Opinion

Brown v. O'Dea

Court
Court of Appeals for the Sixth Circuit
Filed
Sep 22, 2000
Status
Published
Cited by
0 cases
Authority
More cited than 44.0%

The 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

s$0(6 + %52:1 ,,, ;

3HWLWLRQHU$SSHOODQW 

&URVV$SSHOOHH 

 1RV



Y !





0,&+$(/ 2j'($:DUGHQ 

(DVWHUQ.HQWXFN\ 

&RUUHFWLRQDO&RPSOH[ 

5HVSRQGHQW$SSHOOHH 



&URVV$SSHOODQW 

1

8SRQ5HPDQGE\WKH6XSUHPH&RXUWRIWKH8QLWHG6WDWHV

1Rn:LOOLDP2%HUWHOVPDQ'LVWULFWsXGJH

$UJXHGsDQXDU\

'HFLGHGDQG)LOHG6HSWHPEHU

%HIRUH0(55,77DQG0225(&LUFXLWsXGJHV

'8**$1'LVWULFWsXGJH

7KH +RQRUDEOH 3DWULFN s 'XJJDQ 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU

WKH (DVWHUQ 'LVWULFW RI 0LFKLJDQ VLWWLQJ E\ GHVLJQDWLRQ



 %URZQY2j'HD 1RV 1RV %URZQY2j'HD 

BBBBBBBBBBBBBBBBB $FFRUGLQJO\ZHDUHVDWLVILHGWKDW3HWLWLRQHULVQRWHQWLWOHGWR

KDEHDVUHOLHIZLWKUHVSHFWWRWKLVFODLPHLWKHU

&2816(/

8SRQUHFRQVLGHUDWLRQZHDUHVDWLVILHGWKDW3HWLWLRQHULVQRW

$5*8('  *DLO 5RELQVRQ 0F1$//<  2j'211(// HQWLWOHGWRKDEHDVUHOLHIRQWKHPHULWVRIHLWKHURIWKHLVVXHV

)UDQNIRUW .HQWXFN\ IRU $SSHOODQW  7RGG ' )HUJXVRQ UDLVHG LQ KLV SHWLWLRQ  7KHUHIRUH ZH DJDLQ $)),50 WKH

2)),&( 2) 7+( $77251(< *(1(5$/ &5,0,1$/ GHFLVLRQRIWKHGLVWULFWFRXUWGLVPLVVLQJWKHSHWLWLRQ

$33(//$7(',9,6,21)UDQNIRUW.HQWXFN\IRU$SSHOOHH

21%5,()*DLO5RELQVRQ.HYLQ00F1DOO\0F1$//<

2j'211(//)UDQNIRUW.HQWXFN\IRU$SSHOODQW7RGG

' )HUJXVRQ 2)),&( 2) 7+( $77251(< *(1(5$/

&5,0,1$/$33(//$7(',9,6,21)UDQNIRUW.HQWXFN\

IRU$SSHOOHH

BBBBBBBBBBBBBBBBB

23,1,21

BBBBBBBBBBBBBBBBB

3$75,&.s'8**$1'LVWULFWsXGJH7KLVFDVHLVEHIRUH

XV RQ UHPDQG IURP WKH 8QLWHG 6WDWHV 6XSUHPH &RXUW IRU

IXUWKHUFRQVLGHUDWLRQLQOLJKWRI:LOOLDPVY7D\ORU6&W

/(GG  ,Q%URZQY2j'HD

)G  WK &LU   ZH UHYHUVHG WKH GHFLVLRQ RI WKH

GLVWULFW FRXUW LQVRIDU DV LW FRQFOXGHG WKDW 3HWLWLRQHUjV

