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The Devil's Casino: Friendship, Betrayal, and the High Stakes

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The Devil's Casino: Friendship, Betrayal, and the High Stakes Table of Contents Title Page Copyright Page Dedication Epigraph Cast of Characters Key Players Lehman 1984 -1994, the Slamex Years Lehman 1994-2008: From Independence to Meltdown Key Lehman Spouses The Original Lehman Brothers Industry Players Barclays The Law Bankruptcy Administrators Government Players Prologue Part One - THE PONDEROSA BOYS Chapter 1 - A Long, Hot Summer Chapter 2 - The Beginning Chapter 3 - The Captain Chapter 4 - The "Take-Under" Chapter 5 - Slamex Chapter 6 - The Phoenix Rises Chapter 7 - Independence Day Chapter 8 - The Stiletto Chapter 9 - The Ides of March Chapter 10 - Eulogies Part Two - THE ECHO CHAMBER Chapter 11 - Russian Winter Chapter 12 - Lehman's Desperate Housewives Chapter 13 - The Young Lions Chapter 14 - 9/11 Chapter 15 - No Ordinary Joe Chapter 16 - The Talking Head Chapter 17 - The Sacrificial Ram Chapter 18 - Korea's Rising Sum Chapter 19 - The Wart on the End of Lehman's Nose Chapter 20 - Damned Flood? Chapter 21 - Closing the Books Epilogue A Note About the Sources Notes References Acknowledgements Index Copyright (c) 2010 by Vicky Ward. All rights reserved. Published by John Wiley & Sons, Inc., Hoboken, New Jersey. Published simultaneously in Canada. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, (978) 750-8400, fax (978) 646-8600, or on the Web at www.copyright.com. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online at http://www.wiley.com/go/permissions. Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages. For general information on our other products and services or for technical support, please contact our Customer Care Department within the United States at (800) 762- 2974, outside the United States at (317) 572-3993 or fax (317) 572-4002. Wiley also publishes its books in a variety of electronic formats. Some content that appears in print may not be available in electronic books. For more information about Wiley products, visit our web site at www.wiley.com. Library of Congress Cataloging-in-Publication Data: Ward, Vicky. The devil's casino : friendship, betrayal, and the high-stakes games played inside Lehman Brothers / Vicky Ward. p. cm. Includes bibliographical references and index. eISBN : 978-0-470-63823-1 1. Lehman Brothers. 2. Investment banking--New York (State)--New York--History. 3. Investment advisors--New York (State)--New York--History. 4. Finance--New York (State)--New York--History. I. Title. HG5129.N5W37 2010 332.660973--dc22 2010000762 For my sons, Orlando and Lorcan Doull. Without your laughter, your hugs and your very good-natured patience, "Mummy's annoying book" would not exist. The mind is its own place, and in itself Can make a heav'n of hell, a hell of heav'n. Paradise Lost by John Milton, 1:254-255 Cast of Characters Key Players Richard S. "Dick" Fuld Jr., Lehman's chief executive officer. An underachiever in youth, Fuld got a job trading commercial paper at Lehman in 1969. Joseph M. "Joe" Gregory, president and chief operating officer. Gregory started at Lehman in 1968 as a summer intern when he was 16 years old. He used to cut the lawn of Lehman's top trader, Lew Glucksman. T. Christopher "Chris" Pettit, Lehman president and chief operating officer. A West Point graduate, decorated Vietnam veteran. He joined the firm in 1977 and rose through its ranks--until, that is, 1997. Lehman 1984 -1994, the Slamex Years Board Members of Either Amex or Shearson Noted in the Book David Culver John Byrne President Gerald Ford Richard Furlaud Henry Kissinger Dina Merrill (actress) CEOs Howard L. "H" Clark Peter A. Cohen Lewis L. "Lew" Glucksman Harvey S. Golub J. Tomlinson "Tom" Hill James D. Robinson Sanford I. "Sandy" Weill Managing Directors James S. Boshart III Herbert Freiman Ronald A. Gallatin Jeffrey Lane Robert "Bob" Millard The Hon. Peregrine Moncreiffe Theodore "Teddy" Roosevelt V Peter J. Solomon Executives Jim Carbone, senior deputy to Chris Pettit Steve Carlson, head of emerging markets John F. Cecil, chief financial officer (later also chief administrative officer) Steven "Steve" Carlson, global emerging