United States v. Tarwater

Court of Appeals for the Sixth Circuit·Decided October 16, 2002·No. 01-5962·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< 7 7$5:$7(5  'HIHQGDQW$SSHOODQW  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH(DVWHUQ'LVWULFWRI7HQQHVVHHDW.QR[YLOOH 1Rn5/HRQsRUGDQ'LVWULFWsXGJH $UJXHGsXQH 'HFLGHGDQG)LOHG2FWREHU %HIRUH0225(DQG6,/(5&LUFXLWsXGJHV67$))25' 'LVWULFWsXGJH BBBBBBBBBBBBBBBBB &2816(/ $5*8('  'DYLG 6 :LJOHU .QR[YLOOH 7HQQHVVHH IRU $SSHOODQWsLPPLH%D[WHU$66,67$1781,7('67$7(6 $77251(< .QR[YLOOH 7HQQHVVHH IRU $SSHOOHH

7KH +RQRUDEOH :LOOLDP 6WDIIRUG 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH 1RUWKHUQ 'LVWULFW RI )ORULGD VLWWLQJ E\ GHVLJQDWLRQ

  8QLWHG6WDWHVY7DUZDWHU 1R

21 %5,()  'DYLG 6 :LJOHU +HUEHUW 6 0RQFLHU .QR[YLOOH 7HQQHVVHH IRU $SSHOODQW  sLPPLH %D[WHU $66,67$1781,7('67$7(6$77251(<.QR[YLOOH 7HQQHVVHHIRU$SSHOOHH 67$))25''sGHOLYHUHGWKHRSLQLRQRIWKHFRXUWLQ ZKLFK6,/(5sMRLQHG0225(s SS GHOLYHUHG DVHSDUDWHGLVVHQWLQJRSLQLRQ BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB 67$))25''LVWULFWsXGJH$SSHOODQW/DUU\77DUZDWHU m7DUZDWHUl DSSHDOVKLVFRQYLFWLRQDQGVHQWHQFHIRUPDNLQJ IDOVHVWDWHPHQWVWRWKH,QWHUQDO5HYHQXH6HUYLFH m,56l :H DIILUP ,7+((9,'(1&( ,Q  7DUZDWHU D FHUWLILHG SXEOLF DFFRXQWDQW ZDV UHWDLQHGE\sHIIHUVRQ0HPRULDO+RVSLWDO ms0+l WRSHUIRUP LWV DQQXDO DXGLW DQG WR SUHSDUH LWV DQQXDO 0HGLFDUH DQG 0HGLFDLG FRVW UHSRUWV  $W WKH WLPH s0+ ZDV XVLQJ D FRQVXOWDQW:LOOLH'DYLVWRUHYLHZWKHKRVSLWDOjVFRVWUHSRUWV +LUHGRQDFRQWLQJHQF\IHHEDVLV'DYLVZDVSDLGIRUKLVZRUN LI LW UHVXOWHG LQ DGGLWLRQDO 0HGLFDUH DQG 0HGLFDLG UHLPEXUVHPHQWV WR WKH KRVSLWDO  7R REWDLQ KLV IHH 'DYLV VXEPLWWHG LWHPL]HG LQYRLFHV WR s0+jV &KLHI )LQDQFLDO 2IILFHU.DUHQ%UDGOH\&KDPEHUV m&KDPEHUVl H[SODLQLQJ ZKDWDPRXQWRIPRQH\WKHKRVSLWDOZRXOGEHUHFHLYLQJEDFN IURP0HGLFDUHDQGRU0HGLFDLG7KHFRVWUHSRUWVUHYLHZHG E\'DYLVIRUWKH\HDUVDIWHUZHUHSUHSDUHGE\7DUZDWHU ,Q7DUZDWHUDQG&UDLJ3HWHUV m3HWHUVl IRUPHGWKH 3HWHUV7DUZDWHU $VVRFLDWHVDFFRXQWLQJSDUWQHUVKLS7KH SDUWQHUVKLS PDLQWDLQHG LWV RQO\ EDQN DFFRXQW DW WKH +RPH )HGHUDO %DQN LQ .QR[YLOOH 7HQQHVVHH ZKHUH WKH SDUWQHUV ZHUHVXSSRVHGWRGHSRVLWDOOEXVLQHVVUHFHLSWV7KH3HWHUV 7DUZDWHUSDUWQHUVKLSODVWHGWKURXJK7DUZDWHUSUDFWLFHG  8QLWHG6WDWHVY7DUZDWHU 1R 1R 8QLWHG6WDWHVY7DUZDWHU 

