LJHQWFLUFXPVWDQFHVEHHQSUHVHQWWKHRIILFHUVZRXOG GHIHQGDQWjV XQFRQWURYHUWHG WHVWLPRQ\ WKDW KH ZDV KDYHEHHQSHUPLWWHGWRHIIHFWDQLPPHGLDWHDUUHVWDQGWRWDNH RUGHUHGWRFRPHRXWRIWKHDSDUWPHQWWREHFUHGLEOHDQG DOOQHFHVVDU\SUHFDXWLRQVLQWKHSURFHVV ILQGV DV D IDFW WKDW VXFK RUGHU ZDV JLYHQ  'HIHQGDQW WHVWLILHGWKDWKHVWHSSHGRXWVLGHEHFDXVHKHZDVRUGHUHG +RZHYHUQRH[LJHQFLHVSHUPLWWHG'HIHQGDQWjVLPPHGLDWH WRGRVRDQGKHZDVDIUDLGRIEHLQJVKRW+HVWHSSHGRXW DUUHVW  $V SUHYLRXVO\ VWDWHG WKHUH ZDV QR HYLGHQFH WKDW ZLWKKLVKDQGVDERYHKLVKHDG:KLOHWKHJXQVZHUHVWLOO 'HIHQGDQWSRVHGDQLPPHGLDWHWKUHDWWRWKHRIILFHUVRUWKH WUDLQHGRQWKHGHIHQGDQWRQHRIWKHRIILFHUVDVNHGKLPLI SXEOLFDWWKHWLPHWKDWWKHRIILFHUVDUULYHGDWKLVDSDUWPHQW 1RUZDVWKHUHHYLGHQFHWKDW'HIHQGDQWZRXOGRUFRXOGUHDGLO\  8QLWHG6WDWHVY6DDUL 1R 1R 8QLWHG6WDWHVY6DDUL 

$GGLWLRQDOO\ WKH *RUL FRXUW KHOG WKDW WKH RIILFHUV DFWHG KHKDGDQ\ZHDSRQV'HIHQGDQWLQIRUPHGWKHRIILFHUV UHDVRQDEO\LQUHVSRQVHWRWKHmVZLIWO\GHYHORSLQJVLWXDWLRQl WKDW KH KDG D JXQ LQ WKH ZDLVWEDQG RI KLV SDQWV  7KH WKH\FRQIURQWHG,GDW RIILFHUV WKHQ UHPRYHG D KDQGJXQ IURP GHIHQGDQWj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jV OLYLQJ URRP  2YHU FRXOGDVVXPHWKDWRQFHDOHUWHGWKHRFFXSDQWVPLJKWKDYH 'HIHQGDQWjV YRFDO REMHFWLRQV WKH RWKHU RIILFHUV EHJDQ GLVSRVHGRIWKHFRQWUDEDQGE\WKHZLQGRZRUWKHWRLOHW VHDUFKLQJWKHDSDUWPHQW7KH\GLVFRYHUHGULIOHVLQDZDONLQ RUPLJKWKDYHSUHFLSLWDWHGYLROHQFH FORVHWDQGLQDFORVHGEDJLQWKHEHGURRPDQGDSLVWRODQG EORZGDUWJXQLQWKHEHGURRP7KHLWHPVZHUHQRWUHPRYHG ,GDW6HHDOVR8QLWHG6WDWHVY6RFH\)G' DWWKDWWLPHEXWSXUVXDQWWRDVHDUFKZDUUDQWZKLFKLVVXHG & &LU  ZDUUDQWOHVV HQWU\ DOORZHG ZKHUH RIILFHUV WZRGD\VODWHUWKHRIILFHUVVHL]HGWKHLWHPV7KHDIILGDYLWLQ UHDVRQDEO\ EHOLHYH WKDW RFFXSDQWV KDG EHHQ DOHUWHG WR VXSSRUW RI WKH VHDUFK ZDUUDQW ZDV EDVHG VROHO\ XSRQ VXUYHLOODQFHDQGZRXOGGHVWUR\HYLGHQFH NQRZOHGJHWKDWWKHRIILFHUVDFTXLUHGZKHQWKH\KDGEHHQLQ WKHDSDUWPHQWRQWKHGD\RI'HIHQGDQWjVDUUHVW 7KH SUHVHQW