hevesi sentencing memo

8/7/2019 Hevesi Sentencing Memo

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SUPREME COURT OF THE STATE OF NEW YORK.COUNTY OF NEVi YORK: PART 31. . . . . - - - . . . . ~ .. , .. . . . . . . . . . I i I I . . ._ . . ._ _ . . ._ . . . . . . . _ .~ _ . - - - . . ; - _ . . . . . . . . . . " " ". . . ._ _ . . . X.THEPEOPLKOF.THE STATE OFNEWORK

ALAN .f.IEVES I, -Agalnst-

. Defendant

SC I. NO .: 463 212 010

,ALAN -REVES! SENTENCING MEMORANDUM,

SIMON & PARTNERSLLP551 Fifth AvenueNew Yor~ N ew York 10176Tel: (212) 332-8900F a x : ( 212 ) 332 8909, Attorneys for Defendant,Alan Hevesl

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TABLE OF CONTENTSPage(s)

INTRODUCTION' 1I.ALAN HEVEsr S PERSONAL LIFE HISTORY 1

A . Family Background and Personal History' 2B. Alan'sPolitical Career .4

1. New York State Assembly 52. .'New York City Comptroller 7 .3. New York State Comptroller 114. Alan Was a Dedicated Politician Committed to.Social.Justice' and Reform 13

I I . THE IN STA N T OFFENSE 15. A. Hevesi;s Relationship withH~nk Morris 1 9D, The CRF Prospered During Alan '8Tenureas State Comptroller . 20 'C", Alan Has Taken FJ.l1lResponsibility For HisActions and Has Expressed Genulne Remorse 2 2

III.ALAN'S COOPERATION WITH THE ATTORNEY GENERAL 23.IV. CAROL HEVESI HEALTH AND ALAN'SPRIOR CONVICTION , . . 24V.ALAN HEVESI'SMJIDICAL CONDITION 27VI. ALAN HAS ALREADY BEEN PUNISHEDSEVEREL Y . 29. FOR HIS CRIMECONCL US ION 33

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INTRODUCTIONTheobje~tive of this memorandum isto provide information that-will enable the Court to

re f ully understand Mr. Hevesi's lif e in its totality; h is ca re e r, .hisfamily, his triumphs, .edies apd mistakes. .Our obj ective is notto minimize Mr. Hevesi' s offense, butto place it incontext of his entire life and to assist the court in determining ajust sentence, As th eemed United States District Judge, Jed S. Rakoff, has eloquently explained:

[S]urely, i f-ever a man is to receive credit for the good he has done, and hisimmediate misconduct assessed in the context of h is o v era ll life hitherto, itshould beat the.moment of his senrencmgwben his very futurehangs in thebalance. .This elementary principle of weighing the good with the bad ... IS basicto all the great religions, moral philosophies; and systems of justice.. ,S v.Adelson, 441 F.Supp.2d 506, 513S14 (S.D.NiY 2006)(emphasis added). Based on the

lity of h i s life, we. believe that Alan deserves considerable credit for the enormous good hedone for society, which should weigh heavily in favor of a lenient sentence, despite his,

ALAN HEVESI'S P ERSON"AL L I FE HISTORY. . F am ily members, friends, colleagues and constituents have submitted le tte rs to th ec ou rt

Mr. Hevesi's behalf These letters are evidenceof Mr, Hevesi's good character andn stra te a ll h e h as d on e-f or individuals arid o rg an iza tio ns w ith i~ th e community o ve r h is

time. Some also detail the considerable medical and health issues of both Mr. Hevesi and his

e. Some of these letters are excerpted herein, while others are not. We respectfully urge the. .urt to read andconsidereach one of these letters, which uniformly portray Alan Hevesi as an

family 1 1 1 a n , frie nd , tea ch er, activ ist an d politician who has . se l f less ly done. , ,

on ish in g th in gs for h is commun ity. T he follow in g lette rs a re atta ch ed h ereto:



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.. DanielHeveSi, son (Exhibit 2);.. LatiraHevesi,daughter (Exlnbit 3); ... Andrew Hevesl, sot)(Exhibit4):.. Carol Hevesi; wife (ExhibitS) I; .

.. Dennis Hevesl, brother (Exhibit 6)~ .

.. R ach el H ev esl, d augh te r-in -law (Exhfbit 7); ErmHevesi, daughter-In-law (Exhibit 8);

.. Susan Ross, -friend and in-law (Exhibit 9);- Daniel Dromm, New York City Council Member; longtime friend (Exhibit 10);- William Flynn, Chairman Emeritus of Mutual of America, longtime friend (Exbibit 11);. Robin Elliott, friend and f orme r c olle ague (Exhibit 12);II. Roberta Rubin, f rie nd a nd f orme r c olle ag ue (Exhibit 13); Dalla Zabavi, friend andformer student (Exhibit 14);- Martin Carney, Professor of Education at Stanford University, childhood friend(Exhibit 1 .S ); .. . Jack Gmnspan, Executive Vice President, Bnai Zion Foundation. Inc., friend and

colleague (Exhibit 16); . Rabbi Joseph Potasnik., The New York Board of Rabbis; friend and Rabbi (Exhihit 17); Rabbi Mayer Perelmuter, friend and Rabbi (Exhibit 18)~ .II Sheila Schwartzberg, friend and former employee (Exhibit 19); Rilla Caprarella, M . n . , treating physician (Exhibit 20)~ Martin.Greenfield, ~.D., F.A.C.P.,F,A~C.E., treating physician (Exhibit 21);-Lawrellce.Shulman., D.O.,F .C,C.P., Director o f Sleep Medicine and a treating.physician of Alan Hevesi (Exhibit 22); .. . Sanford B. Solomon, M.D~,P.C., treating physician (Exhibit 23).

A.Famity Background and PersonalliistoryAlan's grandfather,.SimonHevesi, was the Chief Rabbi of Budapest. .As the Chief

bi.he, along with the leaders ofother religioussects, had a non-elected seat in the Hungarian. .rliament. Alan's father. Dr. Eugene Hevesi, was a banker, diplomat and economist. Eugenefought inthe Hungarian A r m y during World WarI and spent time in a Russian Prisoner

f War Camp .. In the 19308, he carne to the United States with his' wife Alicia to serve a s theon om ic a ttac he .to th e H un ga ria n Emba ssy in Wa sh in gto n. F our mon th s a fte r h is arriv al,

a l Horthy, al i ally o f th e N a zis, becamePreside~t of H ungary. A nti-Je wish law s w ere. .

Due to C aro l H ev esi' s severe phys ic al a nd p sy cholo gi ca l imp ai rm en ts , w h ic h a re w e ll- do cume nt ed a nd discussed.'length b elow , h er le tte r w a s prepared with some assistance from her family. A ll of th e sentiments expressedein, however, are Carol Hevesi' salone ..

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Mar 29 2011 7:34PM Court House - NYPOST 1-212-577-6734 p.5

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A f te r h igh sch ool, Alan e nrolle d at Q uee ns C olle ge where h e again excelled inbasketball, becoming the team's captain. Hewasscouted to p la y-prof e ss io n al b as k et ba ll for rheBoston Celtics but was not signed? While a career in professional sports didn't seem to be in, .A lan 's future , a career in academics. did. Alan becam e interested in political science and serveda s a re se arc h a ssista nt t o Professor Marilyn Gittell , L a t e r , he co-authored a book with ProfessorGittell The Politics of Urban Education.

Alan decided to pursue a graduate career in political science. He applied and wasaccepted to.the political science Ph.D . program at Columbia University. In 1967, he became a

. .'professorin th e political science department at Queens College. After receiving his Ph.D. from. . . .Columbia in i971 , A lan received ten ure at Q ueens C ollege . He continued to teach there until his.e le ction as City C om ptroller in 1993.

B._ ... !;\Jan's Politi~alCareerW h lh : in the Ph.p.program at Columbia, Alan applied for, 'and obtained a Ford -,

Foundation grant to serve. as a legislative intern for the New York State Senate under thenRepublican leader. Walter Mahoney. Subsequently. he became the legislative assistant tohislocal Senat~r.S eymour Thaler. A lan w orked for Senator Thaler for seven ye ars . D urin g this.period, h~ observed State politics both as a practitioner and as apolitical scientist. His Ph;D.

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entitled,LegiSlattve Politics in New York State: A Comparative Analysis, was laterpublished as a book in 1975. Authors Seymour Lachman and Robert Polner, in their 2.007 book.on New York State Government . referred repeatedly toAlan's book as one of the definitive

, .' . ,

sc hola rly stu die s on how power is exercised in Albany.

2 Alan's basketball career wasbriefly resurrected in th e 1980s w hen he was asked to play on it special u.s. all-starteam In China, which I n cl udednume rous , we l l-bl own professional players. .



