The People of the State of New York, Respondent, v L. Dennis Kozlowski, Appellant. The People of the State of New York, Respondent v Mark H. Swartz, Appellant., 11 N.Y.3d 223

Summary

As to the first issue raised, the admission of an attorney's testimony was appropriate as it merely set forth facts enabling the jury to draw an inference of defendants' guilt; the attorney gave a firsthand factual account of a conversation with defendant CFO that an internal investigation had uncovered no documentation authorizing the August 1999 bonuses to defendants. No personal opinion was conveyed as to defendants' criminal guilt. With respect to the second issue, defendants' subpoena duces tecum seeking, inter alia, factual portions of certain business director interview notes conducted during the internal investigation was properly quashed as while defendants had demonstrated the materials at issue were trial preparation materials subject to only a qualified privilege under CPLR § 3101(d)(2), defendants failed to establish any undue hardship as they could have sought to conduct their own interviews of those witnesses at an earlier time. Any error alleged under Apprendi in ...