STATE OF NEW YORK

SUPREME COURT : COUNTY OF ALBANY

STATE OF NEW YORK,
Plaintiff,
-against-
VITO LOPEZ,
Defendant.
To the above named Defendant(s):
SUMMONS
Index No.: L-00048-14
Albany county Clerk
Document Number 11707591
Rcvd 10/09/2014 3.30:50 PM
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YOU ARE HEREBY SUMMONED and required to serve upon plaintiff's attorney an
answer to the complaint in this action within twenty days (20) after the service of this summons,
exclusive of the day of service, or within thirty days (30) after service is completed if this
summons is not personally delivered to you within the State of New York. In case of your failure
to answer, judgment will be taken against you by default for the relief demanded in the
complaint.
Dated: October 9, 2014
Albany, New York ERIC T. SCHNEIDERMAN
Attorney General of the State ofNew York
Assistant Attorney General
Attorney for Plaintiff
State of New York
Office of the Attorney General
The Capitol
Albany, New York 12224
Telephone: (518) 486-5470
Trial is desired in the county of Albany. The basis of venue designated above is that plaintiff
resides at The Capitol in the County of Albany.
STATE OF NEW YORK
SUPREME COURT : COUNTY OF ALBANY
STATE OF NEW YORK,

-against-
VITO LOPEZ,
Defendant.
VERIFIED COMPLAINT
Index No.: L-00048-14
Albany countv
1

PM
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Plaintiff, by its attorney, Eric T. Schneiderman, Attorney General of the State of New
York, as and for its Verified Complaint herein, alleges:
I. Plaintiff is the sovereign State of New York with its principal place of business at
the Capitol, County of Albany, State of New York, 12224.
2. Defendant Vito Lopez ("Lopez") is a former New York State Assemblymember
now or formerly residing in Brooklyn, New York.
3. The New York State Legislative Ethics Commission ("LEC") is a governmental
agency of Plaintiff established by the Public Employees Ethics Reform Act of 2007 (Chap. 14,
L. 2007) charged with. inter alia, the administration and enforcement of the provisions of
Sections 73, 73-a, and 74 of the Public Officers Law for members and employees of the
legislature and candidates for state legislative office.
4. Pursuant to Legislative Law 80, LEC consists of nine members; each of the four
legislative leaders appoints one legislative and one non-legislative member, with the fifth non-
legislative member being appointed by the Speaker of the Assembly and the Majority Leader of
the Senate.
5. The New York State Joint Commission on Public Ethics ("JCOPE") is a
governmental of Plaintiff created by the Public Integrity Reform Act of 2011 to restore
public trust in government by ensuring compliance with the State's ethics and lobbying laws and
regulations, as well as investigating potential violations of the State's ethics laws, including
Sections 73, 73-a, and 74 of the Public Officers Law as they apply to members and employees of
the legislature and candidates for state legislative office.
6. Pursuant to Executive Law 94, JCOPE consists of fourteen members, three
appointed by the Temporary President of the Senate, three appointed by the Speaker of the
Assembly, one appointed by the Minority Leader of the Senate, one appointed by the Minority
Leader of the Assembly, and six appointed by the Governor and the Lieutenant Governor.
7. Pursuant to Sections 94(14) and (14-a) of the Executive Law and Sections 80(9)
and (10) of the Legislative Law, JCOPE has jurisdiction to investigate members of, or candidates
for member of, the legislature or legislative employees, and shall present a written report to the
LEC if it finds a substantial basis to conclude that any such individual has violated the Public
Officers Law.
8. On August 24, 2012, the New York State Assembly Standing Committee on
Ethics and Guidance issued a report that concluded that Lopez had engaged in repeated conduct
towards former female members of his staff that violated the Assembly's Sexual
Harassment/Retaliation Policy and recommended that the Speaker of the Assembly impose
. ~ r t i n sanctions against Lopez.
9. On August 24, 2012, the Speaker of the Assembly adopted the Assembly Ethics
Committee's recommendations and took formal action against Lopez, including removing Lopez
from the position of Chair of the Assembly Standing Committee on Housing.
