$VLI7XIDO

&$6(621,172;,&$7,21
7+(63(&,),&,17(17%$6,&,17(17',&+2720<
'33Y0DMHZVNL >@$&

7KH GHIHQGDQW KDG EHHQ FRQYLFWHG RI YDULRXV FRXQWV DOOHJLQJ DFWXDO
ERGLO\ KDUP DQG DVVDXOWV XSRQ SROLFH RIILFHUV  7KH RIIHQFHV KDG
RFFXUUHGDIWHUWKHGHIHQGDQWKDGFRQVXPHGODUJHTXDQWLWLHVRIDOFRKRO
DQG GUXJV  7KH WULDO MXGJH KDG GLUHFWHG WKH MXU\ WKDW VHOILQGXFHG
LQWR[LFDWLRQ ZDV QRW DYDLODEOH DV D GHIHQFH WR WKHVH EDVLF LQWHQW
FULPHV7KHGHIHQGDQWZDVFRQYLFWHGDQGDSSHDOHGXQVXFFHVVIXOO\WR
WKH&RXUWRI$SSHDODQGWKH+RXVHRI/RUGV

/RUG (OZ\Q-RQHV /& UHIHUUHG WR WKH FDVH RI %HDUG LQ ZKLFK /RUG
%LUNHQKHDG/&FRQFOXGHGWKDWWKHFDVHVKHKDGFRQVLGHUHGHVWDEOLVK
WKDW GUXQNHQQHVV FDQ EH D GHIHQFH ZKHUH WKH DFFXVHG ZDV DW WKH
WLPHRIWKHRIIHQFHVRGUXQNDVWREHLQFDSDEOHRIIRUPLQJWKHVSHFLILF
LQWHQWQHFHVVDU\IRUVXFKFULPHV/RUG(OZ\Q-RQHV/&WKHQVDLGWKDW
EHIRUH DQG VLQFH %HDUG
V FDVH MXGJHV KDG WDNHQ WKH YLHZ WKDW VHOI
LQGXFHG LQWR[LFDWLRQ KRZHYHU JURVV DQG HYHQ LI LW SURGXFHG D
FRQGLWLRQ DNLQ WR DXWRPDWLVP FDQQRW H[FXVH FULPHV RI EDVLF LQWHQW
:LWK FULPHV RI EDVLF LQWHQW DV KLV /RUGVKLS H[SODLQHG WKH IDXOW
HOHPHQW LV VXSSOLHG E\ WKH GHIHQGDQW
V UHFNOHVVQHVV LQ EHFRPLQJ
LQWR[LFDWHGWKLVUHFNOHVVQHVVEHLQJVXEVWLWXWHGIRUWKHPHQVUHD WKDW
WKHSURVHFXWLRQZRXOGRWKHUZLVHKDYHWRSURYH
,172;,&$7,21%<'58*6
5Y/LSPDQ >@4%

7KH GHIHQGDQW KDYLQJ YROXQWDULO\ FRQVXPHG /6' KDG WKH LOOXVLRQ RI
GHVFHQGLQJ WR WKH FHQWUH RI WKH HDUWK DQG EHLQJ DWWDFNHG E\ VQDNHV
,Q KLV DWWHPSW WR ILJKW RII WKHVH UHSWLOHV KH VWUXFN WKH YLFWLP DOVR D
GUXJDGGLFWRQDQ/6'WULSWZREORZVRQWKHKHDGFDXVLQJLQMXULHVWR
KHUEUDLQDQGFUDPPHGVRPHHLJKWLQFKHVRIEHGVKHHWLQWRKHUPRXWK
FDXVLQJKHUWRGLHRIDVSK\[LD+HFODLPHGWRKDYHKDGQRNQRZOHGJH
RI ZKDW KH ZDV GRLQJ DQG QR LQWHQWLRQ WR KDUP KHU  +LV GHIHQFH RI
LQWR[LFDWLRQZDVUHMHFWHGDWKLVWULDODQGKHZDVFRQYLFWHGRIXQODZIXO
DFWPDQVODXJKWHU+LVDSSHDOWRWKH&RXUWRI$SSHDOZDVGLVPLVVHG
:LGJHU\/-VDLG
)RU WKH SXUSRVHV RI FULPLQDO UHVSRQVLELOLW\ ZH VHH QR UHDVRQ WR
GLVWLQJXLVK EHWZHHQ WKH HIIHFW RI GUXJV YROXQWDULO\ WDNHQ DQG
GUXQNHQQHVVYROXQWDULO\LQGXFHG
62325,),&())(&7
5Y+DUGLH >@:/5

