Elawyers Elawyers
Washington| Change

Hinkle v. Randle, 00-3889 (2001)

Court: Court of Appeals for the Sixth Circuit Number: 00-3889 Visitors: 5
Filed: Oct. 11, 2001
Latest Update: Mar. 02, 2020
Summary: 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$0(6 + +,1./( ; 3HWLWLRQHU$SSHOOHH  &URVV$SSHOODQW   1RV  Y !   0,&+$(/ 5$1'/(:DUGHQ  5HVSRQGHQW$SSHOODQW  &URVV$SSHOOHH  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW&ROXPEXV 1Rn$OJHQRQ/0DU
More
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$0(6 + +,1./( ; 3HWLWLRQHU$SSHOOHH  &URVV$SSHOODQW   1RV  Y !   0,&+$(/ 5$1'/(:DUGHQ  5HVSRQGHQW$SSHOODQW  &URVV$SSHOOHH  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW&ROXPEXV 1Rn$OJHQRQ/0DUEOH\'LVWULFWsXGJH $UJXHGsXQH 'HFLGHGDQG)LOHG2FWREHU %HIRUH.(,7+%$7&+(/'(5DQG0225(&LUFXLW sXGJHV BBBBBBBBBBBBBBBBB &2816(/ $5*8('06FRWW&ULVV2)),&(2)7+($77251( WKH 6XSUHPH@ &RXUW RQ D TXHVWLRQ RI ODZ RU LI WKH VWDWH FRXUW )LUVW RI DOO , DP VXUH WKDW DOO RI \RX KDYH KHDUG WKH SURSDJDQGD GHFLGHVDFDVHGLIIHUHQWO\WKDQ>WKH6XSUHPH@&RXUWKDVRQD WKH QHZV UHOHDVH WKH GHLILFDWLRQ RI '1$ ILQJHUSULQWLQJ WKH\ FDOO VHWRIPDWHULDOO\LQGLVWLQJXLVKDEOHIDFWVl:LOOLDPVY7D\ORU LW DQG KRZ LWV VR SUHFLVH DQG VR VFLHQWLILF DQG WKDW \RX HDFK RI 86  $QmXQUHDVRQDEOHDSSOLFDWLRQl \RX KDYH '1$ OLNH QRERG\ HOVH LQ WKH ZKROH ZRUOG $QG WKDWjV SUREDEO\ WUXH 7KH\ VD\ LW LV DQG , KDYH QR UHDO UHDVRQ WR GRXEW RI IHGHUDO ODZ RFFXUV ZKHQ mWKH VWDWH FRXUW LGHQWLILHV WKH WKDW 7KH SRWHQWLDO LV WKHUH IRU VFLHQFH WR LGHQWLI\ HDFK RI XV FRUUHFWOHJDOSULQFLSOHIURP>WKH6XSUHPH@&RXUWjVGHFLVLRQV LQGLYLGXDOO\ DJDLQVW DQ\ERG\ HOVH LQ WKH ZRUOG E\ '1$ EXW XQUHDVRQDEO\ DSSOLHV WKDW SULQFLSOH WR WKH IDFWV RI WKH SULVRQHUjVFDVHl,G8QGHUWKLVVWDQGDUGDVWDWHDGMXGLFDWLRQ %XW ODGLHV DQG JHQWOHPHQ '1$ WHVWLQJ IRU SXUSRVHV RI LV QRW XQUHDVRQDEOH mVLPSO\ EHFDXVH >WKH IHGHUDO@ FRXUW LGHQWLILFDWLRQ RI DQ LQGLYLGXDO MXVW FDPH LQWR EHLQJ LQ  ,W