6. Dennis Kozlowski, telephone interview with the author, June 7, 2012.
7. Ibid.
8. Ibid.
9. Dennis Kozlowski, interview with the author, Marcy, New York, May 21, 2011.
10. Dennis Kozlowski, letter to the author, March 10, 2011.
11. CNNMoney, “Three Tyco Execs Indicted for Fraud.”
12. Dennis Kozlowski, interview with the author, New York City, New York, June 23, 2012. See also, Brad McGee, telephone interview with the author, May 30, 2013.
13.
People v. Kozlowski II,
cross-examination of Michael Robinson, transcript at 07356:11–25, March 21, 2005.
14.
People v. Kozlowski I,
transcript at 00001, September 29, 2003.
15. Dennis Kozlowski, telephone interview with the author, May 10, 2012; and
People v. Kozlowski I,
transcript at 00001, October 7, 2003.
16.
People v. Kozlowski I,
Supreme Court Justice Obus charge to the jury, transcript at 14103:22–25–14104:1–7, March 18, 2004.
17. Ibid. at 00023:3–25, 00024:1–25, and 00025:1–25.
18. Ibid. at 00102:20–25.
19. Ibid. at 00108:8–10.
20. Dennis Kozlowski’s younger sister Joyce, email to the author, April 30, 2013.
21. Dennis Kozlowski, telephone interview with the author, June 7, 2012.
22.
People v. Kozlowski I,
transcript at 00108:10–25 and 00109:1, October 7, 2003.
23. Tyco International Ltd., “Compensation Committee Benefit Plans” (March 1995).
24. Ibid. at Appendix 2.
25. Ibid.
26.
People v. Kozlowski I,
transcript at 00109:15–25, 00110:1–25, and 00111: 1–25, October 7, 2003.
27. Ibid.
28. Ibid. at 00131:10–25 and 00132:1–3.
29.
People v. Kozlowski I,
cross-examination of Brian Moroze, transcript at 018975:1–25, October 22, 2003.
30. Ibid. at 02037:8–25 and 02038:1–23.
31. Ibid. at 02053:9–25 and 02054:1–23.
32. Ibid. at 02069:9–11.
33. Walter Hamilton, “Ex-Tyco Chief’s Lavish Lifestyle Is Defended,”
Los Angeles Times,
March 16, 2004.
34. Christo Lassiter, interview with the author, Cincinnati, Ohio, May 13, 2013.
35.
People v. Kozlowski I,
direct examination of David Boies, transcript at 12799:20–25 and 12800:1–8, March 1, 2004.
36.
People v. Kozlowski I,
Supreme Court Justice Obus charge to the jury, transcript at 14096:20–24, 14097:2–9, 14098:1–25, 14099:1–7, 14103:22–25, and 14104:1–7, March 18, 2003. (Emphasis added.)
37. Greg Farrell, “Stewart Convicted of Four Felonies,”
USA Today,
March 5, 2004.
38. Ibid.
39. Andrew Ross Sorkin, “The Tyco Mistrial: The Overview: Tyco Trial Ended as a Juror Cites Outside Pressure,”
New York Times,
April 3, 2004.
40. Kathleen F. Brickey, “From Boardroom to Courtroom to Newsroom: The Media and the Corporate Governance Scandals,” 22
Iowa Journal of Corporate Law
625 (Spring 2008).
41. Dennis Kozlowski, interview with the author, Marcy, New York, May 21, 2011.
42. Michael D. Sorkin, “Kathleen Brickey Dies; Pioneering Law School Professor,”
St. Louis Post-Dispatch,
June 21, 2013; and David Carr, “The Tyco Mistrial: The Media; Some Critics Say Naming a Juror Went Too Far,”
New York Times,
April 3, 2004.
43. Kathleen F. Brickey, “From Boardroom to Courtroom to Newsroom: The Media and the Corporate Governance Scandals,” 22
Iowa Journal Corporate Law
625 (Spring 2008).
44. Ibid. at 625 and 626.
45. Ibid. at 631 and 652-653.
46. Andrew Ross Sorkin, “The Tyco Mistrial: The Overview: Tyco Trial Ended as a Juror Cites Outside Pressure,”
New York Times,
April 3, 2004.
Chapter Sixteen:
People v. Kozlowski II
1. Dennis Kozlowski, telephone interview with the author, June 9, 2012.
2. Ibid.
3. Ibid.
4. Ibid.
5.
U.S. v. Gonzales-Lopez,
548 U.S. 140 (2006).
6.
People v. Kozlowski II,
jury selection, transcript at 01565:17–25 and 01566:1–4, January 26, 2005.
7.
People v. Kozlowski II,
jury selection, transcript at 01023:20–25, January 22, 2005.
