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Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 8 of 27 PageID 41355
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Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 9 of 27 PageID 41356
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Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 14 of 27 PageID 41361
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Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 15 of 27 PageID 41362
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9:X! CS9RYL! QPD:5! DR! ;>APDA>?>D:! D@5! ?SL! PRDPLR?X! AL>qL;6! E.g., Lion Bonding &
Surety Co. v. Karatz5! ^\^! )6+6! \`F5! \`^! c#G^Ed6! !,A! LeP=9>:L;! ZX! ?SL! +QPRLWL!
.DQR?5!f%B(9CD>D(_D>D(@?(Q:>EGAE89E?@R(9CD>D(_7G(@?(I?_D>(9?(A?(7@P9CE@=(O:9(9?(
G9>E<D( 9CD( 87GD( B>?K( 9CD( A?8<D95c( Citizens' Bank v. Cannon5! #\`! )6+6!E#G5! E^`!
c#HG\d6!4QRAQ9:?!?D!?SL!SD=;>:Y!D@!?SL!0>@?S!.>RCQ>?!>:!Cochrane v. WF Potts Son &
Co.5! `b! 06^;! #F^\! ca?S! .>R6! #GE#d5! ZLC9QAL! ?SL! P=L9;>:YA! >:! ?SL! ;>A?R>C?! CDQR?!
=9UAQ>?!;>;!:D?!PQ?!?SL!AQZkLC?!W9??LR!D@!?SL!PRDPLR?X!DR;LRL;!>:?D!RLCL>BLRAS>P!9?!
>AAQL5!?SL!;>A?R>C?!CDQR?!=9CVL;!AQZkLC?!W9??LR!kQR>A;>C?>D:!DBLR!?SL!PRDPLR?X6!!$?!>A5!
WDRLDBLR5! PRLAQWL;! ?S9?! 9! CDQR?! =9CVA! AQZkLC?! W9??LR! kQR>A;>C?>D:6! ! E.g., Lehigh
Mining & Mfg. Co. v. Kelly,!#\F!)6+6!E^b5!EEb!c#HGadp!Kokkonen v. Guardian Life
Ins. Co. of America5! a##! )6+6! Eba5! Ebb! c#GG`d6! ! 0QR?SLR5! =9CV! D@! AQZkLC?! W9??LR!
kQR>A;>C?>D:!C9::D?!ZL!U9>BL;!:DR!DBLRCDWL!ZX!9:!9YRLLWL:?!D@!?SL!P9R?>LA6!!E.g.,
Mitchell v. Maurer5! ^GE! )6+6! ^Eb5! ^``! c#GE`d6! ! ! ,CCDR;>:Y=X5! @LLA! W9X! :D?! ZL!
9U9R;L;!@RDW!?SL!RLCL>BLRAS>P!LA?9?LAT!PRDPLR?X6!(6Y65!Lion Bonding 9?!\`^6!
!D8DEHD>GCEI($DDG(3@7:9C?>E]DA(
8DRLDBLR5! LBL:! USLRL! ?SLRL! >A! AQZkLC?!W9??LR!kQR>A;>C?>D:!c?SLRL!>A!:D:L!
SLRLs!:D! C=9>W!U9A! P=L;! 9Y9>:A?! %DBD! 4D>:?!22.5!hQ9:?LC! 22.5!DR! ?SL>R!9AAL?A5!
:DR!9Y9>:A?! ?SL!9AAL?A! D@! IL@@!K9RD:d! ?SL!+QPRLWL! .DQR?!S9A!SL=;! ?S9?!f$@! SL! [?SL!
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!=DDV!@DR!S>A!CDWPL:A9?>D:!?D!?SL!P9R?>LA!9?!USDAL!>:A?9:CL!SL!
Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 16 of 27 PageID 41363
!
"#b"
U9A! 9PPD>:?L;g6! Atlantic Trust Co. v. Chapman5! ^FH! )6+6! E\F5! EbE!
c#GFHdcLWPS9A>Ad6!!&SL!>:A?9:?!RLCL>BLRAS>PA!9RL!ZD?S!>RRLYQ=9R!cZL>:Y!CDWWL:CL;!