7KH GHIHQGDQW KDG YROXQWDULO\ FRQVXPHG XS WR VHYHQ ROG YDOLXP
WDEOHWVDQRQFRQWUROOHGGUXJKDYLQJDVHGDWLYHHIIHFWIRUWKHSXUSRVH
RIFDOPLQJKLVQHUYHV:KLOVWXQGHUWKHLQIOXHQFHRIWKHGUXJKHKDG
VWDUWHG D ILUH LQ WKH IODW LQ ZKLFK KH KDG EHHQ OLYLQJ EXW FODLPHG WR
KDYHEHHQXQDEOHWRUHPHPEHUDQ\WKLQJDIWHUWDNLQJWKHWDEOHWV7KH
GHIHQGDQW ZDV FRQYLFWHG RI FDXVLQJ FULPLQDO GDPDJH EHLQJ UHFNOHVV
DV WR ZKHWKHU OLIH ZRXOG EH HQGDQJHUHG IROORZLQJ WKH WULDO MXGJH
V
ZZZODZWHDFKHUFRXN

$VLI7XIDO

GLUHFWLRQWRWKHMXU\WKDWVHOILQGXFHGLQWR[LFDWLRQZDVQRWDYDLODEOHE\
ZD\RIGHIHQFHWRDEDVLFLQWHQWFULPH7KHGHIHQGDQWDSSHDOHG

7KHFRQYLFWLRQZDVTXDVKHGRQDSSHDORQWKHJURXQGVWKDWKHFRXOG
QRWEHH[SHFWHGWRDQWLFLSDWHWKDWWUDQTXLOOLVHUVZRXOGKDYHWKDWHIIHFW
XSRQ KLP7KH&RXUWRI$SSHDOKHOG WKDWWKHWULDOMXGJHVKRXOG KDYH
GLVWLQJXLVKHG YDOLXP D VHGDWLYH IURP RWKHU W\SHV RI GUXJV VXFK DV
DOFRKROZKLFKZHUHZLGHO\NQRZQWRKDYHVRFLDOO\XQDFFHSWDEOHVLGH
HIIHFWV :KLOVW WKH YROXQWDU\ FRQVXPSWLRQ RI GDQJHURXV GUXJV PLJKW
EH FRQFOXVLYH SURRI RI UHFNOHVVQHVV QR VXFK SUHVXPSWLRQ ZDV
MXVWLILHG LQ WKH FDVH RI QRQGDQJHURXV GUXJV  7KH MXU\ VKRXOG KDYH
EHHQGLUHFWHGWRFRQVLGHUZKHWKHUWKHGHIHQGDQWKDGEHHQUHFNOHVVLQ
FRQVXPLQJ WKH YDOLXP LQ WKH VHQVH WKDW KH KDG EHHQ DZDUH RI WKH
ULVNVDVVRFLDWHGZLWKLWVFRQVXPSWLRQDOWKRXJKQRWQHFHVVDULO\DZDUH
RIWKHULVNWKDWKHZRXOGDFWXDOO\FRPPLWDJJUDYDWHGFULPLQDOGDPDJH
'87&+&285$*(,172;,&$7,21
$*IRU1,UHODQGY*DOODJKHU >@$&