DSSOLFDWLRQ IRU D ZULW RI KDEHDV FRUSXV XQGHU  86&

†ZDVSURFHGXUDOO\EDUUHGEXWXOWLPDWHO\DIILUPHGWKH

GLVWULFW FRXUWjV GLVPLVVDO RI WKH SHWLWLRQ RQ WKH PHULWV

FRQFOXGLQJ WKDW XQGHU WKH mUHDVRQDEOH MXULVW VWDQGDUGl

SUHYLRXVO\DGRSWHGE\WKLVFLUFXLW3HWLWLRQHUZDVQRWHQWLWOHG

WRKDEHDVUHOLHI6HHLGDW

,Q :LOOLDPV Y 7D\ORU KRZHYHU WKH 6XSUHPH &RXUW

VSHFLILFDOO\UHMHFWHGWKHmUHDVRQDEOHMXULVWlVWDQGDUGLQIDYRU

RIDQmREMHFWLYHO\XQUHDVRQDEOHlVWDQGDUG,GDW

$FFRUGLQJWRWKH6XSUHPH&RXUW

 %URZQY2j'HD 1RV 1RV %URZQY2j'HD 

3HWLWLRQHU  $FFRUGLQJO\ 3HWLWLRQHUjV ILUVW FODLP GRHV QRW ,Q VXP †  G   SODFHV D QHZ FRQVWUDLQW RQ WKH

HQWLWOHKLPWRUHOLHI SRZHURIDIHGHUDOKDEHDVFRXUWWRJUDQWDVWDWHSULVRQHU

V

DSSOLFDWLRQIRUDZULWRIKDEHDVFRUSXVZLWKUHVSHFWWR

1H[W 3HWLWLRQHU FRQWHQGV WKDW WKH WULDO FRXUW HUUHG E\ FODLPVDGMXGLFDWHGRQWKHPHULWVLQVWDWHFRXUW8QGHU

GHQ\LQJGHIHQVHFRXQVHOjVUHTXHVWIRUDFRQWLQXDQFHLQRUGHU †  G   WKH ZULW PD\ LVVXH RQO\ LI RQH RI WKH

WRDIIRUGKLPWKHRSSRUWXQLW\WRH[DPLQH'U6KDOHUjVUHSRUW IROORZLQJ WZR FRQGLWLRQV LV VDWLVILHGWKH VWDWHFRXUW

DQGDVFHUWDLQWKHYDOLGLW\RI'U6KDOHUjVFRQFOXVLRQV7KH DGMXGLFDWLRQUHVXOWHGLQDGHFLVLRQWKDW  mZDVFRQWUDU\

WULDOFRXUWjVGHFLVLRQIRUFHGGHIHQVHFRXQVHOWRFRQGXFWKLV WRFOHDUO\HVWDEOLVKHG)HGHUDOODZDVGHWHUPLQHGE\

FURVVH[DPLQDWLRQ RI 'U 6KDOHU RQO\ D IHZ KRXUV DIWHU WKH 6XSUHPH &RXUW RI WKH 8QLWHG 6WDWHVl RU 

UHFHLYLQJ'U6KDOHUjVUHSRUW2QGLUHFWDSSHDOWKH.HQWXFN\ mLQYROYHG DQ XQUHDVRQDEOH DSSOLFDWLRQ RI    FOHDUO\

6XSUHPH&RXUWQRWLQJWKDWLWZDVmVRPHZKDWGLVWXUEHGE\WKH HVWDEOLVKHG)HGHUDOODZDVGHWHUPLQHGE\WKH6XSUHPH

WULDO FRXUWjV UHIXVDO WR JUDQW D FRQWLQXDQFHl XOWLPDWHO\ &RXUW RI WKH 8QLWHG 6WDWHVl  8QGHU WKH mFRQWUDU\ WRl

FRQFOXGHG WKDW 3HWLWLRQHU ZDV QRW HQWLWOHG WR UHOLHI RQ WKLV FODXVHDIHGHUDOKDEHDVFRXUWPD\JUDQWWKHZULWLIWKH

