Case: Martens v. Smith Barney

1:96-cv-03779 | U.S. District Court for the Southern District of New York

Filed Date: May 20, 1996

Closed Date: 2006

Clearinghouse coding complete

Case Summary

On May 20, 1996, a group of female employees filed this lawsuit under Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e et seq., against Smith Barney Inc. in the United States District Court of the Southern District of New York. The plaintiffs, represented by private counsel, asked the Court for injunctive and compensatory relief alleging that Smith Barney discriminated against its female employees. Specifically, the plaintiffs contended that Smith Barney committed gend…

On May 20, 1996, a group of female employees filed this lawsuit under Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e et seq., against Smith Barney Inc. in the United States District Court of the Southern District of New York. The plaintiffs, represented by private counsel, asked the Court for injunctive and compensatory relief alleging that Smith Barney discriminated against its female employees. Specifically, the plaintiffs contended that Smith Barney committed gender discrimination, sexual harassment, and pregnancy discrimination; and further paid women lower wages, retaliated against complainants, and violated several state, city and common law statutes in these practices.

The evidence was so overwhelmingly against Smith Barney, that the Court (Judge Constance Baker Motley) never officially certified the class of female employees. Yet, the case itself is much more complex than it first appears. As the trial proceeded, more female employees joined the plaintiffs, and Smith Barney's motion to dismiss the complaint was never decided as a preliminary settlement was reached on November 18, 1997.

After many fairness hearings, where objections to the settlement were stated, on July 28, 1998 (Docket #113--listed as July 24th), the Court approved a final settlement agreement. Martens v. Smith Barney, 1661385 WL 2 (S.D.N.Y 1998). The agreement approved the class of female employees working for Smith Barney in the retail sales, investment banking or capital markets divisions. It affected an estimated 23,000 women. Smith Barney was ordered to pay for all costs associated with notifying the class of the three part dispute resolution process. The resolution process was run by a unit from the Duke Law School, whereby women could pursue individual claims, or join in claims arising from actions in a single branch office. In addition to individual relief, the settlement stipulated that Smith Barney spend $15 million toward diversity initiatives and training. In total, the firm paid $150 million to women who filed claims through its dispute resolution system.

Many plaintiffs were still unsatisfied with the settlement and chose to opt out. It is estimated that around 1,900 women filed complaints, but the damages awarded were all confidential according to the agreement. This is the procedure many plaintiffs had issue with from the start. Normally, because of contracts signed by brokers with the New York Stock Exchange (NYSE) and the National Association of Securities Dealers (NASD), any employment lawsuit is to be settled through a mandatory arbitration process separate from the courts. The one exemption to this contract being class action lawsuits. Thus, on the complaint the NYSE and NASD were listed as defendants as the plaintiffs sought declaratory relief against these parties for violating their rights to a court hearing under Title VII and the United States Constitution. In an opinion on these claims given on December 2, 1999, the Court (Judge Motley) dismissed these charges, and gave the plaintiffs an opportunity to opt back into the settlement. Martens v. Smith Barney, 190 F.R.D. 136 (S.D.N.Y 1999).

Two of the original plaintiffs opted out of the settlement because they did not believe that it was fair in any manner. While the Court (Judge Motley) gave them the option of opting back into the settlement, the plaintiffs chose to continue their litigation on their own terms. However, in doing so, the statutes on limitations came into play. While these plaintiffs were still working out new representation, having been dissatisfied with the class counsel, the Court took action.

On January 31, 2000, the plaintiff's new lawyers were chastised by the Court (Judge Motely). The Court ordered that the plaintiff's motion to enforce the settlement be denied. The Court further ordered that the plaintiff's counsel, back up alleged improprieties with facts, and that pro hac vice status be clarified. Martens v. Smith Barney, 108831 WL 2 (S.D.N.Y. 2000).

On May 15, 2000, according to the docket, the Court (Judge Motley) dismissed the remaining opt out plaintiffs from the case, with prejudice.