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, 1,' New York State Assembly- . . .In 1971, Thaler resigned his Senate seat to become a S up rem e C ourt Justice. State

Emanuel Gold decided to run for Thaler's seat.Ieaving his Assembly seat vacanta n w as e ncoura ge dto d eclare h is c an did ac y in a special election . A lanhesita ted; he w as now

with two young children and was concerned about taking on this responsibility,verthe less, he decided to give it a try. W ith no money, A lan mounted a street corner 'ampaign and won decisively. He served in that Assembly position for the next twenty-two

In the early 1970s, the State Legislature did not suffer from-the same paralysisthat it doesd ay . I mp orta nt legislation was passed during th ese yea rs with D emocrats and Republicansorking together. Alan teamed up'with several other young legislators such as Manhattan

A lexander G rannis;' Jerrold N adler and O . O liver Koppen , who took th eir w orkrio us ly a nd w e re d ete rm in ed to make a difference by enacting important reform legislation.'lan crossed the aisle and forged important working relationships with likeminded Republican '

with th e aim o f getting badly needed s ta tu te s e n ac te d , Republican Assemblyman Tomw as one such serious minded legislator who work ed close ly w ith Alan across party ,

nes. Together they co-chaired a special task force on the disabled.Alan's passion in the Assembly was health care reform. He spearheaded the nursing

mereform legislation, to address this major problem area in the 1970s, As chairman of th esembly sub-committee on health , he he ld a series of bearings in 1975, which investigated

home abuse throughout the.state. These' hearings led to the enactment of sweepingrsing. home reform legislation introduced by Alan, which includedreforms such as: A nursing

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Term Care in Transition: the Regulation of Nursing l!0mes in New fork State ,.by D av id B a rton.

hom e p ~tien t B ill of R igh ts; un an noun ced in sp ectionsof nursing homes; establ ishment of a. s ys te ~ for rating nursing hom es in terms of-quality of care prov ided ; and full disclosure of. '" . . . . " .... ~ownersh ip interests in nursing c are fa cilitie s a nd suspension o f op er at in g certificates. See . Long

. .Smith. Auro ra P re ss , Un iv ers ity o f M ichig an , 1981.. O ther im portant health care reform s organized by A l~ incl uded legislation cod if yin g th e

Nuremberg ru le s th at proscribed the conducting of medical experiments on patients without their. k now ledge an d con sen t. H e also.spon sored .legis la tionprohibitin g h osp ita ls from turn in g aw ayemergency r oom pa ti en ts . One of h is p roude s t a ch ie veme nts w as. th e au th orin g of th e lawproviding fo r establ ishment of hosp ice care fac ilities in the S ta te for the terminally ill. TheHospice Care statute . which created a new category of health care facility. was later adopted bymany states th rough out th e country. Alan ultimately spon sored 108 bills during his tenure in th eS ta te A ssem bly an d co-sponsored hun dreds more w ith v ario us c olle ag ue s...' '" .

AIB; f iWas u rged byrnany of h is fe llow Assemblymen to run for Assembly Speaker in1986. Although he eventually lost to Assemblyman Mel Miller, Alan was elected to be th edeputy m ajority leader, a post he h eld un til h is e le ction a s . City Comptroller in 1993 , Miller .h ow ev er, out of sp ite, str ipped Alan of h is belov ed H ealth C ommittee C hairm an sh ip .

. A lan was regarded in the Assembly asone of the few le gis la to rs w h o cared more aboutpo li cy 'a n d subs ta n c e than electoral politics. An October 4. 1993. Ne~ York Magazine profile o fA lan d escribed h im as it rare breed in Albany. The artic le 's author, E ric Pooley, w rote : .

S om e of Hevesi's colleagues had trouble figuring him out. He w as morein te re ste d in le gisla tion th an in p olitic s. He sp en t m ore tim e t ea ch in g john Lockethan reviewing exit polls. H e w as a first ra te m ind am ong dunderheads.

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Po li ti ca l c onsu lt an t Norman A dler, w ho w orked for Mel Mille r, A l an 's riv al f or-A s semblySpeaker , stated in th e sam e article:

~.,.~ .There aren 't a lot of in te llec tuals in the A ssem bly .. , The ski il s" necessary to ge telected.aeen'taaalytical skills. Most politicians have people like me to do their~ysis w hile they press th e flesh and raise" money. These th ings didn't comeeasily to A lan , but analysis and discussion of legislation do."A lan w as also the rare politician who always put k indness and compassion before

politics. A poignan t exam ple of th is tra it occurred in 1986, follow ing th e suic ide ofQ ueensBorough President Donald Manes. Although not personally close to Manes, they both hailedfrom Q u ee ns. After. M a n e s was imp li ca te d in a s~rdid mun ic ip al c orrup tio n" s ca nd al th at led to

. J. !

is untimely 'd ea th , th e e ntire N ew York polit ical e sta bli shment d is ta nc ed themselves from .

tw ithstan din g the po te n ti al p o li ti ca l fallout, Hevesi, alone am ong the N ew Y ork political

stablish ment, show ed true com passion and agreed to M rs. M an es's request, standing tall to

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anes o ve rn ig ht, in clu din g lo ng time political a lli es s uc h as Mayor Ed Koch and Gcvernorario Cuomo, Atterhis suicide.Manes' distraught widow was determined t o buryherhusband "

dignity. S he w en ttoA lan : and asked ifhe w ould be w illin g to deliver her husband'seulogy.. '. . " . ." ", .

2. New York City Comptroller

J"I

IIIliv er th e e ulogy for h is late Queens colleague.

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As Alan's distinguished career in th e A s se mbly ap pro ac he d the tw enty-year m ark , heegan to 100l< for n ew ch al le n ge s , "In 1989, he announced his candidacy' for City Comptroller .though he los t in a close race to E lizabe th Holtzman that year,he re turned in l993 to soundlye fea t-the in cum bent H oltzm an . in a rem atch to become th e Democratic nominee. "He laterdefeated HermanBadillo, who was running on the Republican line, by a wide margin,

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no~thstandingthat Badillo was running on the same ticket with Rudy Giuliani who handilydefeatedthe Democratic incumbent, David Dinkins

Alan applied the same passion for substance and policy that had distinguished him intheAssembly, to his new ,position overseeing the finances and fiscal well being of the City of NewY ork . A s C ity Com ptroller, A lan m onitored the city budget. handled the city's accounting,performedhundreds of audits, supervised debt issues and oversawthe boards of the five citypension funds and their investment strategies,

, Although Alan f~r~ed a close working relationship with the Republican Mayor, RudyGuil ia ,n i,he didn 't ' hesitate to take on the Mayor when he felt it was in th eC ity 's best interests .One we ll ..publicized dispute involved the safety of the City's drinking water . In conformity withis long historyof c on ce rn for p ub lic health, Alan opposed Mayor. G uilia ni's 1 ?1 Eq lto sell the .City' ~wa te rsh ed f or $2 billion to the State .. Alan concluded. that the short-term cash infusion toe C i t y w asnot w orth th e long-te rm dam age thai would result from loss of control over th e

23 reservoirs, which would have become underthe control of various upstate.unicipalities. New York City would have lost its ability to regulate the health. and safetyof its .te r s up plyif th e p rop ose d salewaseffectuated. W h e n A l an a nnounc ed that he would block. .. - .

he sale as being against the "best in terests of the peop le of [the] city and their future w ell-. "eing,"Mayor Guiliani filed suit against him, seeking ,a declaratory judgment thatAlan; as City

mptroller was a ctin g o utsid e his authority, Both th e Appellate Division and the Court of ,ppeals, in Giuliun: v. Hevesi, 90 N.Y. 2d27 (1997), ruled that Alan's actions were indeed

a nd th at Guiliani, not Hevesi, acted outside the scope of his authority,. As City Comptroller. Alan was required to borrow money on behalf of New York City,

hich gave him considerable clout with investment banks eager to underwrite City loans. Alan

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used this inf luence to compel banks a n d c orp ora tio ns to act responsibly. 'H e receivedinternational acclaim for directing the effort to force banks and fmari~ial insti tutions to' honor. ,. .Holocaust restitution claims. Alan first organized a conference of state, city and munici~al 'financial officials throughout the country in New York City to discuss the Holo~aust restitutionissue .: H e c re ate d an Bxecutive Monitoring Committee to oversee "international efforts at ,restoring stolen. lost and looted property to Holocaust survivors." Ho lo ca us t J us tic e: T h e Battlef or Rest it uti on in.American Courts , by Michael J Bazyler , NYU Press (April l, 2005). Alan