8. Ibid. at 01024:2–17.
9. Dennis Kozlowski, telephone interview with the author, June 9, 2012.
10. Blaine Harden, “Image Spinner at the Center of a Web; Rubenstein, ‘Dean of Damage Control’ for New York’s Powerful,”
New York Times,
September 30, 1999.
11. Dennis Kozlowski, telephone interview with the author, June 9, 2012.
12. Christo Lassiter, “The O.J. Simpson Verdict: A Lesson in Black and White,” 1
Michigan Journal of Race & Law
69 (Winter 1996), 74–75. (Emphasis added.)
13. Christo Lassiter, interview with the author, Cincinnati, Ohio, May 13, 2013.
14. Dennis Kozlowski, telephone interview with the author, June 9, 2012.
15.
People v. Kozlowski II,
transcript at 00010:11–22, January 18, 2005.
16.
People v.
Rosario,
9 N.Y.2d 286 (1961).
17.
Brady v. Maryland,
373 U.S. 83 (U.S. 1963).
18. “Under the Influence,”
Law & Order,
Episode 8.11, NBC, created by Dick Wolf, directed by Adam Davidson, written by Rene Balcer, first broadcast January 7, 1998.
19. Robert Morgenthau, interview with the author, New York City, New York, May 22, 2013.
20. Terry Carter, “The Boss,”
ABA Journal
(cover story),
June 1, 2010.
21. Kevin McCoy, “Feared D.A. Relishes Taking Down Hotshots,”
USA Today,
June 23, 2002.
22. Robert A. G. Monks, telephone interview with the author, May 7, 2013.
23. Timothy L. O’Brien, “The Tyco Mistrial: the Prosecutor; White-Collar Crime Crusader Gets Chance to Refine a Case,”
New York Times,
April 3, 2004.
24. Dennis Kozlowski, telephone interview with the author, June 9, 2012.
25.
People v. Kozlowski II,
transcript at 00002:23–25, January 18, 2005.
26. Andrew Ross Sorkin, “Ex Tyco Chief Is Humbled, but Unbowed,”
New York Times,
January 16, 2005.
27.
People v. Kozlowski II,
transcript at 00002:23–25, January 18, 2005.
28. Ibid. at 00003:3–25 and 00004:1–16.
29. Ibid. at 00004:20–25 and 00005:1–25.
30. Ibid. at 00006:8–25 and 00007:1–8.
31. Ibid. at 00018:12–15.
32. Ibid. at 00678:20–15 and 00679:1–8, January 20, 2005.
33. Ibid.
34. Dennis Kozlowski, telephone interview with the author, June 9, 2012.
35. Ibid.
36. Ibid.
37. Ibid.
38.
People v. Kozlowski II,
transcript at 00025:14–17, January 18, 2005.
39. Dennis Kozlowski, interview with the author, New York City, New York, June 22, 2012; and Sandra Kozlowski, interview with the author, New York City, New York, October 16, 2012.
40.
People v. Kozlowski II,
transcript at 00026:21–25, 00027:1–4, 00027:23–25, 00028:1–17, and 00096:6–9, January 18, 2005.
41. Ibid. at 00166:6–15 and 00257:16–19.
42. Dennis Kozlowski, telephone interview with the author, June 9, 2012.
43. Isaac Rosenthal, interview with the author, New York City, New York, May 23, 2013.
44.
People v. Kozlowski II,
prosecution opening statement, transcript at 01446:5–9, January 26, 2005.
45. Ibid. at 01451:9–18.
46. Ibid. at 01452:16–21.
47.
People v. Kozlowski II,
cross-examination of Patricia Prue, transcript at 03431:2–24, February 14, 2005.
48.
People v. Kozlowski II,
prosecution opening statement, transcript at 01452:7–11, January 26, 2005.
49. ABA Business Law Section Corporate Law Committee, “Section 2,”
ABA Corporate Director’s Guidebook,
6th ed. (American Bar Association, 2012).
50. Dennis Kozlowski, interview with the author, New York City, New York, June 23, 2012.
51. Ibid.
52.
People v. Kozlowski II,
prosecution opening statement, transcript at 01452:7–11. January 26, 2005.
53. Ibid. at 01446:19–22.
54. Ibid. at 01227:17–25 and 01448:1–18.
55. Ibid. at 01449:1–9.
56. Andrew Ross Sorkin and Jonathan D. Glater, “Some Tyco Board Members Knew of Pay Packages, Records Show,”
New York Times,
September 23, 2002.
57. Robert Morgenthau, interview with the author, New York City, New York, May 22, 2013.
58.
People v. Kozlowski II,
direct examination of Patricia Prue, transcript at 03003:16–19, 03008:20–25, and 03019:1–14, February 9, 2005.
59.