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10.
Officers Law.
On August
that it had
201 JCOPE sent Lopez a letter pursuant to Law 94
allegations against of potential violations of the Public
11. JCOPE's August 30, 2012 letter notified Lopez of the nature of the allegations
against him including allegations that he engaged in an unethical course of conduct as a member
of the Assembly through inappropriate and offensive comments of a sexual nature with certain
female legislative staff members under his supervision, advised Lopez of the sections of the
Public Officers Law that may have been violated and provided Lopez with a fifteen-day period to
submit a written response to the allegations.
By letter dated September 6, 2012, Lopez, through his counsel, responded to
JCOPE's August 30, 2012 letter.
13. On September 10, 201 JCOPE voted to commence a full Substantial Basis
investigation, pursuant to Executive Law 94(13), to determine whether a substantial basis
existed to conclude that Lopez's conduct violated Public Officers Law 74(3) (d), (f) and (h)
with respect to his treatment of certain former female staff members.
14. On September 21, 2012, JCOPE sent Lopez a Notice of Substantial Basis
Investigation notifying Lopez that it had voted to commence an investigation to determine
whether a substantial basis existed to conclude that Lopez violated Public Officers Law
74(3)(d),(f) and (h).
15. JCOPE's September 21, 2012 Notice of Substantial Basis Investigation detailed
Lopez's alleged violations of Public Officers Law 74(3)(d),(f) and(h), provided links to the
rules and regulations of JCOPE and LEC, and notified Lopez of his right to submit a written
response to the Notice.
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16. On October 23, 2012, Lopez, through his counsel, submitted a twenty-three page
response to JCOPE's Notice of Substantial Basis Investigation.
17. JCOPE issued 49 subpoenas, interviewed more than 45 individuals, and reviewed
approximately 20,000 pages of documents that were produced to JCOPE as part of its Substantial
Basis Investigation.
18. JCOPE issued a subpoena to Lopez for documents and his testimony as part of its
Substantial Basis Investigation.
19. Lopez submitted documents to JCOPE in response, pursuant to JCOPE's
subpoena, but Lopez did not appear for testimony despite numerous efforts by JCOPE to secure
his appearance for testimony.
20. Upon conclusion of its investigation, JCOPE issued a Substantial Basis
Investigation Report, JCOPE-127, dated February 12, 2013, entitled In the Matter ofan
Investigation ofAssemblymember Vito Lopez ("Substantial Basis Investigation Report").
21. JCOPE's Substantial Basis Investigation Report found that "Lopez used the
powers and perks of his position as a member of the Assembly to engage in knowing, willful, and
prolonged mistreatment of certain female members of his Assembly s t a f f ~ and that "[b ]y this
conduct, Lopez indisputably breached the public trust and thereby violated (Sections 74(3) (d),
(f) and (h) of] the Public Ot1icers Law."
22. JCOPE's Substantial Basis Investigation Report determined that there was a
substantial basis to conclude that Lopez used his office to pursue a course of conduct that
violated Public Officers Law 74(3)(d), (f) and (h).
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Pursuant to Sections 94(14) and (14-a) of the Executive Law and Sections 80(9)
and ( 10) of the Legislative Law, JCOPE presented the Substantial Basis Investigation Report to
the LEC on or about February 20, 2013.
24. On April 30, 2013, the LEC personally served Lopez with a Notice of Receipt of
Substantial Basis Investigation Report dated April 24, 2013.
LEC' s Notice of Receipt of Substantial Basis Investigation Report informed
Lopez of LEC's receipt of JCOPE's Substantial Basis Investigation Report, notified Lopez of his
right to representation by an attorney, provided Lopez with an opportunity to submit a written
response to LEC and enclosed a copy of the LEC's Rules.
26. Based upon information and beliet: on May 20, 2013, Lopez resigned from the
New York State Assembly.
27. On May 21, 2013, the LEC served Lopez by certified mail, return receipt
requested, with a Notice of Adjudicatory Hearing scheduled for June 4, 2013 and provided a
copy of the same to counsel for Lopez.