" ,devised what became known as "rolling sanctions,' which were intended to punish financial' ,

institutions in the future if they did not in iti ate c onc re te mea su re s to compensate holocaust'victims fortheir stolen funds. j d . at 23. Author Bazyler wrote that: '

Hevesi brilliantly figured out that a moreusefulclub towield against banks wouldbe to merely threaten sanctions and to announce a p lan fo r the ' actual imposition in 'th e futu re .Id . at23. T h e sa nc tio ns w o uld b e im pleme nte d in f ou r sta ge s a t s ix -w e ek in te rv a ls . T h e b an k s. . . . .finally surrendered; agreeing to rest itu tion in the amount o f $ 1.2 5 bUlion. Alan receiveduni versal praise for spearheading the effort that resulted in this unprecedented. settlement.B a z y le r w r o te : '

.W i t h t h is v i ct ory, Heves iand th e Ex ecutiv e Committe e had now become a potentforce in theHolocaust restitution movement. Subsequent settlements with theGerman and French Banks, with German' industries over the wartime use of slave,labor; with the European insurers, all carry the stamp of Hevesi '8efforts. '.In a letter to the Court.Rabbi Joseph Potasnik, Executive Vice President of The New'

York B oard of Rabbis, also p ra is ed , A la n's e ff orts on be half of Holocaust survivors:During [Alan's] professional career, he championed the legitimate rights o fHolocaust survivors who were denied restitution by Swiss banks. For too long,th e financial 'institutions of many European countries ignored the pleas of thosewho endured t he indescribab le horrors of inhumanity. His s te ad f as t involvementh e lp e d s ec ure a n equitable set t lement wh ic h be ne fitte d [s ic ] th e survivors of this

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, horrific period .. ,. A s a, child of Holocaust survivors, I t ru ly admire his 'courage,, and d ete rm in atio na t a tim e w h en to o 'ma ny rema in ed indifferent t o th e p ain and 'th e plight of the vulnerable . ' . '. . . , . .Alan used similar leverage to try to a ss is t th e peace p rocess in Northern Ireland. He'

bbied tohave global financial institutions doing business with New York City to adopt theid e P rin cip le s; a s erie s o f f air employment meas ure s, which we re a corpora te code of

n du ct f or U . s . companies doing business in N orthe rn Ireland and w hich becam e the standardr all U.S. assistance to Northern Ireland. In an attempt to effectuate peace, Alan approved a

investment with Crescent Capital, a Belfas t -based private equi tyfund, In 1995, heestab li sh ing 'an Ireland Development Bank that would issue bonds to support economic

. " .opment in N orth ern Irela nd . T he ba nk would p rimar ily lend to smal l businesses~, In anpril 18, 1995~"NewYork Times article discussing the proposal, Alan stated: "Promctingosperity is a , powerful means for ending division and conflict especially ift he e conom icvelopment pr~gram~are administered with the full and equa l participation of ~l communities

William J. Flynn isa form er Chairm an, President and CEO of M utual of A merica Life

Ireland."Alan. alsoproposed creating Jreland Peace Bonds modeled after-Israel bonds. Alan stated

th e tim e: u'Ire larid Pe ac e B ~n ds w ould targe t th e 40 m illion Irish -American s and others wholike both a good investm ent and an opportunity to prom ote econom ic development in. ,'. .New York Times. April 1S.-1995. Alan pressed nard for peace and equal opportunity in

rthern Ireland, meeting with Gerry Adams and addressing the British Parliament on the issue;

e remains proud of his efforts to bring about peace in this troubled region.

surance Company and three-time Chairman of the Life Insurance Council of New York

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CONY) .H e is a ls o presently Cha i rman of th e N a tio na l C omm itte e o n Am e ric an F ore ign



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Policy. H ere ce iv ed th at organ ization's first Initiative for Pe ace Award in 1 997ro r h is le ad ers hip. , .' .. . "a nd d ip lom ac y in ' s pu rrin g tw o c ease-fires and promoting th e peace process in NorthernIreland,. . . .'. . ..Mr. Flynn worked closely with Al~duringthe Northern Irelandpeaceinitiative and in a letter tothis Ccurtwrcte of Alan' 5efforts:

[A lan] is a man 'who w as w illing to' g et deeply' invol ved in the figh t for peace andjustice in th e N orth of Ireland. My friends, Gerry A dams a nd Martin 'McGuinness~ think the ' world of him and of everything he triedto do in search ofpeace and reconciliation. He w as admired , as w ell, by several Br it is h S e cre ta ri es.of State for Northern Ireland .... I want you to know that I know what I amtalking about here. I, m yself, w as involved for 15 years or m ore, in the strugglefor a peaceful settlement in 'the North.A s N ew York City Comptroller (and la te r a s S ta te Comptro lle r) , Alan also announced a

. policy that he would not approve any City debt iss~ethaJ was a rt if ic ia lly a n d unnecessarily.structured to delay debt payments to the future) if~ucb a structure would result in extra costs inthe long term for taxpayers.

r.,3~ . New York State ComptrollerA fter an unsuccessful run for N ew York City Mayor in 200 I > A lan w as electedN ew '

, . .

YorkStat~ Com ptr:olle~ in2002. 'He put his eigh t years of experience as N ew York City" .

Comptroller to w ork in addressing the state 's financia l problems. W hile the public: mostlyassociates the office 'o f State Comptroller with the' New Y ork S tate C onunon R etirem ent Fund . .' I(the "Pension Fund"), in reality, A lan w as responsible for overseeing a vast, multifaceted agencywith many divisions and subdivisons, The Pension Fund, while undoubtedly an important part ofthe Comptrolle r' s portfolio; was one of many such divisions under h is superv ision.: A lan d~aftedand introduced several major pieces of legislation for total overall reform of the state's massivedebt. budget and public authorities. For example, Alan. exposed that the MTA used two sets of

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". "oth er 7 40 public authorities and agenci~sw hich had engaged in"sim ilar f inancial gim mickry "

book s an~ other budge t machin ation s a nd : f ou nd le ga l a uth ority to ord er a to ta l reform of their"phony and secre t budgetary prac tices. He also sought and obtained approval 'toexamine th e

'. . .' .

outside of norm al state governm ental con trol.A lan ordered audits ofthe finances of m any localitie s and found several, particularly the"

C ity of B uffa lo and E rie County.jo be ina m uch deeper financia l hole than was acknowledged."He oversawthe d raftin g of legisla tion , w hich was passed in to law by th e Legislatureand the "Governor t o create Financial Control Boards to save these two municipal entities from collapse.""

Alan's audit of the Roslyn School Di stric t o n Long "Island uncovered the theft by it sSuperintendent; various S ch ool B o ard memb~rsandstaff of$11.2 millio~, Following the"

" , ,

prosecutlons and"guilty pleas in that case, Alan announced the first program in th e state's historyto establish a systematic audit process by th ~ Comptroller for the more than 700 school districts """and agencies. A lan m et ~th resis tan ce from m an y le gislators because o f their re la tio ns hip s w ithschool officials in their districts, but he' ultimately succeeded.

" "Replicating the model tha t he employed as N ew Y ork City Comptroller, A lan utilized h is"posi tion as State Comptroller to lead"the cause of corporate responsibility "andreform.. He served, "as"lead pla in tif f in the W orldC om class action law suit against the m a ny Wall S tree t f irm s thathad ' pushed WorldCom stock to their clien ts w hile a t the sam e tim e unloading their ow n shares.H~ personally participa ted in the negotiations lead ing to the se ttlem ent with s ev era l m ajo rf in an ci al in st itu tio ns i nc lu din g Citigreup.Tt w as Alan's recommendation . w hich w as adopted ;" ' ,t ha t r equ ir ed ~orporate directors, for the first tim e, to personally pay a subs t an t ia l penalty. Thefinal settlement was $6.1 billion, which, was a record until the later Enron settlement. Alan

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orga nize d-a c oa liti? irof th e la rge st sta te a n? mun ic ip al pension funds in the country to lobby for .corporate gove rnance reform.

The conduct in volv ed in th is m atter, w h ich led to A l ~~ s g uilty p le a, should not e ra s e h isrecord crsubstantial a ccomp lis hm en ts.d urin g h is fou r-ye ar te nu re a sN e w York StateComptro lle r .

4 . Alan Was a Dedicated Politician Committed to Social Justice a~dReform .. .Th roughout h is lon g politica l career, A lan demonstrated a n un w av erin g c omm itm en t to.