People v. Kozlowski II,
cross-examination of Frank Walsh, transcript at 02437:8–25 and 02935:4–14, February 7, 2005.
60.
People v. Kozlowski II,
direct examination of Patricia Prue, transcript at 03020:7–25, 03021:1–12, and 03022:3–11, February 9, 2005.
61. Ibid. at 03034:12–25 and 03035:1–13.
62. Ibid. at 03012:9–22.
63.
People v. Kozlowski II,
cross-examination of Frank Walsh, transcript at 02714:1–23, 02737:8–25, and 02738:1–6, February 7, 2005.
64.
People v. Kozlowski II,
summation of defense, transcript at 14724:10–25, 14725:1–13, 14726:7–25, 14727:1–25, 14728:1–25, and 14729:1–19, May 23, 2005.
65. Ibid.
66. Ibid. at 14726:7–25, 14727:1–25, 14728:1–25, and 14729:1–19.
67.
People v. Kozlowski II,
direct examination of Dennis Kozlowski, transcript at 12126:9–25 and 12127:1 –12, April 27, 2005.
68. Ibid. at 12127:13–25, 12128:1–25, and 12129:1–22.
69. Ibid.
70. Ibid. at 12129:8–17 and 12130:21–24.
71. Dennis Kozlowski, letter to the author, February 7, 2011.
72.
People v. Kozlowski II,
direct examination of Dennis Kozlowski, transcript at 12131:3–5 and 12131:6–19, April 27, 2005.
73. Ibid. at 12132:2–25 and 12133:1–3.
74. L. Dennis Kozlowski, “Compensation,” memorandum to Mark Swartz and Patty Prue, September 11, 2000.
People v. Kozlowski II,
People’s Exhibit No. 408. Also, direct examination of Patricia Prue, transcript at 03075:24, February 9, 2005; and Dennis Kozlowski, telephone interview with the author, June 7, 2012.
75.
People v. Kozlowski II,
direct examination of Patricia Prue, transcript at 03065:23–25, 03066:1–10, 03130:3–25, 03131:1–25, 03132:1–25, and 03133:1–9, February 9, 2005. See also, Marian A. Tse, fax transmission to Donna Sharpless, Tyco International Ltd. re: Regulation S-K, January 19, 2001.
76.
People v. Kozlowski II,
testimony of Mark Foley, transcript at 04080–04089, February 16, 2005; and 04119–04151 and 04406:18–21, February 17, 2005.
77.
People v. Kozlowski II,
direct examination of David Boies, transcript at 10343:22 and 10386:10–25, April 12, 2005.
78.
People v. Kozlowski II,
cross-examination of Frank Walsh, transcript at 02638:22–25, 02639:1–25, and 02640:1–2, February 7, 2005.
79. Dennis Kozlowski, telephone interview with the author, June 9, 2012.
80.
People v. Kozlowski II,
direct examination of Mark Foley, transcript at 04451:1–11 and 04452:1–15, February 22, 2005.
81.
People v. Kozlowski II,
summation of Charles Stillman, transcript at 15042:7–12, May 24, 2005.
82.
People v. Kozlowski II,
direct examination of Patricia Prue, transcript at 03109:18–25, 03110:1–25, and 03111:1–6, February 9, 2005.
83. Ibid. at 03111:1–6.
84. Ibid. at 03269:2–10.
85.
People v. Kozlowski II,
cross-examination of Patricia Prue, transcript at 03898:15–25, February 16, 2005. See also, Separation of Employment Agreement between Patricia A. Prue and Tyco International (US), March 18, 2003.
86. L. Dennis Kozlowski, Mark H. Swartz, Mark D. Foley, and Jeffrey D. Mattfolk, letter to PricewaterhouseCoopers, December 19, 2000, at Paragraph 46.
87.
People v. Kozlowski I,
transcript at 00108:9–12, October 7, 2003.
88. Tyco International Ltd. 2001 Annual Report, L. Dennis Kozlowski, Letter to Shareholders, December 3, 2001, 19.
89. Dennis Kozlowski, letter to the author, February 9, 2011.
90.
People v. Kozlowski II,
prosecution opening statement, transcript at 03430:11–25, January 26, 2005, referencing
People v. Kozlowski I,
transcript at 03360–03362. See also,
People v. Kozlowski II,
transcript at 03431:2–10.
91.
People v. Kozlowski II,
transcript at 03427:16–17, 03436:15–25, and 03437:1–12, January 26, 2005.
92. Ibid. at 03427:14–23.
93. Ibid. at 03438:21 –25 and 03439:1–8.
94. Ibid. at 03439:9–25 and 03443:1–3.
Chapter Seventeen: Cut from Whole Cloth
1. Dennis Kozlowski, interview with the author, Marcy, New York, May 21, 2011.