7KHGHIHQGDQWGHFLGHGWRNLOOKLVZLIH+HERXJKWDNQLIHDQGDERWWOH
RIZKLVN\ ZKLFKKHGUDQNWRJLYHKLPVHOI'XWFK&RXUDJH7KHQKH
NLOOHG KHU ZLWK WKH NQLIH  +H VXEVHTXHQWO\ FODLPHG WKDW KH ZDV VR
GUXQNWKDWKHGLGQRWNQRZZKDWKH ZDVGRLQJRUSRVVLEO\HYHQWKDW
WKH GULQN KDG EURXJKW RQ D ODWHQW SV\FKRSDWKLF VWDWH VR WKDW KH ZDV
LQVDQH DW WKH WLPH RI WKH NLOOLQJ  7KH +RXVH RI /RUGV KHOG WKDW
LQWR[LFDWLRQ FRXOG QRW EH D GHIHQFH LQ HLWKHU FDVH DV WKH LQWHQW KDG
EHHQFOHDUO\IRUPHGDOEHLWEHIRUHWKHNLOOLQJWRRNSODFH/RUG'HQQLQJ
VWDWHG
,IDPDQZKLOVWVDQHDQGVREHUIRUPVDQLQWHQWLRQWRNLOODQGPDNHV
SUHSDUDWLRQ IRU LW NQRZLQJ LW LV D ZURQJ WKLQJ WR GR DQG WKHQ JHWV
KLPVHOI GUXQN VR DV WR JLYH KLPVHOI 'XWFK FRXUDJH WR GR WKH NLOOLQJ
DQG ZKLOVW GUXQN FDUULHV RXW KLV LQWHQWLRQ KH FDQQRW UHO\ RQ KLV VHOI
LQGXFHGGUXQNHQQHVVDVDGHIHQFHWRDFKDUJHRIPXUGHUQRWHYHQDV
UHGXFLQJ LW WR PDQVODXJKWHU  +H FDQQRW VD\ WKDW KH JRW KLPVHOI LQWR
VXFKDVWXSLGVWDWHWKDWKHZDVLQFDSDEOHRIDQLQWHQWWRNLOO6RDOVR
ZKHQ KH LV D SV\FKRSDWK KH FDQQRW E\ GULQNLQJ UHO\ RQ KLV VHOI
LQGXFHGGHIHFWRIUHDVRQDVDGHIHQFHRILQVDQLW\7KHZLFNHGQHVVRI
KLVPLQGEHIRUHKHJRWGUXQNLVHQRXJKWRFRQGHPQKLPFRXSOHGZLWK
WKHDFWZKLFKKHLQWHQGHGWRGRDQGGLGGR
,192/817$5<,172;,&$7,21
5Y$OOHQ >@&ULP/5

7KH GHIHQGDQW KDG GUXQN ZLQH QRW NQRZLQJ WKDW LW ZDV H[WUHPHO\
VWURQJ KRPHPDGH ZLQH  +H WKHQ FRPPLWWHG VH[XDO RIIHQFHV EXW
FODLPHGWKDWKHZDVVRGUXQNWKDWKHGLGQRWNQRZZKDWKHZDVGRLQJ
7KH &RXUW RI $SSHDO KHOG WKDW WKLV GLG QRW DPRXQW WR LQYROXQWDU\
LQWR[LFDWLRQ+HZDVWKXVWUHDWHGDVLIKHZHUHYROXQWDULO\LQWR[LFDWHG
5Y.LQJVWRQ >@$OO(5

7KH GHIHQGDQW ZKR KDG SDHGRSKLOLDF KRPRVH[XDO WHQGHQFLHV ZDV

EODFNPDLOHG E\ WZR IRUPHU EXVLQHVV DVVRFLDWHV ZKR DUUDQJHG IRU
DQRWKHU PDQ 3HQQ WR SKRWRJUDSK DQG DXGLRWDSH KLP LQ D
FRPSURPLVLQJVLWXDWLRQZLWKDER\.LQJVWRQDQG3HQQZHUHFKDUJHG
ZZZODZWHDFKHUFRXN