markets John Coghlan, managing director of fixed income Leo Corbett, deputy head of equities Martha Dillman, sales Robert A. "Bob" Genirs, Shapiro's successor as CAO Nancy Hament, human resources Allan Kaplan, banking Bruce Lakefield Stephen "Stevie" Lessing, senior deputy to Tom Tucker Robert Matza, Stewart's successor as CFO Paul Newmark, senior vice president and treasurer, Lehman Commercial Paper Inc. (LCPI) Michael Odrich, chief of staff to Dick Fuld Marianne Rasmussen, head of human resources Thomas Russo, chief legal officer until 2008 Mel Shaftel, chief of investment banking Robert A. "Bob" Shapiro, chief administrative officer Richard B. Stewart, chief financial officer Kim Sullivan, sales Thomas H. "Tom" Tucker, sales Jeff Vanderbeek, rose to run all of fixed income, then capital markets James "Jim" Vinci, Pettit's chief of staff Paul Williams, equities chief Lehman 1994-2008: From Independence to Meltdown Executives Madeleine Antoncic, head of risk Steve Berger, briefly co-head of banking Steven Berkenfeld, global head of legal, compliance, audit Jasjit "Jesse" Bhattal, replaced Tyree as head of Asia in 2000 Tracy Binkley, head of human resources Erin Callan, chief financial officer Steve Carlson, head of emerging markets Jerry Donnini, head of equities Eric Felder, replaced Reider Scott J. Freidheim, office of chairman, later chief administrative officer Mike Gelband, McDade's successor at fixed income David Goldfarb, chief financial officer turned chief administrative officer turned global head of strategic partnerships Hope Greenfield, chief talent officer Jeremy Isaacs, head CEO of Lehman Europe from 2000 onward Bradley Jack, banking, then co-COO Ted Janulis, head of mortgages Todd Jorn, hedge funds Alex Kirk, high-yield business Fran Kittredge, philanthropy Bruce Lakefield, Europe until 1999 Ian Lowitt, treasurer, later co-chief administrative officer, then chief financial officer Herbert "Bart" McDade, fixed income and later equities Hugh "Skip" McGee, investment banking Michael McKeever, briefly co-head of banking Christian Meissner, Europe Maureen Miskovic, risk Andrew Morton, Nagioff's successor in fixed income Roger Nagioff, European equity derivatives, then Gelband's successor in fixed income Chris O'Meara, CFO, then head of risk Rick Rieder, head of credit Thomas A. Russo, chief legal counsel Benoit Savoret, Europe Robert "Rob" Shafir, global equities David Steinmetz, Chris Pettit's chief of staff Paolo Tonucci, treasurer C. Daniel Tyree, Asia until 2000 Jeffrey Vanderbeek, head of fixed income turned vice president George Herbert Walker IV, investment management Mark Walsh, real estate Ming Xu, analyst Lehman Staff of Note Holly Becker, equities Marianne Burke, Dick Fuld's secretary Barbara Byrne, investment banking Kerrie Cohen, press officer Andrew Gowers, press officer Ros L'Esperance, investment banking Lara Pettit, sales Marna Ringel, Scott Friedheim's assistant Craig Schiffer, bond salesman Peter Sherratt, Europe Key Lehman Spouses Celia Felcher Cecil Isabelle Freidheim Kathleen Fuld Teresa Gregory Niki Golod Gregory Karin Jack Sandra Lessing Martha McDade Mary Anne Pettit Michael Thompson, ex-husband of Erin Callan Heather Tucker Nancy Dorn Walker The Original Lehman Brothers Henry, Emmanuel, and Mayer Lehman, founders Philip Lehman, managing partner, 1901-1925 Robert "Bobbie" Lehman, took over as head of Lehman from father Philip in 1925 Industry Players Gary Barancik, partner, Perella Weinberg Partners James L. "Jamie" Dimon, chairman and CEO, JPMorgan Chase David Einhorn, chairman, Greenlight Capital Kenneth D. "Ken" Lewis, president, chairman, and CEO, Bank of America John Mack, chairman of the board and CEO, Morgan Stanley Joseph R. "Joe" Perella, chairman, Perella Weinberg Partners Daniel Pollack, lawyer for Chris Pettit Robert K. "Bob" Steel, president and chief executive, Wachovia, also domestic undersecretary at the U.S. Treasury Min Euoo Sung, CEO, Korea Development Bank Mark Shafir, partner and senior investment banker, Thomas Weisel Partners Bruce Wasserstein, the late chairman and chief executive, Lazard Andrew Zimmerman, analyst, SAC Capital Barclays Archibald Cox Jr., chairman, Barclays Americas Jerry del Missier, president,
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