FDVH LV ZKROO\ GLVWLQJXLVKDEOH IURP *RUL +HUH 'HIHQGDQW GLG QRW YROXQWDULO\ H[SRVH KLPVHOI WR WKH ,QKLV0RWLRQWR6XSSUHVV'HIHQGDQWDUJXHGWKDWWKHULIOHV SXEOLFVRDVWRHOLPLQDWHWKH3D\WRQUHTXLUHPHQWVRIDZDUUDQW JXQVDQGDPPXQLWLRQWKHRIILFHUVIRXQGGXULQJWKHDUUHVWDQG RUH[LJHQWFLUFXPVWDQFHV'HIHQGDQWZDVVXPPRQHGRXWRI VHDUFKRIKLVDSDUWPHQWVKRXOGEHVXSSUHVVHG7KH0RWLRQ KLV KRXVH DW WKH RIILFHUVj FRPPDQG  )XUWKHUPRUH DV ZDVJUDQWHGLQLWVHQWLUHW\,QWKLVDSSHDOWKH*RYHUQPHQW SUHYLRXVO\ VWDWHG WKHUH ZHUH QR GHYHORSLQJ FLUFXPVWDQFHV DVNVWKLV&RXUWWRmGHQ\WKHGHIHQGDQWjVPRWLRQWRVXSSUHVV WKDWUHTXLUHGVZLIWDFWLRQE\WKHRIILFHUV&RQVHTXHQWO\WKH WKH ZHDSRQ VHL]HG IURP WKH ZDLVWEDQG RI KLV SDQWVl *RYHUQPHQWjVUHOLDQFHRQ*RULLVPLVSODFHG $SSHOODQWjV%ULHIS+HQFHWKHQDUURZLVVXHEHIRUHWKH &RXUWLVZKHWKHUWKHGLVWULFWFRXUWHUUHGLQVXSSUHVVLQJWKH JXQIRXQGLQ'HIHQGDQWjVZDLVWEDQGDWWKHWLPHRIKLVDUUHVW

 %HFDXVH *RUL LV GLVWLQJXLVKDEOH WKLV &RXUW LV QRW SUHVHQWHG ZLWK WKH RFFDVLRQ WR DJUHH RU GLVDJUHH ZLWK WKH *RUL RSLQLRQ  8QLWHG6WDWHVY6DDUL 1R 1R 8QLWHG6WDWHVY6DDUL 

,, 'LVFXVVLRQ & $ ,Q DGGLWLRQ WR DWWHPSWLQJ WR GLVWLQJXLVK WKLV FDVH IURP 0RUJDQ WKH *RYHUQPHQW FLWHV 8QLWHG 6WDWHV Y *RUL  7KH*RYHUQPHQWDUJXHVWKDWLWZDVPHUHO\DWWHPSWLQJWR )GQG&LU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m7KHUHFRUGLQGLFDWHVWKDWµDVDSUDFWLFDO VRPHRQHLQWKHDSDUWPHQWKDGJLYHQKLPWKHGUXJVDQGWKH PDWWHUjGHIHQGDQWZDVXQGHUDUUHVWIURPWKHLQFHSWLRQRIKLV RIILFHUVWKHUHIRUHVHWXSVXUYHLOODQFH$IWHUWZHQW\RUWKLUW\ HQFRXQWHUZLWKWKHRIILFHUVl6DDUL)6XSSGDW PLQXWHVSDVVHGZLWKQRDFWLYLW\DZRPDQHQWHUHGWRGHOLYHU FLWLQJ8QLWHG6WDWHVY0RUJDQ)GWK IRRGWRWKHDSDUWPHQWLQTXHVWLRQ7KHRIILFHUVGHFLGHGWKDW &LU7KLV&RXUWDJUHHV WKHLU EHVW FRXUVH RI DFWLRQ ZDV WR DFFRPSDQ\ WKH GHOLYHU\ ZRPDQWRWKHDSDUWPHQWGRRU:KHQWKHGRRUZDVRSHQHGWR 7KH VWDQGDUG IRU GHWHUPLQLQJ ZKHWKHU DQ DUUHVW KDV UHFHLYH WKH GHOLYHU\ WKH RIILFHUV RUGHUHG WKH DSDUWPHQWjV RFFXUUHGZDVSURYLGHGLQ8QLWHG6WDWHVY0HQGHQKDOO