IDFWVLQGHWHUPLQLQJWKHDPRXQWRIORVV7KHFRXUWDQQRXQFHG DFFRXQWLQJ DV D VROH SURSULHWRU IURP sDQXDU\  XQWLO RQO\WKHIROORZLQJILQGLQJZLWKUHVSHFWWRWKHDPRXQWRIORVV $XJXVW2Q$XJXVW7DUZDWHUIRUPHGD m,jPSUHSDUHGWRUXOHRQWKHLVVXHVWKDWDUHEHIRUHWKHFRXUWDW FRUSRUDWLRQ7DUZDWHU+LQHV &RPSDQ\3&ZLWKDQRWKHU WKLVWLPHWKDWLVFRQFHUQLQJWKHDPRXQW,KDYHFDOFXODWHGWKH FHUWLILHG SXEOLF DFFRXQWDQW sHQQ\ +LQHV m+LQHVl   7KH DPRXQW ZKLFK LV QRZ  PXOWLSOLHG E\   ZLOO FRUSRUDWLRQ PDLQWDLQHG LWV EXVLQHVV DFFRXQW DW WKH 7KLUG JLYHDWD[ORVVRIls$DW%HFDXVHWKHFRXUW 1DWLRQDO%DQNZKHUHDOOEXVLQHVVUHFHLSWVZHUHVXSSRVHGWR QHLWKHUGLVFXVVHGQRUUHVROYHGDQ\VSHFLILFIDFWXDOGLVSXWHV EHGHSRVLWHG7DUZDWHUSUDFWLFHGZLWK+LQHVXQWLO LWGLGQRWFRPSO\ZLWK5XOH F  6HH8QLWHG6WDWHVY 0RQXV)G WK&LU FHUWGHQLHG ,QRUDERXWsXQHRI%DUQHWW%DQNRI)ORULGDQRWLILHG 86   KROGLQJWKDWDFRXUWIDLOHGWRFRPSO\ZLWK &KDPEHUVWKDW'DYLVKDGSOHGJHGKLVs0+IHHUHFHLYDEOHVDV 5XOH F  ZKHUHLWRQO\mPDGHDQRUDOILQGLQJUHJDUGLQJ VHFXULW\IRUDORDQ%DUQHWW%DQNUHTXHVWHGWKDWDQ\PRQLHV WKHFRQWHVWHGFDOFXODWLRQRIHQKDQFHPHQWOHYHOVEDVHGRQWKH GXH'DYLVEHPDGHSD\DEOHWRERWKWKHEDQNDQGWR'DYLV YDOXHRIORVVUHVXOWLQJIURPGHIHQGDQWjVRIIHQVHl  &KDPEHUVDJUHHGDQGWKHUHDIWHUZURWHDFKHFNMRLQWO\WR'DYLV DQG%DUQHWW%DQNLQWKHDPRXQWRI6RRQDIWHU :H YDFDWH D GHIHQGDQWjV VHQWHQFH DQG UHPDQG IRU VKHJDYH'DYLVWKHFKHFN&KDPEHUVZDVQRWLILHGE\WKHEDQN UHVHQWHQFLQJZKHUHDGLVWULFWFRXUWGRHVQRWmH[SODLQKRZLW WKDW'DYLVKDGDWWHPSWHGXQVXFFHVVIXOO\WRFDVKWKHFKHFN FDOFXODWHGWKHDPRXQWRIORVVRUUHVSRQGWRWKHGHIHQGDQWjV ,QIDFW'DYLVKDGDOWHUHGWKHFKHFNUHPRYLQJ%DUQHWW%DQNjV VSHFLILF IDFWXDO REMHFWLRQV WR WKH PHWKRGV RI FDOFXODWLRQ QDPHDVDSD\HH$QJHUHGE\'DYLVjVDFWLRQDQGFRQFHUQHG LQFOXGHGLQWKH36,l,GDWVHH8QLWHG6WDWHVY2VERUQH WKDW LI 'DYLV