FODLP,QFRPLQJWRWKLVFRQFOXVLRQWKH.HQWXFN\6XSUHPH VWDWH FRXUW DUULYHV DW D FRQFOXVLRQ RSSRVLWH WR WKDW

&RXUWQRWHGWKDWGHIHQVHFRXQVHOVSRNHWR'U6KDOHURQWKH UHDFKHGE\WKLV&RXUWRQDTXHVWLRQRIODZRULIWKHVWDWH

6DWXUGD\EHIRUHWULDODWZKLFKWLPH'U6KDOHUmLQGLFDWHGKLV FRXUWGHFLGHVDFDVHGLIIHUHQWO\WKDQWKLV&RXUWKDVRQD

KHVLWDQF\WRWHVWLI\lEHFDXVHKLVWHVWVZHUHLQFRQFOXVLYHWKDW VHW RI PDWHULDOO\ LQGLVWLQJXLVKDEOH IDFWV  8QGHU WKH

DOWKRXJKGHIHQVHFRXQVHOZDVDZDUH'U6KDOHUPLJKWWHVWLI\ mXQUHDVRQDEOHDSSOLFDWLRQlFODXVHDIHGHUDOKDEHDVFRXUW

KHPDGHQRPRWLRQIRUDFRQWLQXDQFHXQWLO'U6KDOHUZDV PD\JUDQWWKHZULWLIWKHVWDWHFRXUWLGHQWLILHVWKHFRUUHFW

DFWXDOO\ FDOOHG DV D ZLWQHVV DQG ZKHQ SUHVHQWHG ZLWK WKH JRYHUQLQJOHJDOSULQFLSOHIURPWKLV&RXUW

VGHFLVLRQVEXW

RSSRUWXQLW\WRGRVRRQFURVVH[DPLQDWLRQGHIHQVHFRXQVHO XQUHDVRQDEO\ DSSOLHV WKDW SULQFLSOH WR WKH IDFWV RI WKH

IDLOHGWRTXHVWLRQ'U6KDOHUDERXWKLVSUHYLRXVO\H[SUHVVHG SULVRQHUjVFDVH

GRXEWV%URZQ6:GDW

,GDW IRRWQRWHDGGHG 

$VZHVWDWHGLQRXUSULRUGHFLVLRQmµ>Z@KHQDGHQLDORID

FRQWLQXDQFHIRUPVWKHEDVLVRIDSHWLWLRQIRUDZULWRIKDEHDV 7KH 6XSUHPH &RXUW IXUWKHU FODULILHG WKDW XQGHU WKH

FRUSXVQRWRQO\PXVWWKHUHKDYHEHHQDQDEXVHRIGLVFUHWLRQ mXQUHDVRQDEOHDSSOLFDWLRQlSURQJRI† G  DIHGHUDO

EXWLWPXVWKDYHEHHQVRDUELWUDU\DQGIXQGDPHQWDOO\XQIDLU KDEHDVFRXUWPXVWDVNmZKHWKHUWKHVWDWHFRXUWjVDSSOLFDWLRQ

WKDW LW YLRODWHV FRQVWLWXWLRQDO SULQFLSOHV RI GXH SURFHVVjl RI FOHDUO\ HVWDEOLVKHG IHGHUDO ODZ ZDV REMHFWLYHO\

%HQQHWW Y 6FURJJ\  )G   WK &LU 

TXRWLQJ+LFNVY:DLQZULJKW)G WK&LU

 %DVHGXSRQWKHIRUHJRLQJZHFDQQRWFRQFOXGHWKDW 

,Q UHOHYDQW SDUW †  G  SURYLGHV WKDW

LW ZDVREMHFWLYHO\XQUHDVRQDEOHIRUWKH.HQWXFN\6XSUHPH

&RXUWWRUHMHFW3HWLWLRQHUjVFODLP$VQRWHGVXSUDGHIHQVH $Q DSSOLFDWLRQ IRU D ZULW RI KDEHDV FRUSXV RQ EHKDOI RI D SHUVRQ

FRXQVHO HIIHFWLYHO\ FURVVH[DPLQHG 'U 6KDOHU HOLFLWLQJ D LQ FXVWRG\ SXUVXDQW WR WKH MXGJPHQW RI D 6WDWH FRXUW VKDOO QRW EH