RFFXSDQWVWRVWHSRXWLQWRWKHKDOOZD\$WWKHVXSSUHVVLRQ 866&W/(GG KHDULQJDVHUJHDQWWHVWLILHGWKDWWKHRFFXSDQWVZHUHQRWIUHH WROHDYHDWWKDWSRLQW :HFRQFOXGHWKDWDSHUVRQKDVEHHQµVHL]HGjZLWKLQWKH PHDQLQJRIWKH)RXUWK$PHQGPHQWRQO\LILQYLHZRIDOO 7KHWULDOFRXUWLQ*RULJUDQWHGWKHGHIHQGDQWVjPRWLRQVWR RI WKH FLUFXPVWDQFHV VXUURXQGLQJ WKH LQFLGHQW D VXSSUHVVEXWWKH6HFRQG&LUFXLWUHYHUVHG,WUHDVRQHGWKDWWKH UHDVRQDEOHSHUVRQZRXOGKDYHEHOLHYHGWKDWKHZDVQRW 3D\WRQ UHTXLUHPHQWV GLG QRW DSSO\ WR WKH IDFWV DW KDQG IUHH WR OHDYH  ([DPSOHV RI FLUFXPVWDQFHV WKDW PLJKW EHFDXVHWKHDSDUWPHQWGRRUKDGEHHQYROXQWDULO\RSHQHGLQ LQGLFDWHDVHL]XUHHYHQZKHUHWKHSHUVRQGLGQRWDWWHPSW UHVSRQVHWRWKHGHOLYHU\SHUVRQjVNQRFN WR OHDYH ZRXOG EH WKH WKUHDWHQLQJ SUHVHQFH RI VHYHUDO RIILFHUV WKH GLVSOD\ RI D ZHDSRQ E\ DQ RIILFHU VRPH $VXVSHFWLQKHURSHQGRRUZD\EHFRPHVµDVH[SRVHGWR SK\VLFDOWRXFKLQJRIWKHSHUVRQRIWKHFLWL]HQRUWKHXVH SXEOLF YLHZ VSHHFK KHDULQJ DQG WRXFK DV LI VKH KDG RIODQJXDJHRUWRQHRIYRLFHLQGLFDWLQJWKDWFRPSOLDQFH EHHQ VWDQGLQJ FRPSOHWHO\ RXWVLGH KHU KRXVHj >8QLWHG ZLWKWKHRIILFHUjVUHTXHVWPLJKWEHFRPSHOOHG 6WDWHV Y 6DQWDQD  86    6&W   /(GG  @ 7KLV DQDORJ\ LV DGDSWDEOH WR WKH +HUHWKHRIILFHUVSRVLWLRQHGWKHPVHOYHVLQIURQWRIWKHRQO\ IDFWV KHUH EHFDXVH ZKHQ WKH GHIHQGDQWV YROXQWDULO\ H[LWIURP'HIHQGDQWjVDSDUWPHQWZLWKWKHLUJXQVGUDZQ7KH\ RSHQHGWKHGRRURI$SDUWPHQW0LQUHVSRQVHWRDNQRFN NQRFNHGIRUFHIXOO\RQWKHGRRUDQGDQQRXQFHGWKDWWKH\ZHUH IURPWKHGHOLYHU\SHUVRQZKRPWKH\LQYLWHGWKH\FUHDWHG WKHSROLFH8SRQRSHQLQJWKHGRRU'HIHQGDQWZDVLQVWUXFWHG DYLVWDIURPDSXEOLFSODFHRUFRPPRQDUHD WRFRPHRXWVLGHZKLFKKHGLG8QGHUWKHVHFLUFXPVWDQFHVD UHDVRQDEOHSHUVRQZRXOGKDYHEHOLHYHGWKDWKHZDVQRWIUHHWR *RUL)GDW OHDYH  7HOOLQJO\ 2IILFHU &OHYHODQG DFNQRZOHGJHG WKDW  8QLWHG6WDWHVY6DDUL 1R 1R 8QLWHG6WDWHVY6DDUL 