FRQFOXGHVLQLWVLQGHSHQGHQWMXGJPHQWWKDWWKHUHOHYDQWVWDWH LV MXVW LQ LWV LQIDQF\ 7KH WHFKQRORJ\ WKDW WKH\ XVH WKH\ KDYH GHYHORSHG VLQFH  $QG DOWKRXJK LW GRHV DQ LQFUHGLEOH MRE RI FRXUW GHFLVLRQ DSSOLHG FOHDUO\ HVWDEOLVKHG IHGHUDO ODZ VHSDUDWLQJ RXW '1$ DQG LGHQWLI\LQJ LW DSSDUHQWO\ WKHUHjV D ORQJ HUURQHRXVO\RULQFRUUHFWO\l,GDW5DWKHUWKH6XSUHPH ZD\V WR JR EHIRUH WKH\ DUH DEOH WR VD\ WKDW WKLV LV H[DFWO\ &RXUWKDVGLUHFWHGWKDWmDIHGHUDOKDEHDVFRXUWPDNLQJWKH VFLHQWLILFDOO\ WKH HQG UHVXOW RI WKLV WHVW DQG WKH\ VXUHO\ FDQQRW µXQUHDVRQDEOH DSSOLFDWLRQj LQTXLU\ VKRXOG DVN ZKHWKHU WKH GR WKDW LQ WKLV FDVH 7KH\ FRXOG QRW GR LW $QG HYHQWXDOO\ VWDWHFRXUWjVDSSOLFDWLRQRIFOHDUO\HVWDEOLVKHGIHGHUDOODZZDV WHFKQRORJ\ ZLOO GHYHORS , DP FRQILGHQW WKH\ ZLOO EH D ORW PRUH DEOH WR EH D ORW PRUH FHUWDLQ DERXW WKLQJV WKDQ WKH\ DUH WRGD\ REMHFWLYHO\ XQUHDVRQDEOHl  ,G DW   $Q REMHFWLYHO\ XQUHDVRQDEOH DSSOLFDWLRQ RI IHGHUDO ODZ GLIIHUV IURP DQ LQFRUUHFWRQH,GDW +RZHYHU WKH H[SHUWV RI FRXUVH ZRXOG QRW KHDU WKDW EHFDXVH 6HFWLRQ  G   VWULFWO\ OLPLWV WKH VRXUFH RI mFOHDUO\ WKHLU LQWHQWLRQ DQG WKHLU RSLQLRQ LV JRLQJ WR EH WKDW sDPHV +LQNOH HVWDEOLVKHG)HGHUDOODZlWRWKHKROGLQJVDVRSSRVHGWRGLFWD LV WKH IDWKHU 7KDWjV ZK\ ZHjUH KHUH 6R LQVWHDG RI VD\LQJ LWjV DnLWjV D WUDLW D JHQH WUDLW WKDW KDV WR FRPH IURP WKH IDWKHU DQG RIWKH6XSUHPH&RXUWjVGHFLVLRQV,GDW$FFRUGLQJO\ GLGQjW FRPH WKH\ VDLG ZHOO WKDW PLJKW EH D PXWDWLRQ :H NQRZ ZHmQRORQJHUFDQORRNWRORZHUIHGHUDOFRXUWGHFLVLRQVLQ WKDW PXWDWLRQV KDSSHQ VR LWjVnZH GRQjW FRXQW WKDW GHFLGLQJ ZKHWKHU WKH VWDWH GHFLVLRQ LV FRQWUDU\ WR RU DQ XQUHDVRQDEOHDSSOLFDWLRQRIFOHDUO\HVWDEOLVKHGIHGHUDOODZl :HOO QRZ WKDWjV QRW VFLHQWLILF ,WjV MXVW WKHP VD\LQJ m, GRQjW +HUEHUW)GDW NQRZ ZKHWKHU LWjV D JHQH WUDLW RU , GRQjW NQRZ ZKHWKHUnDQG , GRQjW NQRZ ZKHWKHU LWjV D PXWDWLRQ WKHUHIRUH ZH ZLOO GLVUHJDUG LWl (YHU\nWKLQNLQJ RI WKLV HYHU\ EDQG WKDW GLGQjW PDWFK WKH %HFDXVH +LQNOH FRXOG QRW VKRZ SUHMXGLFH IURP WKH IDWKHUnRU WKH DOOHJHG IDWKHU