QXPEHU RI mDGPLVVLRQVl WKDW FRXOG KDYH SRWHQWLDOO\ JUDQWHG ZLWK UHVSHFW WR DQ\ FODLP WKDW ZDV DGMXGLFDWHG RQ WKH

GLVFUHGLWHG 'U 6KDOHUjV FRQFOXVLRQV  )XUWKHUPRUH ZKHQ PHULWV LQ 6WDWH FRXUW SURFHHGLQJV XQOHVV WKH DGMXGLFDWLRQ RI WKH

FODLPo

SUHVHQWHGZLWKWKHRSSRUWXQLW\WRFURVVH[DPLQH'U6KDOHU

UHJDUGLQJKLVPLVJLYLQJVGHIHQVHFRXQVHOFKRVHQRWWRGRVR  UHVXOWHG LQ D GHFLVLRQ WKDW ZDV FRQWUDU\ WR RU LQYROYHG DQ

XQUHDVRQDEOH DSSOLFDWLRQ RI FOHDUO\ HVWDEOLVKHG )HGHUDO ODZ DV

GHWHUPLQHG E\ WKH 6XSUHPH &RXUW RI WKH 8QLWHG 6WDWHV    

 %URZQY2j'HD 1RV 1RV %URZQY2j'HD 

XQUHDVRQDEOHlH[SODLQLQJWKDWmDIHGHUDOKDEHDVFRXUWPD\ 6KDOHUjV DIILGDYLW 3HWLWLRQHU FRQWHQGV WKDW WKH WULDO FRXUW

QRWLVVXHWKHZULWVLPSO\EHFDXVHWKDWFRXUWFRQFOXGHVLQLWV LPSURSHUO\DGPLWWHG'U6KDOHUjVWHVWLPRQ\

LQGHSHQGHQWMXGJPHQWWKDWWKHUHOHYDQWVWDWHFRXUWGHFLVLRQ

DSSOLHG FOHDUO\ HVWDEOLVKHG IHGHUDO ODZ HUURQHRXVO\ RU $VQRWHGLQRXUSULRUGHFLVLRQDVVXPLQJDUJXHQGRWKDWWKH

LQFRUUHFWO\l,GDWm5DWKHUWKDWDSSOLFDWLRQPXVW WULDO FRXUW GLG HUU LQ DGPLWWLQJ 'U 6KDOHUjV WHVWLPRQ\ D

DOVREHXQUHDVRQDEOHl,GDW$SSO\LQJWKHmREMHFWLYHO\ YLRODWLRQRIDVWDWHjVHYLGHQWLDU\UXOHZDUUDQWVKDEHDVFRUSXV

XQUHDVRQDEOHlVWDQGDUGDQQRXQFHGLQ:LOOLDPVY7D\ORUWR UHOLHI RQO\ ZKHQ VXFK YLRODWLRQ UHVXOWV LQ WKH GHQLDO RI

3HWLWLRQHUjVFODLPVDJDLQOHDGVXVWRWKHFRQFOXVLRQWKDWWKH IXQGDPHQWDOIDLUQHVVDQGFRQFRPLWDQWO\DYLRODWLRQRIGXH

SHWLWLRQPXVWEHGLVPLVVHG SURFHVV  &RRSHU Y 6RZGHUV  )G   WK &LU

   :KHWKHU WKH DGPLVVLRQ RI SUHMXGLFLDO HYLGHQFH

,QKLVSHWLWLRQIRUDZULWRIKDEHDVFRUSXV3HWLWLRQHUILUVW FRQVWLWXWHV D GHQLDO RI IXQGDPHQWDO IDLUQHVV WXUQV XSRQ

FRQWHQGV WKDW WKH DGPLVVLRQ RI H[SHUW WHVWLPRQ\IURP 'U mZKHWKHUWKHHYLGHQFHLVµPDWHULDOLQWKHVHQVHRIDFUXFLDO

6KDOHUFRQVWLWXWHGDGHQLDORIIXQGDPHQWDOIDLUQHVV $WWULDO FULWLFDOKLJKO\VLJQLILFDQWIDFWRUjl/HYHUHWWY6SHDUV

'U6KDOHUWHVWLILHGWKDWEORRGIRXQGRQ3HWLWLRQHUjVERRWVZDV )G WK&LU  TXRWLQJ5HGPDQY'XJJHU

IRXQGLQRQO\ SHUFHQWRIWKHSRSXODWLRQDQGFRXOGQRW )G WK&LU 

KDYHEHHQWKHEORRGRI3HWLWLRQHU'U6KDOHUKRZHYHUGLG

QRWWHVWLI\WKDWWKHEORRGRQ3HWLWLRQHUjVERRWVEHORQJHGWRWKH 7KH6XSUHPH&RXUWRI.HQWXFN\WZLFHFRQFOXGHGWKDWHYHQ

YLFWLPDQG'U6KDOHUGLGQRWSUHFOXGHWKHSRVVLELOLW\WKDWWKH ZLWKRXW 'U 6KDOHUjV WHVWLPRQ\ WKH HYLGHQFH SUHVHQWHG

EORRGFRXOGKDYHEHHQWKDWRIDWKLUGSHUVRQ DJDLQVW3HWLWLRQHUZDVVXIILFLHQWWRMXVWLI\KLVFRQYLFWLRQDQG