$VLI7XIDO

ZLWKLQGHFHQWDVVDXOW6HGDWLYHGUXJVZHUHIRXQGLQ3HQQ
VIODWZKHQ
LWZDVVHDUFKHGDQGWKHSURVHFXWLRQFODLPHGWKDW3HQQKDGODFHGWKH
ER\
V GULQN  .LQJVWRQ
V GHIHQFH ZDV WKDW 3HQQ KDG DOVR ODFHG KLV
GULQN+LVHYLGHQFHZDVWKDWKHKDGVHHQWKHER\O\LQJRQWKHEHGEXW
KDG QR UHFROOHFWLRQ RI DQ\ RWKHU HYHQWV WKDW QLJKW DQG KDG ZRNHQ LQ
KLVRZQKRPHWKHQH[WPRUQLQJ
7KHWULDOMXGJHGLUHFWHGWKHMXU\WKDWWKH\VKRXOGDFTXLW.LQJVWRQLIWKH\
IRXQGWKDWEHFDXVHKHZDVVRDIIHFWHGE\GUXJVKHGLGQRWLQWHQGRU
PD\QRWKDYHLQWHQGHGWRFRPPLWDQLQGHFHQWDVVDXOWRQWKHER\EXW
WKDW LI WKH\ ZHUH VXUH WKDW GHVSLWH WKH HIIHFW RI DQ\ GUXJV KH VWLOO
LQWHQGHGWRFRPPLWDQLQGHFHQWDVVDXOWWKHFDVHZDVSURYHGEHFDXVH
DGUXJJHGLQWHQWZDVVWLOODQLQWHQW7KHGHIHQGDQWZDVFRQYLFWHG

7KLVGLUHFWLRQZDVDSSURYHGE\WKH+RXVHRI/RUGV,WZDVKHOGWKDW
SURYLGHG WKH LQWR[LFDWLRQ ZDV QRW VXFK DV WR FDXVH DXWRPDWLVP RU
WHPSRUDU\ LQVDQLW\ LQYROXQWDU\ LQWR[LFDWLRQ RU GLVLQKLELWLRQ ZDV QRW D
GHIHQFH WR D FULPLQDO FKDUJH LI LW ZDV SURYHG WKDW WKH GHIHQGDQW KDG
WKH QHFHVVDU\ LQWHQW ZKHQ WKH QHFHVVDU\ DFW ZDV GRQH E\ KLP
QRWZLWKVWDQGLQJ WKDW WKH LQWHQW DURVH RXW RI FLUFXPVWDQFHV IRU ZKLFK
KH ZDVQRWWREODPH+RZHYHUWKH RIIHQFHZDV QRWPDGHRXWLIWKH
GHIHQGDQWZDVVRLQWR[LFDWHGWKDWKHFRXOGQRWIRUPDQLQWHQW
$FFRUGLQJWR/RUG0XVWLOOWKHJHQHUDOQDWXUHRIWKHSUHVHQWFDVHZDV
FOHDUHQRXJK,QRUGLQDU\FLUFXPVWDQFHVWKHGHIHQGDQW
VSDHGRSKLOLDF
WHQGHQFLHVZRXOGKDYHEHHQNHSWXQGHUFRQWUROHYHQLQWKHSUHVHQFH
RIWKHVOHHSLQJRUXQFRQVFLRXVER\RQWKHEHG7KHLQJHVWLRQRIWKH
GUXJ ZKDWHYHU LW ZDV EURXJKW DERXW D WHPSRUDU\ FKDQJH LQ WKH
PHQWDOLW\ RU SHUVRQDOLW\ RI WKH GHIHQGDQW ZKLFK ORZHUHG KLV DELOLW\ WR
UHVLVWWHPSWDWLRQVRIDUWKDWKLVGHVLUHVRYHUURGHKLV DELOLW\WRFRQWURO
WKHP  7KXV WKH FDVH ZDV RQH RI GLVLQKLELWLRQ  7KH GUXJ ZDV QRW
DOOHJHGWRKDYHFUHDWHGWKHGHVLUHWR ZKLFKWKH GHIHQGDQWJDYH ZD\
EXWUDWKHUWRKDYHHQDEOHGLWWREHUHOHDVHG
1RWH 7KH GHIHQFH DSSOLHV WR DOO RIIHQFHV H[FHSW SHUKDSV DEVROXWH
RIIHQFHVDQGLWLVDFRPSOHWHDQVZHUWRDFULPLQDOFKDUJH

ZZZODZWHDFKHUFRXN