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jV FDU ZDV RIVHDUFKHVDQGVHL]XUHVWKURXJKWKHZDUUDQWSURFHGXUH VSRWWHGDQGIROORZHGWRKLVPRWKHUj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jGHPDQGWKDWKH ZKLFKKLVWRULFDOO\KDVQRWEHHQDQGDVDSUDFWLFDOPDWWHU SXWKLVJXQGRZQDQGZDVIRUPDOO\DUUHVWHGXSRQOHDYLQJWKH FRXOGQRWEHVXEMHFWHGWRWKHZDUUDQWSURFHGXUH KRXVH 7HUU\86DW6&WDWFLWDWLRQVRPLWWHG $VDMXVWLILFDWLRQIRUWKHRIILFHUVjDFWLRQWKH*RYHUQPHQW +HUHWKHSROLFHGLGQRWREVHUYH'HIHQGDQWGRLQJDQ\WKLQJ DUJXHGWKDWWKHRIILFHUVKDGDWOHDVWmUHDVRQDEOHVXVSLFLRQlWR VXVSLFLRXV8SRQWKHLUDUULYDOWKHRIILFHUVZHUHRQO\DEOHWR FRQGXFW WKH W\SH RI EULHI LQYHVWLJDWRU\ VWRS DXWKRUL]HG E\ REVHUYH'HIHQGDQWjVPRYHPHQWWKURXJKGUDZQVKDGHV 7HUU\ Y 2KLR  86   6&W   /(GG  $FFRUGLQJWRWKH*RYHUQPHQWRQFHWKHGHIHQGDQW 1RUZHUHWKHRIILFHUVUHVSRQGLQJWRDVZLIWO\GHYHORSLQJ DSSHDUHG DW WKH GRRU ZLWK KLV ZHDSRQ LQ SODLQ YLHZ WKH VLWXDWLRQ DV WKH *RYHUQPHQW DUJXHV  7KH *RYHUQPHQW RIILFHUV ZHUH MXVWLILHG LQ LPPHGLDWHO\ DUUHVWLQJ KLP DQG FRQWHQGVWKDWWKHRIILFHUVLQWKLVFDVHZHUHUHVSRQGLQJWRDQ VHL]LQJ KLV ZHDSRQ  7KH 0RUJDQ FRXUW UHMHFWHG WKDW HPHUJHQF\ZKHUHDVWKH0RUJDQGHIHQGDQWGLGQRWUHSUHVHQW DUJXPHQWKROGLQJWKDWWKHRIILFHUVjFRQGXFWRXWVLGHRIWKH DQ LPPHGLDWH WKUHDW WR WKH RIILFHUV RU WR WKH SXEOLF  7KLV GHIHQGDQWjV KRPH FRXOG QRW EH FKDUDFWHUL]HG DV D EULHI DUJXPHQWLVEDVHOHVV7KHWULDOFRXUWQRWHGWKDW'HIHQGDQW LQYHVWLJDWRU\VWRSWKHGHIHQGDQWZDVmDVDSUDFWLFDOPDWWHUl ZDVSHDFHDEO\RFFXS\LQJKLVKRPHZKHQWKHRIILFHUVDUULYHG XQGHUDUUHVW  DVVRRQDVWKHRIILFHUVVXUURXQGHGWKHKRXVH DQG WKHUH ZDV QR SURRI WKDW DQ\RQH ZDV EHLQJ WKUHDWHQHG 0RUJDQDWTXRWLQJ)ORULGDY5R\HU86 LQVLGHm7KHXQVXEVWDQWLDWHGLQIRUPDWLRQDERXWH[SORVLYHVE\ DQXQLGHQWLILHGSHUVRQZDVWRRYDJXHDQGJHQHUDOWRFRQVWLWXWH DQ LPPHGLDWH WKUHDW WR WKH VDIHW\ RI WKH RIILFHUV DQG WKH  SXEOLFl6DDUL)6XSSGDW $W RUDO DUJXPHQW WKH *RYHUQPHQW GLVDJUHHG ZLWK WKH GLVWULFW FRXUWjV ILQGLQJ WKDW 'HIHQGDQW ZDV LQVWUXFWHG WR H[LW KLV DSDUWPHQW ,W FLWHV WR 'HIHQGDQWjV WHVWLPRQ\ GXULQJ WKH VXSSUHVVLRQ KHDULQJ WKDW KH ZDV WROG 7KH*RYHUQPHQWKDVWKXVIDLOHGWRGLVWLQJXLVKWKLVFDVH m6WHS RXWVLGH SOHDVH :H QHHG WR WDON :H ZRXOG OLNH WR WDON WR \RX