WKDW3HWLWLRQHUKDGQRWEHHQGHQLHGDIDLUWULDO6HH%URZQY

$IWHU 3HWLWLRQHUjV FRQYLFWLRQ 'U 6KDOHU DGPLWWHG LQ DQ &RPPRQZHDOWK6:G .\ %URZQY

DIILGDYLWWKDWDGGLWLRQDOSRVWWULDOVFLHQWLILFUHVHDUFKLQGLFDWHG &RPPRQZHDOWK  6:G   .\    ,Q VR

WKDWWKHEORRGIRXQGRQ3HWLWLRQHUjVERRWVFRXOGKDYHFRPH FRQFOXGLQJ WKH .HQWXFN\ 6XSUHPH &RXUW QRWHG WKDW 'U

IURP 3HWLWLRQHU DQG WKHUHIRUH KLV WHVWLPRQ\ DW WULDO ZDV 6KDOHU KDG EHHQ VXEMHFWHG WR HIIHFWLYH FURVVH[DPLQDWLRQ

PLVWDNHQ  'U 6KDOHU DOVR DGPLWWHG WKDW WKH VFLHQWLILF XSRQZKLFKGHIHQVHFRXQVHOZDVDEOHWRHOLFLWIURP'U6KDOHU

WHFKQLTXHXVHGWRWHVWWKHEORRGZDVQRYHODQGQRWFRPPRQO\ WKDWWKHSDUWLFXODUPHWKRGXVHGE\KLPZDVQRYHOWKDWKHKDG

DFFHSWHGDWWKHWLPHRI3HWLWLRQHUjVWULDOLQDQGWKDWKH EHHQDFFHSWHGDVDQH[SHUWLQRQO\RQHRWKHUKRPLFLGHFDVH

ZRXOGQRWKDYHWHVWLILHGKDGKHNQRZQDERXWWKHSUREOHPV WKDWKHGLGQRWNQRZZKHWKHUWKHEORRGRQ3HWLWLRQHUjVERRWV

DVVRFLDWHGZLWKVXFKWHFKQLTXHDWWKDWWLPH%DVHGXSRQ'U ZDVWKHYLFWLPjVRUDWKLUGSDUW\jVDQGWKDWKHKDGWHVWHGZLWK

UHVSHFWWRRQO\WKUHHEORRGDQWLJHQVRXWRIDSRVVLEOHWZHQW\

WKUHH

 ,QOLJKWRIWKHVHmDGPLVVLRQVlRQWKHSDUWRI'U6KDOHUDV

:H QRWH WKDW WKH 6XSUHPH &RXUWjV GHFLVLRQ LQ :LOOLDPV Y 7D\ORU KDV

QR HIIHFW XSRQ RXU SULRU UXOLQJV WKDW WKH GLVWULFW FRXUW HUUHG LQ ILQGLQJ WKH ZHOODVWKHRWKHUHYLGHQFHSUHVHQWHGDJDLQVW3HWLWLRQHUDWWULDO

SHWLWLRQ FXUUHQWO\ XQGHU UHYLHZ WR EH D VHFRQG RU VXFFHVVLYH SHWLWLRQ DQG ZHFDQQRWVD\WKDWWKH.HQWXFN\6XSUHPH&RXUWjVGHFLVLRQ

WKDW VXFK SHWLWLRQ ZDV WLPHEDUUHG

ZDV mREMHFWLYHO\ XQUHDVRQDEOHl  :KLOH 'U 6KDOHUjV

 WHVWLPRQ\PD\KDYHEHHQGDPDJLQJWR3HWLWLRQHUZHFDQQRW

$ GHWDLOHG GHVFULSWLRQ RI WKH HYLGHQFH LQ WKLV FDVH LV VHW IRUWK LQ WZR

GHFLVLRQV IURP WKH .HQWXFN\ 6XSUHPH &RXUW  %URZQ Y &RPPRQZHDOWK

VD\WKDWLWZRXOGEHREMHFWLYHO\XQUHDVRQDEOHIRUDFRXUWWR

 6:G  .\  DQG %URZQ Y &RPPRQZHDOWK  6:G

GHWHUPLQH WKDW VXFK HYLGHQFH GLG QRW ULVH WR WKH OHYHO RI D

 .\   DV ZHOO DV RXU SULRU GHFLVLRQ )RU WKH VDNH RI EUHYLW\ FUXFLDO RU FULWLFDO IDFWRU LQ WKH MXU\jV GHFLVLRQ WR FRQYLFW

VXFK HIIRUWV ZLOO QRW EH UHSHDWHG KHUH

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.

A word about cookies

We need a few to keep you signed in and the library working. The rest help us see which pages people use and where they get stuck. They stay off unless you say yes.