WKH\nWKH\ FRXOG DOZD\V VD\ WKDW SURVHFXWRUjV UHEXWWDO DUJXPHQW WKH VWDWH DSSHOODWH FRXUW  +LQNOHY5DQGOH 1RV 1RV +LQNOHY5DQGOH  mDFFXUDWHlZDVHUURUEXWWKDWWKHHUURUZDVKDUPOHVV:H DJUHHWKDWDQ\HUURUZDVKDUPOHVV:KLOHWKHSURVHFXWRUjV UHPDUNVKDGWKHHIIHFWRIEROVWHULQJWKHUHOLDELOLW\RI'1$ HYLGHQFH LQ JHQHUDO WKH\ FDPH LQ UHVSRQVH WR GHIHQVH FRXOGQjW WKH\" ,WjV D PXWDWLRQ $QG WKDWjV ZKDW WKH\ GLG KHUH $QG LI LWjV VR GRJJRQH VFLHQWLILF WKHQ VKRXOGQjW WKH\ NQRZ" FRXQVHOjVLQYLWDWLRQWRFRPPHQWRQWKHVWDWHRIWKHDFFXUDF\ PDGHLQWKHSURVHFXWRUjVFORVLQJDQGUHEXWWDODUJXPHQWV@ZH KLVWRU\RIVFLHQWLILFUHOLDELOLW\DQGDFFXUDF\RI'1$ PXVWUHYLHZWKLVDVVLJQPHQWRIHUURUXQGHUWKHSODLQHUURUUXOH l7KHUHIRUHXQGHUWKHHVWDEOLVKHGODZRIWKLVFLUFXLW 'HIHQVHFRXQVHOGLGQRWREMHFWWRWKHVHUHPDUNV7KHWULDO 3HWLWLRQHUKDVmZDLYH>G@WKHULJKWWRIHGHUDOKDEHDVUHYLHZ FRXUW LQVWUXFWHG WKH MXURUV WKDW WKH DWWRUQH\Vj FORVLQJ XQOHVVWKHSULVRQHUFDQGHPRQVWUDWHFDXVHIRUQRQFRPSOLDQFH DUJXPHQWVZHUHQRWHYLGHQFHWKDWWKH\FRXOGFRQVLGHULQWKHLU DQGDFWXDOSUHMXGLFHDULVLQJIURPWKHDOOHJHGFRQVWLWXWLRQDO GHOLEHUDWLRQV YLRODWLRQ RU D VKRZLQJ RI D IXQGDPHQWDO PLVFDUULDJH RI MXVWLFHl6LPSVRQYsRQHV)G WK&LU %3HWLWLRQHUjV'LUHFW$SSHDO FLWLQJ&ROHPDQY7KRPSVRQ86  DQG &RHY%HOO)G WK&LU  2QGLUHFWDSSHDOWRWKH2KLR&RXUWRI$SSHDOV3HWLWLRQHU UDLVHG WZR DVVLJQPHQWV RI HUURU  )LUVW KH PDLQWDLQHG WKDW 3HWLWLRQHUKDVWKHEXUGHQRIVKRZLQJFDXVHDQGSUHMXGLFHWR YDULRXV DFWLRQV RI WKH SURVHFXWRU LQFOXGLQJ WKH UHEXWWDO RYHUFRPHDSURFHGXUDOGHIDXOW/XFDVY2j'HD)G DUJXPHQWUHJDUGLQJWKHUHOLDELOLW\RI'1$WHVWLQJFRQVWLWXWHG  WK&LU  FLWLQJ&ROHPDQ86DW  PLVFRQGXFW WKDW GHQLHG KLP D IDLU WULDO  6HFRQG +LQNOH m$WWRUQH\ HUURU WKDW DPRXQWV WR LQHIIHFWLYH DVVLVWDQFH RI DUJXHGWKDWKLVFRXQVHOZDVFRQVWLWXWLRQDOO\LQHIIHFWLYHIRU FRXQVHOFDQFRQVWLWXWHµFDXVHjXQGHUWKHFDXVHDQGSUHMXGLFH IDLOLQJWRREMHFWWRWKHSURVHFXWRUjVUHPDUNVGXULQJUHEXWWDO WHVWl,G FLWLQJ*UDYHO\Y0LOOV)G WK&LU  ,Q0XUUD\Y&DUULHU86  WKH 6XSUHPH &RXUW KHOG WKDW DWWRUQH\ HUURU LV QRW FDXVH IRU SURFHGXUDO