. ..socialjustice and reform. Forexample, in addition to the reforms and projects alreadyment io ne d above.Alan has championed the cause of th e Lesbian, Ga y, B i se xu al a n dT ra nsge nd er Commun ity (LOBT) communityth roughout h is politica l career. N ew Y ork City. Council M em ber D an ie l D rom m, met Alan in 1993 and know s firs th and how strong A lan isded ica tionw ~ to he lp ing others ach ieve recogn ition of the ir righ ts . In a lette rtothe court,,.' " . '

A lanfoughtfor the L G B T c o m m u n i t y a t a t i m e when i t w a s n o t p o p u l a r to do so.Alan is' not an LOBT individual. nor is anyone in his immediate family. As anA ssembly M ember in the early 1990's,. A lan d idnot rep resen t-an LGB T '. community that was particularly wel l organized, Despite th es e. f ac to rs , w h ic hnormally would have leadto opposition or a t le as t indifference to L G BT righ ts... A lan un flin ch ingly stood by the L OB T communi ty because he knew it was theright thing to do.

.

. Councilman Dromm explains:

His very public and steadfast s up po rt th ro ug ho ut-th e y ea rs has be en t remendous lyhelpful to th e mov em e nt. In many w ays, he helped la y th e foundation for th eprogress we see today: He didthis by creating powerful precedent in the publicdiscourse.especiallyamong h i s colleagues in g ov ernm en t, a bo ut how LGBT .righ ts are v iew ed , N ot only w as he the first c i tywide official to e nd ors e m a rria gee qua lity, b ut a ls o h e w a s the first s ta tewide officia l to do so. N ow , it is virtuallyd e rig ucur th at c ityw id e a nd s ta te wid e off ic ia ls support fu ll eq uality for ourfamilies. .E ven as Com ptroller, a posit ion not normally v iew ed a s. a vehicle f or s oc ia l. c han ge. A lan continued his advocacy, A s New York City Comptroller, Alan saw

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. that Cracker B arrel w as engaging in blatant discriminanon against it's L GB T .employees, nam ely firing. all w orkers w ho did not reflect its. "values." He led asha re ho ld er coa li ti on to. successfully end this practice . A s N ew York S tate .Comptroller, Alan issuecla 'rulingguaranteeing pension rights, forstateemployeesw ho had married their sam e ..sex spouses in another jurisdiction. ,

, .Alan is distinguishedamong our leaders, pastand present, for his commitment toju stic e f or the L GB T communiry. I t is my hope that such justice.consideringthefactors. raised here and elsewhere, will now extend to him:A1? J1's courage to f ightfor unpopular g roup s. a n d causes truly se t A lan apart as 'a .

politician. M any of the le tters submitted on A lan 's behalf highlighted h is exem plary service as acareer public servant. For example, William Flynn.wrote: .

- A t my a ge , I haveseenmany public figures come and go, and, as you must know,like a l l of us.theycome in all shapes and sizes. Believe me when I sa y toyou,_that A lan Hevesi, for me, w as alw ays among th e best of'them, As a politicalfigure, overma~y years, he ~s the very best.

Dalia'Z ah aV i, a f rie nd a nd former employee w ho has know n A l a n for more th an tw e nty y e a r s , .similarly related:

[Alan] ha s alw ays proven himself to be a fierce advocate for social justice , fordolng the right thing no metterhow unpopular and for taking care of people inneed ... : Throughout his career as a professor and N ew Y ork S tate A ssemblymanand later as-N ew Y ork City Comptroller and N ew Y ork S tate Comptroller, A lan'exemplified the role of a hard w ork ing public servant. ... On so manyoccasions _.w hile C om ptroller, A lan felt com pelled to push forward ideas or policies evenwhen unpopular with public opinion. What compelled him washis sense ofin tegrity and doing what w as right for the greater good -. Over h is many years inp ublic office , A lan alwaysseized any opportun ity to respond to people's needs'and empower a disadvantaged grou p; .. . When I'worked for him, part of my. responsibilities included responding to anyone who approached him personallywith a problem, One constituent w ith a chronic a n d d eb ilita tin g m ed ic al illn es s,multiple sclerosis. couldn't get access to a full time companion in her horne even 'though it w as clear she w as nearing the end of her life andneeded those serv ices."Through Our efforts and Alan's persistent prodding, th e servic;eswere secured forthis Woman. H e cre ated a -c omp re he ns iv e c on stitu en t services division in his .C o m p t r o l l e r O ffices to field and resolve countless constituen t issues that flooded_the office.ranging from social service problems, to lan dlord Jten ant issues; to busshelter requests, to handicap access concerns.

.

And Martin Camby, a professor at Stanford Univ ers ity's S ch ool of Education, remarked:

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~1. " " ' 1 . .:/-k:

. [Alan] has done an enormousamount of good for the citizens.of the City and the. S tate, n ev er m ad e money himself by u si ng polit ic s asalaunching pad into .'businesa and fundamentally just been anon-stop public servantfor thirty-fiveyears, While he Was in office, I spoke to manyNew Yorkers, and I can honestlysay that even whenthey were 'not aw a r e that I knew him personally, I never metanyone w ho did not consider A lan one 0f the best public offic ials in the state.

I I . THE INSTANT OFFENSE, On October? ~2010, Alan pled' guilty to a one count Superior Court Informationcharging

. " " "him w ith re ce iving reward for official mis co nd uc t in th e se co nd degree in violation of Penal L aw .. S ec tioI l2 00 ,25~ a class' E felony, In an allocution p re pare d an d approved by th e AG's Office'(annexed as E xhibit A to Alan's Plea A greem ent). A lan admitted that.fnapproving PensionFund investments.be gave " pre fe re ntia l tre atm en t" 'to E lliot Broidy, t he rnenage ro f a p ri va te

. .'. equity f un d, Mark ston e C ap ita l P artn ers , w h o w a s a f rie nd a nd p olitic al f un dra ise r f or A la n'scampaign. A t the same time that Broidy w as solic iting such investm ents from the fund, A lan

" " " . " ."

'. knowingly and improperly accepted certain benefits from Broidy inviolarion of his fiduciary. ' ,duties as a state public official.

T h e considerable m edia attention to th is case , a s w ell as the press's repeated references toAlan in e~eryre?orting of the : M o r r i s and Loglisci a llegat ion s. h ave caused th e public to have a 'disttirtedview of Alan's offense. Based on numerous news articles and discussions with peoplew ho have followedaccounts of the pension fund investigation , there is a clear public perception'th at A l an ~ 'p o~ke te d" $1 million as a result of h is i ll ega l conduct. There is also a public

, ,

perception that the. benefits Alan received came directly from e R E funds - in other words that,Alanstolefrom the fund or otherwise took money that belonged to public pensioners. Nei ther 'of ,these perceptions is true, The AG's 'own sentencing memorandum clarified this point:

A l th ough B roid y p aid benefits totaling approximately $1 million, Hevesi onlypersonally r ec e iv ed app roximatcly$7S ,OOO in t rav el reimbursements: The

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". ".remaining benefits were not paid directly, to Hevesi, , .. These payments were "made by Broidy -they were not state" funds. andwere not taken from the eRF andthe esc . (AGi s memo at 7). .

It w as forth is reason that the AG specifically recommended "no ad ditional m onetary com ponent

16

to.the Court's sentence." It is also important to remember that the trip reimbursements he" received from B roidy, w hileclearly im proper, w ere not for vacation junkets but offic ial businesstrips.

The purpose of highlighting this distinction is to put A lan 's offense conduct in propercontext -not to diminish-the gravity of his offense or disavow hisculpability, Indeed, Alan ha;

" "" "admitted knowing that Morris arranged for Broidy to pay a "consulting fee" to a lobbyist friend

" " ..inexcess of $380,000 over a two year period. He also admitted that Broidy made over $500,000 .in cam paign contributions to A lan and oth ers. A nd he admit ted lea rning th at Morris was a paid'. . .p lacemen t agen t w ith regard to some CRF investments, though he was not charged, and"did not "plead guilty, with regard to any of Morris's schemes or conduct and was not nearly aware of thescope orexten tof M orris is activities.

" II I s en te ncin g A lan , his conduct . a s well as IDSl if e h i story, must be juxtaposed w ith- .Morris's, Both.pled.guilty to E fe lon ie s. This Cour t" s en te n ced Mo rr is -t o the maximum

permissible sentence. "Thus, it is confounding that the AO would recommend the maximumsentence for A lan w hen his conduct, though serious, paled i n comparison to M orris's . In M arch2 00 9, Morris , alon g with David L oglisci, w as charged in a 123-coun t indictment, ~hich includedsuch serious charges as Enterprise Corruption, First Degree Grand Larceny ,Money Laundering, "B ribe ry.an d F alsifyin g B usin ess Records. The top c oun ts were B and C level felonies carr~ingman da tory m in imum "sentences of incarceration. A lan w as neverindicted in the investigationand ultimately agreed to accept responsibility for his actions without being formally charged.



