Taking Down the Lion: The Rise and Fall of Tyco's Dennis Kozlowski (43 page)

Morgenthau, Robert,
107
,
114
–15,
132
–3,
157
–8,
166
,
196
,
213
,
215
–17,
223
,
226

Moroze, Brian,
17
,
145
–7

Moscow, John,
136
,
159

Mueller Company,
33

Mule Battery Manufacturing Company,
30

Murphy, Gerard,
138

9/11,
76
–7,
213
,
229
n5

Naftalis, Gary,
157

Nestor, David,
182

Neves, Carol,
44

Nixon, Richard,
31

Obus, Michael,
117
,
138
,
148
–56,
159
–62,
176
,
179
,
186
,
191
–3,
197
,
201
–2,
205
–8

oczywista
(obvious, unmistakable),
225
–6

Ono, Yoko,
21

Pasman, James,
64

Pastore, Robert “Bobby,”
37

People v. Frank E. Walsh, Jr.,
104
–5

People v. Kozlowski and Swartz,
132
,
135
–51

People v. Kozlowski and Swartz II,
153
–80,
191
–3,
216

Perkins, Anthony,
13

perquisites, executive,
22
–5,
33
,
42
,
125
,
147
,
232
n14,
232
n17

Polakowski, Stas,
40

PricewaterhouseCoopers (PwC),
17
,
59
,
144
–6,
165
,
173
,
178
,
181
–2,
184
,
215
,
218
,
222

Prue, Patricia “Patty,”
125
–6,
146
,
164
,
166
–7,
169
,
171
–3,
176
–9,
203
,
219

Psycho
(film),
13
–16

Racketeer Influenced and Corrupt Organizations Act (RICO),
132

Raychem,
59

Raytheon Company,
30
–1,
61
–2,
119

Rettew, Amyjane,
136
,
153
,
204
–5

Rigas, John,
149

Robinson, Michael,
89
–90,
137

Roosevelt, Theodore,
35

Rosario
material,
157

Rosenburg, Arthur J.,
30
–1

Rosenthal, Isaac,
163
,
196
,
215
–16,
222

Rubenstein, Howard,
156

“Strawberry Fields Forever” (song),
21

Sarbanes-Oxley Act,
81
,
130
,
182
,
221

Scalia, Antonin,
154
–5

Scalzo, Richard,
173

Schmittberger, Rolf,
82

Scholl, Marc,
100
,
137
–8,
163
,
168

Schwarze, Bernd,
82

Schwarzman, Steve,
16
,
20

Scrushy, Richard M.,
7

Securities and Exchange Commission (SEC),
23
–4,
27
–8,
47
,
56
–60,
88
,
91
,
104
–6

September 11, 2001,
76
–7,
213
,
229
n5

Seton Hall University,
30
,
39
,
41
,
85
,
119

Sharpless, Donna,
167

Sheff, David,
21

short-sellers,
52
–3,
56
,
58
,
60
,
97
,
112

Shwartz, Bob,
161

Slusser, Peter,
64
,
101
–3,
167

Snyder, Mike,
73
–4

Sorkin, Andrew Ross,
126
,
150
–1,
158
–9,
202
,
220

spring-loading,
58
–9

Stavis, Roger L.,
132

Stewart, Martha,
6
–7,
149
–51,
162
,
196

Stillman, Charles,
138
,
144
–5,
151
,
169
,
186

Sumner, Walter,
40

Swartz, Mark,
62
,
77
,
96
,
107
,
110
,
126
,
128

appeals of,
199
–203

departure from Tyco of,
130
,
135

designated Executive Vice President and Chief Financial Officer,
102
–3

imprisonment of,
193
,
196

indictment of,
5
,
27
,
69
,
132
–3,
135
–8

letter to
Wall Street Journal
co-written by,
97
–8

and
People v. Kozlowski and Swartz,
141
–9

and
People v. Kozlowski and Swartz II,
155
–78,
182
–6,
217
–26

petition for a writ of
habeas corpus
filed by,
204
–6

resignation of,
130
,
135

retention agreement of,
73
,
130

and SEC inquiry,
57
–8

sentencing of,
191
–3

and Walsh payment,
83
,
88
–91,
94

See also People v. Kozlowski and Swartz;
People v. Kozlowski and Swartz II

Tice, David,
52
–6,
58
,
60
,
62
,
78
,
97

Tisch, Jonathan,
16

Trutanic, Richard,
156

Tse, Marian,
173

Tyco International Ltd.

and ADT,
73
,
95
,
97
,
116
,
165
,
167
,
171

and Airbus,
67
,
69

and Allied Pipe & Tube Corporation,
33

and AMP,
55
,
67
,
69
,
200

and Armin Corporation,
32
,
44

Board of Directors,
100
–4,
214
–16

and bonuses,
44
–5,
55
,
63
,
142
–3,
165
–79,
182
–6,
199
,
201
,
218
–23

and CIT Group (CIT),
65
–6,
73
–6,
78
,
85
–94,
99
–101,
104
–6,
113
,
118
,
122
,
127
,
137
,
175
,
184
–5,
200
,
213

corporate headquarters moved to Boca Raton, Florida,
171

and definition of “independent” resolution,
79
–81

and Grinnell,
32
,
34
,
43
,
45
,
172

Incentive Compensation Plan (the Plan),
143
–4,
166
–70,
173
,
176
,
219

Key Employee Loan Program (KELP),
110
,
143
,
180
,
182
–6,
201
,
220
–3

and Kendall International, Inc.,
74
–5,
142
,
165

and Ludlow Corporation,
32
–4,
43
,
45

and Mueller Company,
33

and Mule Battery Manufacturing Company,
30

and Raychem,
59

and the recession of 2001,
4
–5,
64
–5,
73
–4,
77
,
229
n8

and Scott Technologies,
65

and SEC,
23
–4,
27
–8,
47
,
56
–60,
88
,
91
,
104
–6

added to Standard & Poor’s (S&P) 500,
61

stock (TYC),
23
,
31
,
63
,
93
,
113
,
118
,
129
,
243
n46

West 57
th
Street offices of,
18

Tyco v. Walsh,
85
,
88
,
93
,
101
,
103
,
105
–6,
123
–5

TyCom Ltd.,
165
–73,
175
–8

U.S. Securities and Exchange Commission (SEC),
23
–4,
27
–8,
47
,
56
–60,
88
,
91
,
104
–6

Valliere, Wendy,
25
–7

Waksal, Sam,
6
–7

Walsh, Jr., Frank,
98
,
165
–9,
179

and CIT investment baking fee,
81
–3,
85
–95,
100
–1,
103
–6,
118
,
122
–3,
174
–5,
184
–6,
213
,
223

indictment of,
5

payment to,
81
–3,
85
–6

and
People v. Frank E. Walsh, Jr.,
104
–5

and
People v. Kozlowski and Swartz II,
174
–5,
184
–6,
217
,
223

and
Tyco v. Walsh,
85
,
88
,
93
,
101
,
103
,
105
–6,
123
–5,
127

Welch, Jr., Jack F.,
22
–5,
75

Whitworth, Ralph,
126

Wieczner, Jen,
129

WorldCom,
6
–7,
137
,
149
–50,
159
,
162
,
196
,
213

Zuckerman, Mort,
16