GHIDXOW DQDO\VLV XQOHVV WKH SHUIRUPDQFH RI SHWLWLRQHUjVFRXQVHOZDVFRQVWLWXWLRQDOO\LQHIIHFWLYHXQGHUWKH  3HWLWLRQHU UDLVHG D WKLUG DVVLJQPHQW RI HUURU FRQWHQGLQJ WKDW KLV VWDQGDUGHVWDEOLVKHGLQ6WULFNODQGY:DVKLQJWRQ86 FRQYLFWLRQ ZDV DJDLQVW WKH PDQLIHVW ZHLJKW RI WKH HYLGHQFH +LQNOH GLG QRW DVVHUW WKLV JURXQG LQ KLV KDEHDV SHWLWLRQ  +LQNOHY5DQGOH 1RV 1RV +LQNOHY5DQGOH  $GGUHVVLQJ WKH SURVHFXWRULDO PLVFRQGXFW FODLP ILUVW WKH :KHQ WKH 2KLR &RXUW RI $SSHDOV GHQLHG 3HWLWLRQHUjV DSSHOODWHFRXUWKHOGWKDWLWFRXOGUHYLHZRQO\IRUSODLQHUURU PRWLRQ IRU UHFRQVLGHUDWLRQ +LQNOH SHWLWLRQHG WKH 2KLR XQGHU2KLRODZEHFDXVHGHIHQVHFRXQVHOKDGIDLOHGWRORGJH 6XSUHPH&RXUWIRUUHYLHZ,QDEULHIRUGHUGDWHGsDQXDU\ DFRQWHPSRUDQHRXVREMHFWLRQWRWKHSURVHFXWRUjVDUJXPHQWLQ WKH2KLR6XSUHPH &RXUWGHQLHGOHDYHWRDSSHDODQG UHEXWWDO8QGHUWKHSODLQHUURUVWDQGDUGWKH2KLR&RXUWRI mGLVPLVVH>G@ WKH DSSHDO DV QRW LQYROYLQJ DQ\ VXEVWDQWLDO $SSHDOVDQDO\]HGHDFKRI+LQNOHjVFODLPVRIPLVFRQGXFWDQG FRQVWLWXWLRQDOTXHVWLRQl FRQFOXGHG WKDW HYHQ ZKHUH WKH SURVHFXWRUjV FRPPHQWV FRQVWLWXWHGHUURUWKDWHUURUGLGQRWULVHWRWKHOHYHORIXQGXH &7KH'LVWULFW&RXUWjVsXGJPHQW SUHMXGLFHRUPHHWWKHH[DFWLQJVWDQGDUGQHFHVVDU\WRH[FXVH WKHIDLOXUHRI+LQNOHjVFRXQVHOWRREMHFWWRWKHSURVHFXWRUjV 3XUVXDQW WR  86& †  3HWLWLRQHU ILOHG DQ UHEXWWDO DUJXPHQW  7KHUHIRUH WKH 2KLR &RXUW RI $SSHDOV DSSOLFDWLRQIRUDZULWRIKDEHDVFRUSXVRQsDQXDU\ RYHUUXOHGWKLVDVVLJQPHQWRIHUURU +LQNOHEDVHGKLVSHWLWLRQRQWKHSURVHFXWRUjVPLVFRQGXFWLQ FORVLQJDUJXPHQWVDQGLQHIIHFWLYHDVVLVWDQFHRIFRXQVHOGXH :LWKUHVSHFWWRWKHLQHIIHFWLYHDVVLVWDQFHRIFRXQVHOFODLP WR WKH IDLOXUH WR REMHFW WR WKH SURVHFXWRUjV VWDWHPHQWV LQ WKH 2KLR &RXUW RI $SSHDOV UHYLHZHG XQGHU WKH VWDQGDUG UHEXWWDO&RQVLGHULQJWKHFODLPRISURVHFXWRULDOPLVFRQGXFW DQQRXQFHGLQ6WDWHY%UDGOH\1(G 2KLR ILUVWWKHGLVWULFWFRXUWDJUHHGWKDWWKHSURVHFXWRUjVUHPDUNV  WKH2KLRDQDORJWR6WULFNODQGY:DVKLQJWRQ86 FRQFHUQLQJWKHUHOLDELOLW\DQGDFFXUDF\RI'1$WHVWLQJZHUH   +DYLQJIRXQGQRSUHMXGLFHWR+LQNOHIURPWKH