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1 i1

17

IIiIIiI

A c co rd in g to the AG' .s Memo , Morris's s cheme . "gene ra ted t ens of m illion s of dollars i n .. .

feesto Morris an d his associates, and $19 million to Mor ri s h ims~ lf ." Unlike Morris who. .' , ".p ock eted $19 million, Alan d id n ot p erso na lly enrich himself during his tenure a s S ta teComptro lle r or throughout his distinguished thirty-five year career '.Is a public servan t. Indeed ,Alan has v ir tua lly forsworn ma te ria l lu xu rie s a nd p os se ss io ns and lives' an-extremely modest,almost Spartan, lifestyle. Alan has never been motivated by money and materialism. He has

. 1I!

My husband is atruly good man w ho bas a lw ays h ad the best of in ten tion s. H e'.has never ' been interested in wealth. As a matter of fact , he is still living in th esa me attac he d h ouse hi Queens that we bought toge the rm ore than 30 years ago.He never bough t stocks or bonds. We have no other homes and a lim ited bank ,a C 9 o ' U D t . We always l i v e d mod estly a nd sp en t w ha t money w e had on o u r f am ily ..

III. IIJI;

'I

Ire sid ed in th e same a tta ch ed house in F orest H ills for th e p ast thirty six yeats. C arol Hevesic on firm s th is p oin t:

_ A n d , while Alan has acknowledgedawareness of M orris 's role as a p lacemen tagen t and .turning a blind e y e to Morris's activities, Alan was.largely in the dark as to the ex tent to whichhis one time friend and campaign guru h ad in filtra ted th e op era tion of th e CRF. 'He wa s a gh astat learning; after the fact, the am ount of money that M arris had earned from his illicit act ivi ties - .

. .Alan never heard of Searle or .any of the entitles se t up by Morris in h is capacity asa placementagent. Alan Was also unaware as to much of Loglisci's activities. He never heard of the film

. , ." Ch cc ch 'tun til re ad in g. a bo ut it in the new spapers, A t first blush, one may wonder how this.' .could poss ib ly be th e c ase . B ut Morris mostly conducted his a f fa ir s su rrep ti ti ou s ly , A s h is

" .

indictment stated at 14-15:De fe nd an t MORRIS concealed his conflicting roles as political consultant, CRFgatekeeper, a r i d CRF placem ent agent from CRF alternative investment staff a nd. . o th e rs . MORRIS also c on ce ale d f in an cia l relationships 'he had w ith L OG LISCI

.: and JOM Doe 2. A t times, MORRIS also concealed his role asCRF investmentgatekeeper f rom fun ds that hired h im as' a placement agen t, In addition, MORRISsom etim es obta in ed p la ceme nt a gre em en ts a nd fe es for h im se lf and others from

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.certain fundmanagers known to the grand jury through false a n d misleading.representations and material omissions, including claims that Searle was theofficial placement agent for the CRF~ '. .. . , . .... ,To further conceal.the nature an d extent of the MORRIS GROUP'S schemes and

th e fee s gen erate d by th ose sc heme s, d efe nd an t MORRIS struc tured fin an cia ltra ns ac tio ns th ro ugh n umero us eorporate.cntities.through which he receivedplacement fees on CRF- re hlte d in v es tme nts . These entitie~ included Searle, PBPlacem en t L LC, Pantigo E merging L LC, N osem ote L LC , Athena CapitalAdvisors Ltd.} and Purpose LLC.Furthermore, Alan's vast responsibilities focused his attention on many other facets of

th e" Com ptroller's office . A nother public perception seem s to be th at A lan 'sonly responsibilityas State "Comptroller was to oversee the CRF. That was not the case b y any measur~ .. Alanoversaw an office of several th ousan d employees with approximately thirty separate divisionsand d ep artm en ts, These included such d~part inents as L oca l Government Services a n dE c o n o m i c De ve lopm en t, B u dge t a nd P olic yA n alys is , Debt Management; Intergovernmental .:Affairs ~d Community Relations, State and Ne~ York City Audit, State Fi~anciaiServices,Bureau o f Economic Development and Polley Analysls and many others. An organizational

. . .chart durin g A l an 's tenure'as C om ptroller, w hich sets forth the n:urnerous d epartm ents all under'

. h is s up e rv is io n, is annexed as Exhibit. 24. For perspective, the yellow highlighted section on th echart represents the.division of Pension Investment and Cash Management, which was the .division at the focus of the AO's investigation. A review of this chart illuminates t h e s~eer

. .vastness of the operation that Alan oversaw and why the Pension Fund, while certainly a veryimportant part of the organizational structure.was just one of many operations Under theumbrella of the Comptroller' s Office.

18



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A. Hevesi's Relationship with Hank Morris

While Alan knew Morris formany years, they formed a close relationship in 1993 whenAlan entered the race for City Comptroller. Morris w as' k now n as a political wizard, who ' 'suceessfuU ym anaged the cam paigns of C harles' S chum er, Diane Feinsteinand numerous otherwell-known political figures in New York and nationwide, A lan, a fo~mer college professor, wasa lw ays k now n as a p olicy expert but a complete neophyte when it came to the nitty-gritty ofpoliticking. Morris filled that void for Alan. Morris handled all of Alan's fundraising and

. . .. campaign strategy ad produced remarkable results. He helpedtransform Alan froma little-, known Q ueens A ssem blym an into a high-rank ing city an d state office holder, Because Alan was

, ,

. so lack in g in p olitical sk il1s, he re lin quish ed th e re in s of h is p olitical campaigns totally to Morris,I I .

However, Alan's family members. most notably Dan Hevesi, Alan's oldest son) and a former_ . " ' ,State Senator, began to question Morri-s's control over all political matters for his father,. - .' . .

Dan recaIJs having heated arguments. with his father over the wisdom of ceding total'political control to Morris; He began. to suspect a darkside to Manis. Dan recalls two incidentsthat underscored the i~credible power thatMorris wielded over his father. I n 'the 1993 campaignfor Comptroller, Dan got into an argumentwith Moms ov er s om e immate ria l matter. 'D an .re ca lls th at Morris began to scream at him and then fired Dan Hevesi from the campaign,notw lthstandlng the fact that the eldest son of the candidate had devoted hundredsofhours~the : .effort on a non-paid volunteer basis. 'Remarkably. Alan was too intimidated by Morris tointervene on' his' own son's behalf and remained silen t. A s D an re calls the incident:

[Tjhe fact that [M orris} fe lt he had the pow er to fire t h e son of his "boss" on thespot, seemingly without a thought to consult my father, speaks to the extent to

19



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which my-rather-had ceded all control to Hank Morris and allowed him to '

responsibility for the di~astrous campaign squarely on the shoulders of Morris. -The situation ,--,escalated during the Labor Day weekend.just days before the election.. Dan discovered that athis critical.juncture in the campaign, Morris was nowhere to be -foU~d;,Dan finally tracked himdown anddiscover'~d thatMo~is was vacarioningat hisEast Hampton weekend hOIJ_1~;Everyone involved with the campaign concluded that Mo~is had served Alan very badly. A fewmon th s later, Alan decided to armoUnc eh is c an did acy for State Comptroller . Dan had assumedthat-Morris would ~ot be returning and was-astonished to learn that, once again, Al~n hadcommissioned Morris t o run ye t another'campaign-and had ceded.total control t o him. Thise ncounte r. r es ulte d in a s erio us rift between D an and A lan , w hich lasted fer some time.' D an -, . .'refused t o participate in : th e S ta te C om ptrolle r.c am pa ig n e xc ep t for appearing at a fewc ampa ig nin g e ve nts.

B .. The CRF.Prosperednuring Alan's T~nuliasState Comptroller'I. .Despite .Alan' s wrongdoing, the strong performance of the CRF ._dur ing Al an 's tenure'

must be acknowledged: To judge Alan's record_ in its totality, it has to be recognized that the. .' .'

und perform ed exceedingly w ell throughout the four years o,f h is stewardship ...AL though the Fund achieved its best returns by percentage in 2004. the fund increased its

assets each year of A lan's tenure from $119.2 bill ion in 2004 to $142 ,6 b il li on at the.endof fiscal

2 0

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year 2 00 6. E a c~ year the fund outp erf ormed a ga in st its bench m ark in dice s .: P riv ate eq uity an d, ,

o th e r a lt er na ti ve i nv es tment s consistently outperformed their benchmarks each year. Although. ..' . .th e re tu rn s o f alternative investments increased~ach year, they rem ained under 15% of the fund,as m andated by S tate law .