IURP0RUJDQ,WVKROGLQJWKDWDFRQVWUXFWLYHLQKRPHDUUHVW 6WHS RXWVLGH SOHDVHl 1RWZLWKVWDQGLQJ WKH XVH RI WKH ZRUG mSOHDVHl WKH

ZKHUHQHLWKHUDZDUUDQWLVREWDLQHGQRUH[LJHQWFLUFXPVWDQFHV GLVWULFW FRXUWjV ILQGLQJ WKDW WKH TXRWHG ODQJXDJH DPRXQWHG WR DQ

H[LVWV YLRODWHVWKH)RXUWK$PHQGPHQWLVDSSOLFDEOHWRWKH LQVWUXFWLRQ ZDV QRW FOHDUO\ HUURQHRXV 0RUHRYHU LQ OLJKW RI 2IILFHUjV

LQVWDQWFDVH &OHYHODQGjV WHVWLPRQ\ WKDW 'HIHQGDQW ZRXOG QRW KDYH EHHQ SHUPLWWHG WR VWD\ LQ KLV DSDUWPHQW WKHUH LV QR JHQXLQH GLVSXWH WKDW 'HIHQGDQW ZDV RUGHUHG WR H[LW  8QLWHG6WDWHVY6DDUL 1R 1R 8QLWHG6WDWHVY6DDUL 

6&W/(GG)G FRPSO\+LVZDUUDQWOHVVDUUHVWZDVDFFRPSOLVKHGZKLOHKH   ZDVLQKLVKRPHLQYLRODWLRQRIWKH)RXUWK$PHQGPHQW 7R GHVFULEH WKH HQFRXQWHU EHWZHHQ WKH SROLFH DQG 7KH *RYHUQPHQWjV HIIRUWV WR GLVWLQJXLVK WKLV FDVH IURP 0RUJDQDVDµEULHILQYHVWLJDWRU\VWRSjLJQRUHVWKHIDFWVRI 0RUJDQDUHXQDYDLOLQJ,WFRQWHQGVWKDWWKLVFDVHLVGLIIHUHQW WKLV FDVH  1LQH SROLFH RIILFHUV DQG VHYHUDO SDWURO FDUV IURP 0RUJDQ EHFDXVH LQ WKDW FDVH WKH RIILFHUV ZHUH DSSURDFKHGDQGVXUURXQGHGWKH0RUJDQUHVLGHQFHLQWKH H[HFXWLQJDSODQQHGDUUHVWZKLOHWKHRIILFHUVKHUHZHUHVLPSO\ GDUN7KHRIILFHULQFKDUJHVWUDWHJLFDOO\SRVLWLRQHGKLV FRQGXFWLQJDQLQYHVWLJDWLYHVWRS FDULQWKHGULYHZD\LQIURQWRIWKH0RUJDQKRPHEORFNLQJ DQ\ PRYHPHQW RI KLV FDU  7KH SROLFH WKHQ FDOOHG IRU $VDIDFWXDOPDWWHUWKLV&RXUWHFKRVWKH0RUJDQRSLQLRQ 0RUJDQWRFRPHRXWRIWKHKRXVH7KHVHFLUFXPVWDQFHV DQGKROGVWKHRIILFHUVjFRQGXFWRXWVLGHRI'HIHQGDQWjVKRPH VXUHO\DPRXQWWRDVKRZRIRIILFLDODXWKRULW\VXFKWKDWD FRQVWLWXWHGDFRQVWUXFWLYHHQWU\DQGLQKRPHDUUHVWUDWKHUWKDQ UHDVRQDEOHSHUVRQZRXOGKDYHEHOLHYHGKHZDVQRWIUHH DQLQYHVWLJDWRU\VWRS)XUWKHUPRUHOLNHDIXOOEORZQDUUHVW WROHDYH9LHZHGREMHFWLYHO\0RUJDQZDVSODFHGXQGHU DQLQYHVWLJDWRU\GHWHQWLRQLVDVHL]XUHWKDWLVVXEMHFWWR)RXUWK DUUHVWZLWKRXWWKHLVVXDQFHRIDZDUUDQWDWWKHPRPHQW $PHQGPHQWVFUXWLQ\7HUU\86DW6&W$W