28. LEC's May 21, 2013 Notice of Adjudicatory Hearing notified Lopez and his
counsel of the hearing date, time and place, LEC's concurrence with JCOPE's conclusions of law
that there was a substantial basis to conclude that Lopez violated Public Officers Law 74(3)(d),
()and (h), LEC's statutory power to assess civil penalties and Lopez's right to be represented by
counsel at the hearing to present evidence.
29. On June 4, 2013, the LEC convened a hearing pursuant to the May 21, 2013
Notice of Adjudicatory Hearing.
30. The LEC issued a Disposition and Notice of Civil Assessment, dated June 11,
2013 and posted on LEC's website on June 11, 2013 (the "Disposition Report"), which concurred
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with JCOPE's conclusions of law that there is a substantial basis to find that Lopez violated
Sections 74(3)(d), (t) and (h) of the Public Officers Law. (A copy of the Disposition Report is
attached hereto as Exhibit "A.")
3 1. The LEC found at least thirty-three distinct violations of Section 7 4(3 )( d) of the
Public Officers Law, found that Lopez engaged in a knowing and intentional course of conduct
that violated Public Officers Law Sections 74(3)(f) and (h), and assessed a civil penalty in the
amount of $330,000.00 against Lopez. (See Exhibit "A" attached hereto.)
32. By cover of correspondence dated July 3, 2013, the LEC served Lopez by certified
mail, return receipt requested, with the Disposition Report assessing the $330,000.00 civil
penalty.
33. On May 20, 2014, the LEC served Lopez by certified mail, return receipt
requested, with a Demand for Civil Penalty, with another copy of Disposition Report and
demanded payment of the civil penalty of $330,000.00.
34. Based upon information and belief, Lopez did not file a CPLR Article 78
proceeding concerning the Disposition Report and the statutory time period to do so has expired.
35. On July 9, 2014, the New York State Office of the Attorney General served Lopez
with a letter demanding payment of the $330,000.00 civil penalty by August 13, 2014, and
advising Lopez that interest charges and a collection fee of up to $72,600.00, pursuant to Section
18 of the State Finance Law, would apply if payment was not timely received.
36. Lopez has refused or failed to pay the sum of $330,000.00 to Plaintiff: although
duly demanded to do so, and such sum remains due and owing to the Plaintiff.
3 7. Pursuant to Section 18 of the State Finance Law, Plaintiff is entitled to interest
from August 13, 2014 at 3 .5% per annum and shall be entitled to a collection fee in an amount
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not exceeding twenty-two percent (22%) of the outstanding debt of $330,000.00 ($72,600.00), in
accordance with the July 9, 2014 letter demanding payment.
WHEREFORE, by virtue of the foregoing, Plaintiff State of New York demands
judgment in its favor and against the Defendant Vito Lopez in the sum of $330,000.00, together
with interest from August 13, 2014, at 3.5% per annum plus a 22% collection fee pursuant to
Section 18 of the State Finance Law in the amount of $72,600.00, together with the costs and
disbursements of this action.
Dated: October 9, 2014
Albany, New York
ERIC T. SCHNEIDERMAN
Attorney General of the State of New York
Assistant Attorney General
Attorney for Plaintiff
State of New York
Office of the Attorney General
The Capitol
Albany, New York 12224
Telephone: (518) 486-5470
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VERIFICATION
Lisa P. Reid, affirms the following, under penalty of
I am the Executive Director and Counsel to the New York State Legislative Ethics
Commission and I have read the foregoing Verified Complaint and know the contents thereof.
The same is true to my own knov,,ledge, except as to those matters alleged upon information and
belief; as to those matters, I believe them to be true. I have in my possession the various records
and files of the New York Legislative Ethics Commission, which are the sources of my
information and grounds for my belief as to the matters set forth in the Verified C<ymplaint.
to before me on this
yay of October. 2014.