LQDSSURSULDWH9LHZLQJWKH'1$HYLGHQFHDJDLQVW+LQNOHDV SURVHFXWRUjV VWDWHPHQWV WKH FRXUW WKHQ DSSOLHG WKH FULWLFDOLQWKHWULDOLQVWDWHFRXUWWKHGLVWULFWFRXUWKHOGWKDWWKH %UDGOH\6WULFNODQG VWDQGDUG DQG UHMHFWHG 3HWLWLRQHUjV SURVHFXWRUjV UHEXWWDO DUJXPHQW SUHMXGLFHG +LQNOH DQG LQHIIHFWLYHDVVLVWDQFHRIFRXQVHOFODLPLQVRIDUDVLWUHODWHGWR FRQGLWLRQDOO\LVVXHGWKHZULW$FFRUGLQJO\WKHFRXUWGHFOLQHG WKH IDLOXUH WR REMHFW WR WKH SURVHFXWRUjV FORVLQJ DUJXPHQW WRDGGUHVVWKHUHPDLQGHURI3HWLWLRQHUjVFODLPV VLQFHKHFRXOGQRWVKRZSUHMXGLFH ,,3URVHFXWRULDO0LVFRQGXFW  :HKDYHKHOGWKDW2KLRjVFRQWHPSRUDQHRXVREMHFWLRQUXOH 3HWLWLRQHU DOVR EDVHG KLV LQHIIHFWLYH DVVLVWDQFH RI FRXQVHO FODLP RQ FRQVWLWXWHVDQDGHTXDWHDQGLQGHSHQGHQWVWDWHJURXQGWKDWEDUV KLV ODZ\HUjV IDLOXUH WR PRYH IRU WKH DGPLVVLRQ RI DXWRUDGLRJUDSKV RI WKH IHGHUDO KDEHDV UHYLHZ DEVHQW D VKRZLQJ RI FDXVH DQG EDQGLQJ SDWWHUQV IURP WKH '1$ HYLGHQFH :LWK UHVSHFW WR WKLV SRUWLRQ RI +LQNOHjV LQHIIHFWLYH DVVLVWDQFH RI FRXQVHO FODLP WKH 2KLR &RXUW RI SUHMXGLFH6HHHJ6FRWWY0LWFKHOO)G $SSHDOV FRQFOXGHG WKDW FRXQVHOj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jV LQHIIHFWLYH DVVLVWDQFH RI FRXQFLO FODLP DV ZDLYHG :KHQ 3HWLWLRQHU DSSOLHG IRU D ZULW RI KDEHDV FRUSXV LQ WKH GLVWULFW FRXUW KH GLG VR RQ WKH JURXQGV RI SURVHFXWRULDO PLVFRQGXFW DQG KLV :H FDQQRW GLVFHUQ IURP WKH UHFRUG ZKHWKHU 3HWLWLRQHU SUHVHQWHG WKH FRXQVHOjV IDLOXUH WR REMHFW WR WKH SURVHFXWRUjV UHEXWWDO VWDWHPHQWV +LV DXWRUDGLRJUDSK SRUWLRQ RI WKH LQHIIHFWLYH DVVLVWDQFH RI FRXQVHO DUJXPHQW SHWLWLRQ DOVR DVVHUWV WKDW KLV WULDO FRXQVHO ZDV LQHIIHFWLYH EHFDXVH KH IDLOHG WR WKH GLVWULFW FRXUW (YHQ LI KH KDV KRZHYHU KLV FRXQVHO KDV DEDQGRQHG WR PRYH WR DGPLW WKH DXWRUDGLRJUDSK HYLGHQFH 1RQHWKHOHVV KLV FRXQVHO WKH LVVXH RQ DSSHDO :H WKHUHIRUH GHFOLQH WR FRQVLGHU WKH PDWWHU IXUWKHU
Source:  CourtListener

Can't find what you're looking for?

Post a free question on our public forum.
Ask a Question
Search for lawyers by practice areas.
Find a Lawyer