For example the 2004 Comp rehens iv e Annua l Financial Report (CA FR) of th e N ew Y orkState and Local R etire me nt S yste m stated:

Inves tment re tum s.d urtn g F is ca l ye ar (F Y ) 2 00 3-0 4 significantly outperformedthe Fund 's long-term annual average of 11.97 pe rcen t (m easured since 1983),With a total annual return of28.S3 percent, the Fund reversed the negative and "less than robust returnsof'the past three years. C ertain asset classes. includ ing -dom estic eq uity and real estate , p erfo rm ed b ette r th an ' their benchmark indices' ,.while fixed incom e; internationaleq uity and privateequity.performedwellon a nabsolute basis and helped the Fund achieve its outstanding results for the year.(2004 CA FR , p. 47). .

'The 2005 C AF R docum ented sim ilarly im pressive resuits.With a total return of8.51 percent, the Fund cont inued to successfully increase its, 'assets t o ' mee t the System's grow ing benefit obligations. C erta in asse t classe s -, i n clud ing private ' eq uity, real esta te and fixed incom e, performed better th an th eirb en chma rk in dic es. In te rn ally m an ag ed d omes tic e q uity a sse ts , w h ic h re pre se ntapproximately '69 percent of total d om es tic e qu ity assets, outperformedtheir 'benchmarks a s w ell. (2005 'CA FR~ p, 47.).' .

Finally the 2006 CAFR, in Alan's final y e a r as Comptroller noted that; ,The F Und returned 1-4.59 percen t for f isca l year 2005,.06. A ll asset classesp rov id ed posi ti v e performance o n a n a bso lu te basis. Certain asset classes,. including D omestic Equity, Al te rn a tiv e I nv e stm e n ts ' and R ea l E sta te , p erfo rm ed_better than their benchmark indices. .

In 'short: Alan passed on to his successor a CRF that was in s tro ng financial health and which haddelivered remarkable returns during his four-year tenure, This momentous su cc es s c an no t beoverlooked.

, 21



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, c .... Ahtn'Has Taken Full Responsihllib: For His'Actions' and Has EXl!ress~dGenuineReriaorse . . . '.. . .' '. '. .Alan has completely accepted' responsibility fo; his own actions and .the actions of others

: that occurred u nd er h is w a tc h. His a lloc utio n in th is c ase was detailed and specific ~d heplainly admittedthatbe violated his "fiduciary and other duties as a state publi c o ff ic ia l and the. . .. . -' .

2 2 I[

sole trustee of t h e New York State Common Retiremen t Fund:' He also acknowledged his, . " .awareness that Morris acted as a p lacem ent agen tbefore th e CRF even though he w as n ev ercharged in connection with the Morris scheme: Though not part ofthe formal allocution, Alan

, .expressedhis heartfelt remorse and'sincere(y apologized-to thepeople of N ew YorkState whose'trust he betrayed, In a letter to this Court. attached as Exhibit 1, A[~ expressed his contritionand wrote;

At the time of m y gUilty plea, I added t o my allocution a heartfelt apology. to the.Court) my f am ily and the people of N ew Y ork S tate w ho placed their trust i n me.e That ap ology reflected m y profound sorrow an d remorse 'regarding th e conduct'. that led to my guilty plea, conduct that was wrong, stupid and improper. I havefailed to live up to the- trus t of all N ew Yorkers and destroyed my reputation. Ihave also humiliated myself and made my family suffer. My a ctio ns were wrongand the damage. to th e public as well . as to th e family that I love 1 S not to be t akenlightly; but I want Your Honor to knowthat I truly am sorry .. Alanhasmade noexcuses for his conduct and blames only himself' Professor Martin.

Carnoy has spoken to Alan at length since hisplea and has noted Alan's genuine remorsefulness:. '.' . .Con siste nt w ith 'h is c ha ra cte r, A la n h as also qu ick ly admit ted and. acknowledged. mistakes when he has made them. I have spoken several times at length withAlanb y p hon e and personally since his court app ea ra nc e in 'October, He told me that hew as d efin itely guilty a s ch arge d: is a n g r y with himself for bein g so careless w ith. a ccep ti ng paymen t for partsof his travel expenses on State business, and feelsenormous remorse for failing hIS charge with the public trust For someone who"has had suchgreat pride at his public record and accomplishments, this has hit, v ery hard. I think he also feels that he has let down his friends' admiration andtrust, and he told rnethat the m ost im portant thin g now is to try, difficult as it willbe.to regain that trust .



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III.ALAN'~ COOPERATION WITH THE ATTORNEY GENERAL

.O th ers h av e m ade sim ilar observations, F or e xam ple , R abbiJosep h P otasn ik has rioted:'. D u rin g our m an y conversations, Mr.Hevesihasexpressed to me is profoundc on tritio n a bo ut th e s erio us wrongs w h ic h h e c omm itted .

nd Robi~ Elliot who had. Alan to his. home for d in ne r s ho rt ly after his guilty plea, r ela te d t ha t:-A la n h as a ck now le dg ed his guilt an d fully ac cep ted th e implications of thatadmission, wi th d ir ec tn e ss an d with grace .. ,. [D juring three hours of . .c on v ers ati on , [A la n] made not a single excuse for h im se lf. a nd 110t a s in gleaccusation- against anyone else. If accept ing r e spons ib i li ty . publicly andhum ilia tin gly , is a measure of moral wo rth ; A l an has demonstrated th at w o rthhandsomely, I remember ttunking that I hoped, if I were in his posit ion. that Icould show just one-half of the sense of responsibility and magnanimity that hes how ed th at e ve nin g.

The AO's Memo recommends that "[ijn formulating its sentence, the Court should giveconsideration to Hevesi for the fact that he accepted responsibility for his conduct prior toindictmentpleaded guilty at a 'strategicallysignificant time in the Attorney General 's

arid agreed to cooperate with the Attorney General's investigation." A lanis .commitment to cooperate wielded an enormous benefi t to th e AO's p rose cution . P rior to A lan 's .ooperation, Hank Morrishads teadfas tly insistedon 1 1 trial, which would have lasted-weeks, ifot months . TheAG's outgoing administration w as e ag er for Alan ' s cooperation because itanted to wrap up the pension fund-investigation before the new administration arrived and

be li ev e d t ha t .A1 an 's cooperation rni~ht exert added pressure o n Mo rris to p lea d g uilty .. I f Morrisd idn 't take a plea, Alan stood ready and w illing to t e s t i z y at trial if needed. S ure enough,

._ . .':.. 2 3

owever , a lmos timmed ia te ly after A lan 's c oop era tion be came public. Morris f old ed his tent and. .. .ntered a plea with theAothereby saving the office (and the Court) an immeasurable



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. .

expenditure of time and of resources, Indeed, in its p ress release an noun cing A lan 'sp lea, the. . . . ..w as sure to' em ph asize -th at A lan was coop eratin g.

Nonetheless, despite the substantial assistance Alan rendered, for reasons that it did notthe AG recommended no benefit-to A lan ~th ey have asked for th e maximum sentence

under the statute. O nce again , th e AG 's recommen dation'is confounding. As ide from th e factthat Morris's offense con duct w as far m ore egregious than A lan 's (as exp la ined above), A lan. ,

2 4 t

accepted responsibility and pleaded guilty without being formally charged. He also agreed to, .. ..coop era te . M orris d id n eith erof those things an d ye t. the A G asks theCourt to impose th e same '

maximumsen tence tha t it gave to M orris . ,Al though t h e A G failed to do so, th is Court can (and should) give significan t w eigh t to

Alan's cooperation and coflfer a benef i t to Alan by imposing a sentence far less than the' statutory

IV. CAROL HEVES" HEALTH AND ALAN'S PRIOR CONVICTIONIn December 2006, Alan pled guilty to a Class E felony for improperly using state funds

in co nn ec tio n w ith h is p aymen t of a driver for his w ife, C arol H evesi, A t Alan's plea in th einstant case on'October 7~2011, this Court. properly recognized th at h is c on vic tion in th is ca sewould notmake him a predicate felon since the underlying facts and circumstances predatethe -offen se to w hich . h e p led guilty in 2006.