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EXHIBIT ''A''
DISPOSITION REPORT
STATE OF NEW YORK
LEGISLATIVE ETHICS COMMISSION
SUBSTANTIAL BASIS INVESTIGATION REPORT
JCOPE-127
IN THE MATTER OF AN lNVESTIGATION
< )F ASSEMBLY MEMBER VITO LOPEZ
DISPOSITION AND NOTICE
OF CIVIL ASSESSMENT
Pursuant to Executive Law 94( 14-a), the Legislative Ethics Commission (LEC) received a
Substantial Basis Investigation Report from the Joint Commission on Public Ethics (JCOPE) on
February 20, 2013. The report determines that there is a substantial basis to conclude that former
Assemblymember Lopez violated Public Ot1icers Law 74(3)(d).(t), and (h) through knowing
and intentional conduct.
The LEC also received from Daniel M. Donovan Jr., District Attorney for Richmond County and
Special Prosecutor for the Vito Lopez criminal investigation, a request dated February 14, 2013
that the LEC, not make public the JCOPE report and that it suspend its actions pursuant to
Legislative Law 80(9)(b) because of an ongoing criminal investigation. The LEC complied with
this request pursuant to the statute. and released the report on May 15. 2013 when the District
Attorney Donovan's Office informed the LEC that it had concluded its investigation.
On May 21. 2013, the LEC served Vito Lopez, via certified mail return receipt requested, with a
notice of adjudicatory hearing for the purpose of assessing penalties, scheduled on June 4, 2013
at I 0:30 a.m. Mr. Lopez' attorney was also notified via electronic mail of such hearing. The
LEC. pursuant to the request of counsel for Mr. Lopez also additional materials received from
JCOPE relevant to findings against Mr. Lopez.
On June 4, 2013 at l 0:30a.m., the LEC convened a hearing ten the purpose of assessing civil
renalties. Neither Mr. Lopez, nor his counsel was present for the hearing, thereby not availing
himself of his opportunity to be heard.
Pursuant to Legislative Law Section 80( I 0), the LEC concurs with JCOPE's conclusions of law
that there is a substantial basis to tind that former Assemblymember Vito Lopez violated Public
Officers Law (f), and (h) through knowing and intentional conduct. Based upon a
r.:vii:w of the report and supplemental materials provided by JCOPE. the LEC concurs that by
making numerous inappropriate actions and offensive comments of a sexual nature with certain
legislative staff members under his supervision and professional employment; subjecting certain
female legislative staff members under his supervision and professional employment to
unwanted physical contact; and by using or attempting to use his official position to secure
unwarranted privileges, including but not limited to offering raises, promotions and bonuses as
incentives and threats of adverse employment action to comply with inappropriate requests made
by Lopez; and by misappropriating legislative time and resources with respect to the foregoing
inappropriate conduct, including but not limited to requiring a Legislative employee to travel
with him to Atlantic City when there was no legitimate governmental purpose, that there is a
substantial basis to conclude that Vito Lopez violated Public Officers Law 74(3)(d), (f), and
(h).
Atter reviewing the JCOPE report and other relevant materials forwarded to the LEC in
consideration of the penalties to be assessed, the LEC concludes that Lopez engaged in a course
of conduct that violated Public Officers Law 74(3)(d)(f) and (h). The Commission finds at
least thirty three distinct violations of Public Officers Law 74(3 )( d) against at least the four
complainants. In addition, Lopez' knowing and intentional conduct constituted violations of
Public Officers Law 74(3 )(t), and (h).
The Commission accordingly directs that Lopez be assessed a civil penalty in the amount
of three hundred thirty thousand dollars. ($330,000.00) The Commission's unanimous
recommendation that the Assembly expel Lopez due to his egregious conduct is moot given his
resignation on May 20, 2013.
Date: June 11, 2013
Senator Andrew J. Lanza, co-chair
Assemblymember Charles D. Lavine, co-chair
Senator Neil D. Breslin
Assemblyrnember Tony Jordan
Peter V. Coffey, Esq.
Ellen B. Holtzman, Esq.
I Ion. Renee R. Roth