>:!D@@"?SL"RLCDR;5!ex parte!PRDCLL;>:YA!U>?SDQ?!9:X!AQPPDR?>:Y!9@@>;9B>?A!DR!LBL:!9!
C=9>W! ?D! ADWL! jLWLRYL:CXT! ?S9?! CDQ=;! :D?! ZL! PRD?LC?L;! 9Y9>:A?! ZX! 9! RLA?R9>:>:Y!
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RLCL>BLR! D@! PRDPLR?X! D@! US>CS! >?! >A! 9AVL;! ?D! W9VL! :D! @QR?SLR! ;>APDA>?>D:g! 9:;! f9!
@L;LR9=! CDQR?! D@! L_Q>?X! U>==! :D?! 9PPD>:?! 9! RLCL>BLR! USLRL! ?SL! 9PPD>:?WL:?! >A! :D?!
9:C>==9RX! ?D! ADWL! @DRW! D@! @>:9=! RL=>L@! US>CS! >A! 9PPRDPR>9?L! @DR! L_Q>?X! ?D! Y>BLg5!
Gordon v. Washington5!^Ga!)6+6!EF5!Eb"EH!c#GEadd6!!,CCDR;>:Y=X5!?SL!RLCL>BLR!WQA?
!
=DDV! @DR! CDWPL:A9?>D:! @RDW! ?SL! P9R?>LA! 9?!USDAL!>:A?9:CL!SL!U9A!9PPD>:?L;6!!
Atlantic Trust 9?! EbE6! ! %D?9Z=X5! >?! U9A! 9?! 3DYL=TA! DU:! >:A>A?L:CL! ?S9?! SL! U9A!
9PPD>:?L;!RLCL>BLR!DBLR!%DBD!4D>:?!22.!9:;!hQ9:?LC!22.6!
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9:;!ULRL!:D?! ?9>:?L;!ZX!?SL! >RRLYQ=9R!PRDCLL;>:YA!?D!DZ?9>:! ?SLW5!?SL!@9C?Q9=!9:;!
=LY9=! Z9A>A! QPD:! US>CS! ?SL! RLCL>BLRAS>PA! ULRL! @DQ:;L;! S9BL! ZLL:! ASDU:! ?D! ZL!
@9=AL6!!,CCDR;>:Y=X5!?SL!D:=X!R>YS?!?D!LePL:ALA!UDQ=;!ZL!9:!L_Q>?9Z=L!R>YS?!?S9?!>A!
=>W>?L;! ?D! LePL:ALA! >:CQRRL;! ?D! ?SL! Le?L:?! ?SLX! S9BL! >:QRL;! ?D! ?SL! ZL:L@>?! D@! ?SL!
RLCL>BLRAS>P!LA?9?L!?S9?!>A!ADQYS?!?D!ZL!CS9RYL;6!!E.g. Speakman v. Bryan5!\#!06^;!
`EF5!`E#5!`E^!ca?S!.>R6!#GE^d6!!%D:L!D@!?SL!@LLA!ADQYS?!ZX!3DYL=!@DR!S>WAL=@!9:;!
Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 17 of 27 PageID 41364
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S>A! P9R?:LRA! S9A! ZL:L@>?L;! 9:X! RLCL>BLRAS>P! LA?9?L6! ! 8DRLDBLR5!3DYL=! >A! Z9RRL;! ZX!
?SL!L_Q>?9Z=L!W9e>W!?S9?!fSL!USD!CDWLA!>:?D!L_Q>?X!WQA?!CDWL!U>?S!C=L9:!S9:;Ag6!!
&SL!;DC?R>:L!D@!Q:C=L9:!S9:;A!RL_Q>RLA!?S9?!?SL!.DQR?!RL@QAL!f9:X!RL=>L@!US9?ADLBLR!
[9:;]!:D?!?D!CDWPRDW>AL!U>?S!>?!66!ZX!9==DU>:Y!9!P9R?!D@!US9?!U9A!C=9>WL;g!!E.g.,
Manufacturers' Finance Co. v. McKey5! ^G`! )6+6! ``^5! `a#! c#GEad6! !3DYL=! C=L9R=X!
CDWLA! U>?S! Q:C=L9:! S9:;A6! ! 3DYL=5! US>=L!SD=;>:Y!_Q9A>"kQ;>C>9=!D@@>CL!D@!APLC>9=!