Then, on May 17, 2000, according to the docket, the Court (Judge Motley) imposed sanctions on the counsel of the dismissed plaintiffs, and further denied the motion to enforce the settlement. The plaintiffs then appealed.

On November 20, 2001, the United States Court of Appeals of the 2nd Circuit (Judge Calabresi, Judge Sotomayor) handed down its decision. The Court first ordered that the District Court's judgment denying the motion to enforce be vacated, and that this be remanded back to the District Court. The order removing pro hac vice and sanctioning the plaintiff's counsel was vacated. The District Court's judgment dismissing the individual plaintiffs was vacated. And finally, the plaintiff's motion to reassign the case to another District Court was denied. Martens v. Smith Barney, 273 F.3d 183 (2nd Cir. 2001). Thus, most of the decision went for the plaintiffs, and things seemed to take a turn for them.

Back in the District Court, the case was reassigned to Judge John Koeltl. On July 9, 2003, he denied the plaintiff's motion to enforce the settlement agreement. Martens v. Smith Barney, 21543506 WL 19 (S.D.N.Y. 2003). The Court stated that there is in fact, no actual motion to enforce a settlement in any sort of rule or civil litigation procedure guide. There were, according to the Court, many ways to appeal the enforcement of a settlement, and all were clearly laid out before the plaintiff's counsel, who disregarded these facts. Martens v. Smith Barney, 21543506 WL 2 (S.D.N.Y. 2003). The Court further argued that the small number of plaintiffs moving to enforce do not represent a large enough body to consider action against a settlement that was a great cost to achieve, despite the merits of the individual claims Martens v. Smith Barney, 21543506 WL 6 (S.D.N.Y. 2003).

Thus, for the most part the plaintiffs objections were dismissed. While there was more action, resulting in appeals by the plaintiffs, no information regarding these motions or their appeals is made available except on the docket. For all intents, the case was closed by the end of 2004. However, a motion by the defendants reopened the case temporarily in 2005.

On October 7, 2005, the Court (Judge Koeltl) denied defendants' motion to reopen the action and enjoin certain plaintiffs involved in a class action lawsuit in the United States District Court of the Northern District of California. The defendants alleged that this other case, Amochaev v. Citigroup Global Markets, Inc., d/b/a Smith Barney, involve actions that were stipulated under the settlement of Martens v. Smith Barney. Martens v. Smith Barney, 2649023 WL 1 (S.D.N.Y. 2005).

The case was officially closed with the last entry on the docket dated September 29, 2006.

Susan Antilla's 2002 book about the case is titled "Tales From the Boom Boom Room: Women vs. Wall Street."

Summary Authors

Kunyi Zhang (8/30/2010)

People

For PACER's information on parties and their attorneys, see: https://www.courtlistener.com/docket/4902357/parties/martens-v-smith-barney-inc/


Judge(s)

Bernikow, Leonard (New York)

Calabresi, Guido (Connecticut)

Koeltl, John George (New York)

Motley, Constance Baker (New York)

Sotomayor, Sonia (District of Columbia)

Attorneys(s) for Plaintiff

Dermody, Kelly M. (California)

Dobrish, Robert Z. (New York)

Friedman, Linda (Illinois)

Garrison, Joseph D. (Connecticut)

Jamison, Phyllis (Montana)

Judge(s)

Bernikow, Leonard (New York)

Calabresi, Guido (Connecticut)

Koeltl, John George (New York)

Motley, Constance Baker (New York)

Sotomayor, Sonia (District of Columbia)

Attorneys(s) for Plaintiff

Dermody, Kelly M. (California)

Dobrish, Robert Z. (New York)

Friedman, Linda (Illinois)

Garrison, Joseph D. (Connecticut)

Jamison, Phyllis (Montana)

Moloshok, Matthew Eli (New Jersey)

Montanez, Richard (Connecticut)

Palter, Michele Lang (Connecticut)