ZRXOG DOWHU D FKHFN KH PLJKW GR RWKHU )G WK&LU 8QLWHG6WDWHVY2UODQGR XQDFFHSWDEOHWKLQJVDVZHOO&KDPEHUVVWRSSHGSD\PHQWRQ )G WK&LU 8QLWHG6WDWHVY&RUUDGR WKH FKHFN  6KH WKHQ WROG 5REHUW )RVWHU WKH KRVSLWDOjV )G WK&LU (YHQZKHUHUHVHQWHQFLQJ DGPLQLVWUDWRUDERXW'DYLVjVFRQGXFW&KDPEHUVH[SODLQHGWR PD\QRWFKDQJHDGHIHQGDQWjVVHQWHQFHZHKDYHUHTXLUHGD )RVWHUWKDWVKHZDVXQZLOOLQJWRZRUNZLWK'DYLVDQ\ORQJHU GLVWULFWFRXUWWRmLVVXHZULWWHQILQGLQJVRIIDFWWKDWUHVSRQGWR DQGVKHUHFRPPHQGHGWKDWKLVFRQWUDFWZLWKWKHKRVSLWDOEH WKH GHIHQGDQWjV REMHFWLRQV WR WKH 36,l DQG mSXEOLVK WKH WHUPLQDWHG UHVROXWLRQRIFRQWHVWHGIDFWXDOPDWWHUVWKDWIRUPHGWKHEDVLV RILWVFDOFXODWLRQlXSRQUHPDQG0RQXV)GDW 6RRQDIWHUKHUPHHWLQJZLWK)RVWHU&KDPEHUVZDVDGYLVHG 7KHUHIRUH,ZRXOGYDFDWH7DUZDWHUjVVHQWHQFHDQGUHPDQGIRU WKDWZKLOH'DYLVjVFRQWUDFWZDVQRWEHLQJWHUPLQDWHG'DYLV UHVHQWHQFLQJVRWKDWWKHGLVWULFWFRXUWFDQUHVROYHFRQWHVWHG ZRXOG WKHUHDIWHU ZRUN WKURXJK DQG EH SDLG WKURXJK IDFWV DQG H[SODLQ LWV FDOFXODWLRQ RI WKH DPRXQW RI ORVV 7DUZDWHU)RVWHUDSSURYHGWKH7DUZDWHUWR'DYLVSD\PHQW DWWULEXWDEOHWR7DUZDWHUXQGHUWKH6HQWHQFLQJ*XLGHOLQHV DUUDQJHPHQW  7ZR FKHFNV WRWDOLQJ  WKH H[DFW DPRXQW RI WKH FKHFN IURP ZKLFK 'DYLV UHPRYHG %DUQHWW %DQNjVQDPHZHUHVRRQDIWHUPDGHSD\DEOHWR7DUZDWHUIRU 'DYLV %HWW\H.LQJ m.LQJl WKHs0+ERRNNHHSHUSUHSDUHGDOO FKHFNVIRUWKHKRVSLWDOEXWKDGQRVLJQDWRU\DXWKRULW\7ZR DGPLQLVWUDWLYHRIILFHUVXVXDOO\)RVWHUDQG&KDPEHUVKDGWR VLJQWKHFKHFNV7DUZDWHUURXWLQHO\JDYH.LQJLQYRLFHVWR GRFXPHQWKLVDXGLWLQJDQGFRVWUHSRUWZRUNDQGEDVHGRQ  8QLWHG6WDWHVY7DUZDWHU 1R 1R 8QLWHG6WDWHVY7DUZDWHU 

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

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

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