W9A?LR!>:!?SL!C9AL5!>:!DR;LR!S9BL!S>WAL=@!9PPD>:?L;!9A!RLCL>BLR5!;LCL>?@Q==X!=L;!?SL!
*>A?R>C?! .DQR?n>:! ALCRL?5! Le! P9R?L5! D@@! ?SL! RLCDR;! PRDCLL;>:YAn! ?D! URD:Y@Q==X!
ZL=>LBL!?S9?!IL@@!K9RD:!S9;!C9QAL;!9!WL;>9?>D:5!@DR!US>CS!3DYL=!U9A!?SL!WL;>9?DR5!
?D!@9>=6!!$:!?RQ?S5!3DYL=!S9;!:D?!LBL:!ACSL;Q=L;!?SL!WL;>9?>D:!XL?6!!!&SL!;LCL>?!U9A!
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,CCDR;>:Y=X5!>:!DR;LR!?D!S9BL!S>WAL=@!9PPD>:?L;!RLCL>BLR5!3DYL=!:LL;L;!?D!?DRPL;D!
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RLPRLAL:?L;!?D!?SL!*>A?R>C?!IQ;YL!?S9?!?SL!WL;>9?>D:!S9;!@9>=L;6!
Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 18 of 27 PageID 41365
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$DD(._7>A(_7G(,?9($?>(.89:7;(-D>HE8DG(9?(4D@DBE9(?B(&&2G(
&SL!0>@?S!.>RCQ>?!S9A!SL=;!?S9?!CDWPL:A9?>D:!P9>;!@RDW!9!RLCL>BLRAS>P!LA?9?L!
WQA?! ZL! @DR! 9C?Q9=! ALRB>CLA!PRDB>;L;!?D!?S9?!LA?9?L6!E.g.5! Commodity Credit
Corporation v. Bell5!#Fb!06^;!#FF#5!#FF#!ca?S!.>R6!#GEGdp!Securities and Exchange
Com'n v. Elliott5!GaE!06^;!#a\F!c##?S!.>R6!#GG^d!cf&SL!CDQR?!>:!L_Q>?X!W9X!9U9R;!
?SL! RLCL>BLR! @LLA! @RDW! PRDPLR?X! ALCQR>:Y! 9! C=9>W! >@! ?SL! RLCL>BLRrA! 9C?A! S9BL!
ZL:L@>?L;!?S9?!PRDPLR?X6gd6!!%D!9==LY9?>D:!S9A!ZLL:!W9;L!9:;!:D!LB>;L:CL!S9A!ZLL:!
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?D! ?SL! ZL:L@>?! D@! 9:X! LA?9?L5! :DR! 9RL! ?SL! @LLA! ALYRLY9?L;! ZL?ULL:! LA?9?LA6! ! &SL!
=>W>?9?>D:!QPD:!9??DR:LXA!?D!CS9RYL!D:=X!9!RL9AD:9Z=L!=LY9=!@LL!9:;!?D!CS9RYL!D:=X
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=9U!>:!&Le9A6!Lee v. Daniels & Daniels5!^\`!+O!E;!^bE5!^HF"^H#!!c&Le6,PP6"+9:!
,:?D:>D! ^FFH5! PL?6! ;L:>L;dc:D?>:Y! f[,]??DR:LXA! 9RL! WLWZLRA! D@! 9:! 9:C>L:?!
PRD@LAA>D:!U>?S!Q:>_QL!PR>B>=LYLA!9:;!CDRRLAPD:;>:Y!RLAPD:A>Z>=>?>LAg!9:;!RLkLC?>:Y!
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Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 19 of 27 PageID 41366
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Golf Corp.5!\EG!06^;!##Gb5!#^F^!ca?S!.>R6!#GH#d6!!&SL!*>A?R>C?!.DQR?!9=AD!LRRL;!>:!
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Bank of Commerce & Trust Co. v. Hood5!\a!06^;!^H#5!^HE"`!ca?S!.>R6!#GEEd6!&SL!
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Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 20 of 27 PageID 41367
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Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 21 of 27 PageID 41368
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Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 22 of 27 PageID 41369
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Case 3:09-cv-00988-F Document 817 Filed 02/01/12 Page 23 of 27 PageID 41370
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