I t is important for th e Court to understand the c ircum stances, w hich caused A Hm toultimately err in using a state driver for his wife because they bear on this case as well. Alan and .Carol have been married for 43 years. Wh ile th eir marriage h as b ee n a happy one, Carol has beenaffl ic ted with serious p hysica l and p sych iatric ailm en ts th rough m uch of their marriage and she

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h as re qu ire d c on sta nt medical care and attention, S in ce 2006. sh e h as been confined to a nursingh ome, th e H eb rew Homefor the Aged in Riverdale, New York. The Hebrew Horneisnot amed ical facility, so all of Carol's medica l appointments require her to be transported to doctors.throughout New 'york City and Long Island. This was the case, even before her adnussion to the'Hebrew H o m e . w h e n A lan w as still Comptroller,

Carol's chronic medical conditions have been a sourc.e of strain and distraction 'for A lan .over the course ofmany years. Carol has attempted three suicides. In a New York Times articledated, July 21,.1994, it was reported that Carol Hevesi tried to slit both, wrists in the bathroom of.th eir F ore stH ills h ou se . T ha t incident w as th e th ird of h er atte mpts: D an Hevesiexpla ins .. ,

Though he was NewYork City Comptroller at the time.only one of [my mom's] :suicide attempts ever became public; That horrificevent occurred in 1994 when .my father.carne home to find my mother locked in the bathroom. having slashedher wrists with a knife; he was forced to break down the door and barely managedto s a v e her life ..Today! C arol cannot w alk w ith out assistance "d ue to n um erous surge rie s in clud in g th re e

- .spinal s urge ri es , o pen -h e ar t surgery and knee replacement surgeries, She has als~ had HepatitisBand suffers from a condition that causes massive hemorrhaging. She is also on .extensivem edication and under close w atch for her 'severe depression. Her p sych iatrist, D r, S an ford P.Solomon w rites: "

Mrs, 'Hevesi suffers from chronic severe depressive symptoms. She has madethree suicide attempts, has been hospitalized numerous times and has receivedseveral courses of electro s ho ck t re atmen t. She also has cardiac, arthritic andchronic pain problem s. S he luis been addicted to alcoho1 and narcotics, and shewore a pain pum p to he lp he r survive . W h ile the H ev esi household superficiallyg av e th e a pp ea ra nce of f un ction in g w e ll, th ere w as considerable dysfunctionand .everyone suffered .While Alan regrets very much using the state driver to transport his wife to her myriad.

doc to -r's a pp oin tme nts , th e reporting of the plea at the t ime left the impression that the driver was

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sed to transport Mrs. Hevesi for shopping excursions and other personal matters. Carol'sWas amajor distraction fo r Alan during his tenureas State Comptroller. B y placing

er under the watchful eye of the driver w h o shepherded he'r to her various medical and hospitalit re lie ve d th e p res sure onA la n som ew h at and allowed him to focus on the

e sp on sibilitie s h e w ~ s e le te dto ~a rry o ut. " ,Over th e last seve ra l yea rs , since A lID thas been out of off ice , he spends m ost days

riving from Forest Hills to the Hebrew H o m e in Riverdale to visit Carol and tend t o her needs,'veral times a week he drives her to various medical appointments inManhattan, Queens, orng Island. He. then drives her back to Riverdale. Alan is her only caregiver. He tends to Carol ..tw ith sta nd in g h is own increasingly precarious heal th. In aletter to th e C ourt, C aro l writes:

Please understand that theHebrew Home is not"a medical facility. As such, all ofmy d octor appointments a r e offsite and m ost of m y d octors h av e their practices i nNassau County. Alanis the one who several times every week drives fromour.lon gtim e h om e in Q ue en s to pick me up at the nursing home to tran sp ort and _accompany me to..medica l appointments on Long Is land. He then takes m e back toth e Bronx. runs errands f or m e, and eventually returns home to For es t H ills . He ism y only real contact with the outside world; I would be trapped without him. Inaddition, he coordinates my medical care, takes care o f my material needs,oversees my financial affairs a n d provides me with emotional support, .uncondit ional love and happiness under circumstances that a r e unrelentinglydifficult .

26

a n's d au gh te r Laura similarly relates how vital Alan's p re se nc e is in Carol's li fe . "He r f a the r,wr it es ;

steadfastly remains the-primary caretaker and only constant support for my ..mother w ho is now confined to a nursing hom e. Their 40 plus year m arriage andli fetogether has been a ro lle r coasterof 'physical a nd m en ta l I lln ess. T hough,always a g iv ing , ca ring mom w ho was d ed ic ate d to h er children a nd hus ba nd , mymoth er h as suffered from to o m an y illn esse s to list, h as h ad mult ip le su rge ri es , isconstantly in and out of hospitals (avery modest estimate wouldbe about 80, times) arid suffers from bouts of depression so severe that it has led to repeatedsuicide attempts. Despi te his enormous public responsibilities, my Dad w asalways present for arid attended to my mother's needs with each arid everysickness, each and every surgery, each an d every com plication , an d each an d

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Dan Hevesi adds:

every hos pi ta liz atio n f or the duration of their marriage, A lesser man w ould havea ba nd on ed h er long ago. Since she 's been in the nursing home, my Dad drives' .. f rom his house in Q ueens to the B ronx a minimum of three to four times per w eekto spend timewith her, arranges a n d transports. her to all of her medical' .a pp oin tm en ts (th e majority of which are w ay out on L ong Island), ensures she lshosp ita lized and gets appropria te care whenshe diminishes mentaUy(which is .. jiow several tim es eac h .year) and is really he r only contact with the outside world.If he is taken aw ay from her, the . conseq uences w ould be dire . I predict that shewould d ete rio ra te ra dic ally . 1 c an 't bring myself to express w hat w ould lik elyh appe n b eyond that. .

The commondenominator of my mother's multiple suicide attempts were thatthey occurred-as one might expect, when my father was not with her .. Itwas not a.desire for p ers on al e nric hme nt that le d m y Dad to misuse employees, but ap ro foun d f ea r that his wife , my Mom, might k ill h ers elf if sh e was le ft alone. Icanattest to the pervasiveness and dep th of that fear. W e Iived with 1 " t a ll d ay ;'every day. My Dad 's fear w ascompounded not only by m y M om 's repeatedattempts on her own life, but on a much deeper psychologicallevel, by the fact,

. that my father's mother committed suic ide w hen he was a boy; this is another fact. that has n ev er before been p ublic ly d isclose d.T he c on sta nt and unconditional care a n d support that A lan provides for h is w ife is an

. . ',.... .overwhelming consideration-for the court to consider in imposing Alan's sentence. The family

has a genuine and well-founded fear that Alan's absence would have a profound negative affecton Carol HevesJ 's already extremely fragile condition.

V. ALANHEVESI'S MEDICAL CONDITION'While 'Alanmaintains a stoic and positive front, the reality is that his health has been,r ap idly de te rior at ing over th e last several yea rs , th e con st an t s tre s s and public shame that he has

suffered no doubt p laying a sign ifican t role , A ccord ing to h is prim ary care physic ian , D r. M artinG r ee nf ie ld , h is ~hronicrnedicalconditions include Type II Diabetes Melli tu s, ~yp e rt en s ion;Degenerative Joint disease , C hronic L ow Back S yn drom e a nd "most importantly Chronic Atrial

2 7

Fibrilia tion" A ccord ing to D r: Greenfield, " [Alan] n e e d s cardiac evaluations everyz-J w eeks



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Coumadin."

second ary to recen t p roblem s w ith h ypoten sion an d bradycard ia: He h as bee ri d ete rm in ed to be a.candidate for a pacemaker. He must obtain blood tests every 2 weeks because of histherapywith

Alan is also under the care of a neurologist, Dr, Rina Caprarella. His medications areextensive. They inc lude Coumadin , Q uinapril, A llopurinolS im vasta tin , N orpace, Tazodone, :X anax, N orvasc and Priolosec. A lan also-requires hearing aids and continues to be monitoredfor prostate cancer after having undergone surgery for that condition. He also undergoes weeklyphysical therapy ( See letter of Dr. CaprareUa).. Additionalsurgeriesare likely and he is being ..monitored closely.

T he u nd ers ign ed a ttorn ey h as p ers on ally observed a drastic physical deterioration in A lan, . . .'Hevesi since first undettak inghis represen tation in 2007, He has become significantly morefmil,hasbad difficulty hearing and. at t imes comprehending. These observations have beenconfirmed b y Dr. Caprarellawho writes:

At this juncture, it is m y belief that based on the patient's worsening clinical'symptoms, objective findings on examination. and worsening in both .electrodiagnostic studies a n d imaging studies of the lumbosacral spine, the patientrequires ongoing physical therapy in order to maintain core strength and lowere xtremity s tre ng th a lo ng with stability in hisgait. He requires c lose neurolog ica lmonitoring as there has been a recent change in h is e xamin at ion and a n y furtherc ha ng es w ou ld change his m anagem ent from -conservative to aggressive, w hichwould include surgical intervention.. .. Laura Hevesi, Alan's daughter, also describes his physical deterioration:. . .My Dad has aged about 20 years inrecent months, He loses his balance, hasd iz zy s pe lls and bouts of heart palp itations tha t lastfor days-and w ill ultimatelyrequire.insertion ofapacemaker, . . .An dre w Hev es i, Alan's youngest son , adds that:thepressure of th e four-year investigation and the guilt andconstant-selfpunishment he imposes have aged him and caused himto atrophy mentally andphysically, .

