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Mass Gaming Mohegan Sun Investigation

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Mass Gaming Mohegan Sun Investigation MOHEGAN SUN MASSACHUSETTS, LLC APPLICANT FOR A CATEGORY 1 GAMING LICENSE PURSUANT TO M.G.L. c 23K; REPORT OF SUITABILITY OF APPLICANT ENTITIES AND INDIVIDUAL QUALIFIERS PURSUANT TO 205 CMR 101 et seq. September 23, 2013 Unauthorized disclosure, distribution or copying of this report is prohibited and is a violation of M.G.L. c 23K, the Commission’s regulations in 205 CMR, and the public records law in M.G.L. c. 66 and c. 4. 1 TABLE OF CONTENTS I. INTRODUCTION ........................................................................................................ 5 II. SCOPE AND METHODOLOGY ................................................................................ 6 III. IDENTIFICATION OF APPLICANT, PROPOSED LOCATION AND .................. 11 SHORT HISTORICAL CONTEXT OF APPLICANT’S GAMING ............................... 11 INDUSTRY PARTICIPATION ....................................................................................... 11 A. IDENTIFICATION OF APPLICANT......................................................................... 11 B. APPLICANT SITE ...................................................................................................... 12 C. DESCRIPTION AND EXPLANATION OF APPLICANT’S OWNERSHIP ............ 13 D. TRIBAL BACKGROUND INFORMATION ............................................................ 15 E. THE MOHEGAN ENTITIES ..................................................................................... 17 F. BRIGADE CAPITAL MANAGEMENT, LLC ........................................................ 35 IV. APPLICANT OPERATIONAL CORPORATE OWNERSHIP STRUCTURE ........ 38 TABLE 1 ........................................................................................................................... 39 V. APPLICANT ENTITY AND INDIVIDUAL PERSON QUALIFIERS SUITABILITY SUMMARY OF FINDINGS ............................................................ 40 A. ENTITY QUALIFIERS ............................................................................................. 42 1. MOHEGAN SUN MASSACHUSETTS, LLC........................................................... 40 2. MGA PALMER PARTNERS, LLC ........................................................................... 43 3. MGA GAMING MA, LLC ......................................................................................... 45 4. MGA HOLDING MA, LLC ....................................................................................... 47 5. MOHEGAN GAMING ADVISORS, LLC ................................................................ 49 2 6. MOHEGAN TRIBAL GAMING AUTHORITY ....................................................... 52 7. BRIGADE CAPITAL MANAGEMENT, LLC ......................................................... 55 8. NEW ENGLAND GAMING PARTNERS, LLC ....................................................... 59 B. INDIVIDUAL PERSON QUALIFIERS ..................................................................... 62 1. BRUCE BOZSUM...................................................................................................... 62 2. R. JAMES GESSNER, JR. ......................................................................................... 65 3. CHERYL A. TODD.................................................................................................... 68 4. KATHLEEN REGAN-PYNE ..................................................................................... 70 5. THAYNE D. HUTCHINS, JR. ................................................................................... 73 6. MARK F. BROWN .................................................................................................... 76 7. WILLIAM QUIDGEON, JR. ..................................................................................... 79 8. MARK SPERRY ........................................................................................................ 81 9. MITCHELL GROSSINGER ETESS ......................................................................... 84 10. MARIO KONTOMERKOS........................................................................................ 87 11. GARY VAN HETTINGA .......................................................................................... 90 12. DAVID ROME ........................................................................................................... 93 13. DONALD E. MORGAN III ....................................................................................... 96 14. NEAL P. GOLDMAN .............................................................................................. 100 15. DOUGLAS C. PARDON ......................................................................................... 104 16. STEVEN PATRICK VINCENT............................................................................... 106 17. RAYMOND LUIS .................................................................................................... 110 18. PATRICK WILLIAM KELLY ................................................................................. 113 19. ROSARIO DIMINNI ................................................................................................ 117 20. JOHN CARNEY HAWKS ....................................................................................... 120 21. BENJAMIN RENSHAW.......................................................................................... 122 3 22. IVAN KRSTICEVIC ................................................................................................ 125 VI. CONCLUSION AND FINDINGS ........................................................................... 127 EXHIBIT 1...................................................................................................................... 129 EXHIBIT 2…………………………………………………………………..………….138 EXHIBIT 3...................................................................................................................... 142 EXHIBIT 4...................................................................................................................... 142 EXHIBIT 5...................................................................................................................... 144 EXHIBIT 6...................................................................................................................... 145 EXHIBIT 7...................................................................................................................... 146 EXHIBIT 8...................................................................................................................... 147 EXHIBIT 9...................................................................................................................... 148 EXHIBIT 10.................................................................................................................... 149 EXHIBIT 11.................................................................................................................... 150 EXHIBIT 12.................................................................................................................... 151 EXHIBIT 13.................................................................................................................... 152 EXHIBIT 14.................................................................................................................... 154 EXHIBIT 15.................................................................................................................... 155 EXHIBIT 16.................................................................................................................... 157 EXHIBIT 17.................................................................................................................... 159 EXHIBIT 18.................................................................................................................... 161 EXHIBIT 19.................................................................................................................... 163 EXHIBIT 20.................................................................................................................... 165 EXHIBIT 21.................................................................................................................... 167 EXHIBIT 23.................................................................................................................... 171 EXHIBIT 24.................................................................................................................... 173 4 I. INTRODUCTION After a formal public Request for Proposals in approximately October 2012, the firm of Michael and Carroll, PC (“M&C”) and its agents and affiliated professionals were selected and then retained by the Massachusetts Gaming Commission (“MGC”) to assist the Commission’s Investigations and Enforcement Bureau (“IEB”) in conducting thorough, yet expedited, due diligence and background investigations of numerous entities and individual qualifiers for each respective assigned applicant. In order to meet these requirements, M&C and IEB utilized the services of field investigators, financial investigators, certified public accountants, database specialists, attorneys with extensive experience in gaming regulation and other support professionals. This staff included former FBI agents and supervisors, former State Police from other jurisdictions, former Attorney General’s investigators, former state and tribal regulatory officials and former criminal prosecutors. This experienced staff was teamed with experienced
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