WKHSROLFHHQFLUFOHGWKH0RUJDQUHVLGHQFH  0RUJDQ DW  Q   7KXV 3D\WRQjV KROGLQJ WKDW ZDUUDQWOHVV VHL]XUHV RI SHUVRQV LQ WKHLU KRPHV YLRODWH WKH ,GFLWDWLRQVDQGLQWHUQDOTXRWDWLRQPDUNVRPLWWHG )RXUWK$PHQGPHQWDEVHQWH[LJHQWFLUFXPVWDQFHVDSSOLHVWR WKLV FDVH UHJDUGOHVV RI ZKHWKHU WKH RIILFHUV DW LVVXH ZHUH ,QUHVSRQVHWRWKH*RYHUQPHQWjVDUJXPHQWWKDWWKHRIILFHUV FRQGXFWLQJDQDUUHVWRUDQLQYHVWLJDWRU\GHWHQWLRQ GLG QRW YLRODWH 3D\WRQ EHFDXVH WKH\ QHYHU FURVVHG WKH WKUHVKROGRIWKHGHIHQGDQWjVKRPHWKH0RUJDQFRXUWKHOGWKDW $GGLWLRQDOO\LIWKH&RXUWDFFHSWHGWKH*RYHUQPHQWjVOHJDO WKH UHOHYDQW LQTXLU\ LV WKH ORFDWLRQ RI WKH SHUVRQ EHLQJ DUJXPHQW LW ZRXOG KDYH WKH HIIHFW RI SURYLGLQJ OHVVHU DUUHVWHG QRWWKHDUUHVWLQJRIILFHU,GDWm$OWKRXJK SURWHFWLRQWRLQGLYLGXDOVLQWKHLUKRPHVZKHQWKHSROLFHGR WKHUHZDVQRGLUHFWSROLFHHQWU\LQWRWKH0RUJDQKRPHSULRU QRWKDYHSUREDEOHFDXVHWRDUUHVW,WZRXOGGHI\UHDVRQWR WR0RUJDQjVDUUHVWWKHFRQVWUXFWLYHHQWU\DFFRPSOLVKHGWKH KROGDVWKH*RYHUQPHQWVXJJHVWVWKDWDZDUUDQWOHVVLQKRPH VDPHWKLQJQDPHO\WKHDUUHVWRI0RUJDQl,G VHL]XUHLVDXWKRUL]HGWRIXUWKHUDQLQYHVWLJDWLRQEXWWKDWHLWKHU D ZDUUDQW RU H[LJHQW FLUFXPVWDQFHV DUH QHFHVVDU\ ZKHQ $VLQ0RUJDQWKHRIILFHUVKHUHVXPPRQHG'HIHQGDQWWR RIILFHUVKDYHWKHSUREDEOHFDXVHDQGLQWHQWWRDUUHVW H[LWKLVKRPHDQGDFWHGZLWKVXFKDVKRZRIDXWKRULW\WKDW 'HIHQGDQW UHDVRQDEO\ EHOLHYHG KH KDG QR FKRLFH EXW WR )XUWKHUPRUH FRQWUDU\ WR WKH *RYHUQPHQWjV DUJXPHQW VXPPRQLQJDSHUVRQRXWRIKLVRUKHUKRPHLQWKHPDQQHU

 7KLV FDVH LV WKHUHIRUH GLVWLQJXLVKDEOH IURP &$ ; ',30,943  )G   WK &LU  ZKLFK WKH *RYHUQPHQW UHOLHV XSRQ ,Q WKDW FDVH WKH XQLIRUPHG RIILFHUV KDG WKHLU JXQV LQ WKHLU KROVWHUV DQG VDLG QRWKLQJ XSRQ NQRFNLQJ RQ WKH GHIHQGDQWjV KRWHO URRP GRRU 7KH GHIHQGDQW RSHQHG WKH ZLQGRZ FXUWDLQV VDZ WKH RIILFHUV DQG RSHQHG WKH GRRU 7KHUH ZDV QR WHVWLPRQ\ LQ ',30,943 LQGLFDWLQJ WKDW WKH GHIHQGDQW ZDV IDFHG ZLWK D VKRZ RI IRUFH PDNLQJ LW FOHDU WKDW KH KDG QR FKRLFH EXW WR SUHVHQW KLPVHOI IRU DUUHVW