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D r. C aprare lla, A lan ' s neurologist h as exp ressed con cern about incarceration ad verse ly

. A lan is also under th e. c are o f a p sy ch ia trist for treatmen t of his deteriorating mental. . .. . , .Dr. Sanford Solomon, who also treats Carol Heve si , wr it es :

Mr. Hevesi enjoyed his work and was dedicated to making a contribution toso cie ty a s w ell a s sup portin g th e mental health of his wife. The negative factors inhis life have gradually worn him 'dow n, . .

mpacting his health: .Th erefore , I d o believe at this juncture, in lig ht of h is c urre n t neurological state,i nca rce ra ti on i n e it he r th e short or long-term w ould be hazardous to hisn eurologic al c on dition a s it w ould lim it the care that is necessary for h is .significant lumbosacral spinal stenosis.Significantly, Dr, LawrenceShulman, a specialist inPulmonary, Sleep and CriticalCare

2 9

d ic in e, a dv ise s th at in ca rc era tio n c ould have avery serious impact on A lan 's health due to his .vere sleep apnea . He explains:

Mr .Hev e si is a p atie n tc ur re n tly under my care for treatment of Obstru ctiv e S le epApnea, ,.:He uses CPAP ~.. It is medically essential for Mr. Hevesi to continueto use CPAP. It is myunderstanding that the patient is facing possibleincarceration and contintledCPAP use during this time is necessary. Lack ofnightly use predisposes the patient to worsening heart disease, arrhythmias,.hyperteDllio~, hypercholesterelemla, myocardial infarction, eerebrovaseular .events and suddendeath. . . . .As described above, Al~ is battling a litany of medical conditions .which have caused a

eady downward spiral in h is h ea lt h, It is.not anoversta tem ent to predict that a sentence of.i s likely to be a d ea th sentence for this in cre asin gly fra il 7 1year old m an.

I. ALAN HAS ALREADY BEEN PUNISHED SEVERELY FOR HIS CRIME.. Although Alan tries to remain cheerful and upbeat, one cannot help but notice the

ed ible sadness in his demeanor. While once leading a full active life devoted to publicervice, his situation todaycould not be m ore 'poignant His entire life is devoted to caring for



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This decent, kind , 71 year old husband, father, grandfather and former distinguishedpub lic s erv an t has been crushed physically a nd emot io na lly by the recognition of the shame that'he has broughtupon himself and his family. At times, the burden of what he wr-ought wasalmost to o muc h for him to bear. D anHevesi continues:

h is w ife , Carol, andspending time w ith his young grandchildren , H is friends and supporters.' , . .have virtually abandoned. him: He lives t ot al ly a lon e. ibu t for sporadic visits from his childrenw ho have lives of the ir ow n, H e longs to work again ani make some contribution , e ither in a notfor profit charity or s om e o th er area w here he could lend his expertise. Unfortunately, he is. . . . . . ,today regarded as a pariah; even many Jewish o rg an iz atio ns , w h ere he had tirelessly ~evoted hisservices and energies for years, have been reluctant to accept h is s e rv ic e s, Laura Hevesiconfirms:

Stunningly impacted by his own shame; betrayed by those he trusted and .distanced from his former group of close friends, his circle of support hasdw indled to close fam ily members. He is e xtremely c og niz an t of his destroyed ..reputation and his n ew title as "disgraced form er C om ptroller." My Dad " i s're luctant to in flic t h is disgrace and dishonor on others and is re tice nt to join.groups o r be seen in th e public eye; Iri fact, he has made a habit of checking withthose in charge of organizations before he attends their meetings o r events toensure that h is presence w ouldnot have a negative impact.A lan 's fa ll from grace w as staggering and the damage to his reputa tion irrep arable . D an .

Heve si poi gna ntly describes how unbearably painful it is to see his father' s entire lifetime ofachievements and good.works end in disgrace and shame. Dan writes:

. For decades inoffice he was an absolute mod el of in te grity, c on duc tin g his affairs ..w ith the h ighest e th ical standards in a business that I k n ow firsthand presentsabundant c on flicts o f interestby it s very nature. There was never a hint, a . .suggestion, an .intimation or any innuendo, let alone a n allegation, o f Alan Hevesiacting in anything other than the most honest way. Ever. There were was no blackcloud of shadiness that hovers over many politicians. He w a s a different breed ...It is simply tra gic th at a rema rk able career of good work can be completelyobliterated by several very misguided actions.

I . .

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I have had a-f ront row seat to th e professional and personal carnage that bas :CD.r:_sumed,the m~ I love so much . It has just be en d e v as ta ti ng to h im and our.entire family, This ordeal has taken. a t er ri bl e t oll . My Dad has aged ane xtra ord in ary amo un t f rom unrelenting, prolonged stress ~ A s a result, at?1 yearsold his health i s . clearly, rap id ly and progressiv ely fa iling. H e is hum bled andh um ilia ted , w ith unrecoverable re pu ta tio na l d am ag e.

< .Andy Hevesi similarly relates that his father's:reputation has been p erma ne ntly d es tro ye d, wi th th e w ord "disgraced" preceding.every mention by th e press. B ecause of h is m i st ak e s. he has no ability to w ork foran y cause in w hich he deeply believes as others from his profession have done .a fter retirement. The huge range and number of people he used to interact withhas been stripped down to family members and a very small coterie of loyalfriends with most of his former friend s and colleagues from his 35 years of publicserv ice h av ing w alked aw ay. .

, '. .Laura Hevesi makes a similar obs erv ati on , n oti ng :My D ad .is n o lon ge r the man he once w as. Hehas imposedupon himse lf theharshest of all punishments. He has d im in ished him se lf in h is ow n eyes - almostcom ple tely w ip ing aw ay m em ory of h is decades of public serv ice; the people .. whose lives hesaved.and those whose lives were vastly improved because of him .D uring a recen t conversa tion , m y brother and Iactually had to rem ind my D ad ofhis value and the impact he's had on us and everyone he's touched. Imaginetrying to convince the man who shaped your life that he is not defined in your ..eyes by aberrant and stup id ac ts committed during a period of inexplicable badjudgm ent but by th e lessons h e t au gh t and the example he set. Having to remindhim that he instilled in us an unshakeable belief that our lives should be spentstanding up for those w h o cannot protect themselves. being loyal even if it comeswith a personal costand putting people before money was remark ab ly h umb li ng .

And Dahlia Zahavi . Alan's close friend andmentee for more than 20 years, adds:Sadly for Alan a n d his family, many p eop le m ay no longerrecall his magnificentlegacy . Instead, people focus on the sensational headlines .and his indiscretion for.which he will always b e d ee ply regretful ..This.loss of others ' faith in h im anddestruction of h is lon g public professional life h as c au se d serious pain andanguish for A lan and his family, which"w i ll li ng er f ore ve r.A s confirm ed in these letters, written by those w ho know him best, th e shame A lan has

SUffered a n d will continue t o s uffe r IS overw helm ing, G iven the rem ark able leve l he a tta in ed inhis career as a public servant, to now stand before a Sentencing Court h av in g a ck n ow le dg ed

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" .p artic ip atio n in c rimina l conduct is , to put-it m ild ly, a terrible punishm ent tha t A lanw ill suffer .:

. ' .' .for the rest of his life. To be. fully candid.It is difficult to imagine a greater punishment than th epun is hmen t t ha t haea l ready b ee n im p os ed by th e publ ic h um iliatio n A lan a nd h is f am ily h av es uffe red a nd will continue to stiffer as he now deals w ith the prospect o f in ca rc era tio n .'

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CONCLUS ION

'1

Alan Hevesi does not ask to be forgiven by your Honor. Nor does he even ask for.understanding, as the 'conduct he participated' in is something .that he hi~se]f w i l l never fullyunderstand, What Alan Hevesi does understand is that the criminal conduct he engaged ind es tro ye d h is p ers on alle ga cy , a nd by h is ac tio ns p ut the New.York State Pe nsion F und an d the.public at large at risk.

Alan a n d his counsel do seek the Court's ccmpassion. Alan has earned that compassion.through-a lifetime of remarkable public service to others and a career during which he has madea very p ositiv e im pact in th e liv es of so many. We on ly ask for a m easure of the great '.compassion that for the last 40 years Alan has extended to so many others-in both his.professional arid personal life,

Wi th gre at h um ility w e si.m ply .ask Y ou r H on or to re nd er a se nte nc e th at temp ers justic ewith-mercy, a se nte nc e th at tak es in to c on sid era tion A la n's life a s a wh ole and n ot sim ply th eoffense to which he has accepted responsibility and pleaded guilty.

Respectfully submitted,

Bradley D, Si onBrianD. Wa erSimon & P artn ers L L P55 1 F if th A v en ue , 3 ' J s t Floor. N ew York) N Y 10176.(212) 332,.8900'

C C : A A G N oah Falk

hevesi sentencing memo

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