Phelan, Gary E. (New York)

Spriggs, Peter Kent (Florida)

Attorneys(s) for Defendant

Karp, Brad Scott (New York)

Toal, Daniel John (New York)

Documents in the Clearinghouse

Document

Docket

Sept. 29, 2006 Docket
1

Complaint

May 20, 1996 Complaint

Order (approving class action settlement and dismissing claims)

1998 WL 1661385

July 28, 1998 Order/Opinion
159

Order (dismissing claims against NASD and NYSE)

190 F.R.D. 134

Dec. 2, 1999 Order/Opinion
198

Order (dismissing motion to enforce settlement)

2000 WL 108831

Jan. 31, 2000 Order/Opinion

2nd Circuit Order (vacating District Court decisions)

U. S. Court of Appeals for the Second Circuit

273 F.3d 159

Nov. 20, 2001 Order/Opinion
353

Order (denying motion for interlocutory appeal)

238 F.Supp.2d 596

Dec. 24, 2002 Order/Opinion
367

Order (denying motion to enforce)

2003 WL 21543506

July 9, 2003 Order/Opinion

Order (denying motion to enjoin)

2005 WL 2649023

Oct. 7, 2005 Order/Opinion

Docket

See docket on RECAP: https://www.courtlistener.com/docket/4902357/martens-v-smith-barney-inc/

Last updated May 12, 2022, 8 p.m.

ECF Number Description Date Link
393

MEMORANDUM OPINION AND ORDER;92270 re: 383 MOTION (FILED ON SERVICE DATE) to Reopen Case. filed by Smith Barney, Inc.. (Signed by Judge John G. Koeltl on 10/7/05) (pl, ) Modified on 10/14/2005 (ns, ).

Oct. 11, 2005 RECAP
1

COMPLAINT filed; Summons issued and Notice pursuant to 28 U.S.C. 636(c); Jury Trial Dem. FILING FEE $ 120 RECEIPT # 262443 (sc) (Entered: 05/21/1996)

May 20, 1996
395

MEMORANDUM OPINION AND ORDER; that Smith Barney's motion to enjoin certain plaintiffs in this action from pursuant the Amochaev action in the U.S.D.C. for the Northern District of California is denied. (Signed by Judge John G. Koeltl on 10/7/05) (pl, )

Oct. 20, 2005 RECAP

It is suggested that the case be classified as complex. Magistrate Judge Bernikow is so Designated. (sc) (Entered: 05/21/1996)

May 20, 1996
2

Order setting pretrial conference for the purposes of discussing settlement, motions, discovery schedule and setting a date for trial ; Pretrial conference set for 4:15 9/3/96. ( signed by Judge Allen G. Schwartz ) (lam) (Entered: 06/13/1996)

June 11, 1996
3

NOTICE OF FILING of Amended Complt. w/ the Clerk of the U.S. District Curt for the Southern Dist. of NY by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann (ls) (Entered: 07/08/1996)

July 2, 1996
4

NOTICE OF MOTION by Pamela K. Martens, Judith P. Mione and Roberta O'Brien Thomann through their att'y for Mary Stowell and Linda D. Friedman to appear pro hac vice Return date 9/3/96. (kw) (Entered: 07/23/1996)

July 22, 1996
4

AFFIDAVIT in support by Mary Stowell of Re: [4−1] motion for Mary Stowell and Linda D. Friedman to appear pro hac vice. (kw) (Entered: 07/23/1996)

July 22, 1996
4

AFFIDAVIT in support by Linda D. Friedman of Re: [4−1] motion for Mary Stowell and Linda D. Friedman to appear pro hac vice. (kw) (Entered: 07/23/1996)

July 22, 1996
4

DECLARATION in support by Matthew E. Moloshok, attorney for plaintiffs, of [4−1] motion for Mary Stowell and Linda D. Friedman to appear pro hac vice. (kw) (Entered: 07/23/1996)

July 22, 1996
6

ORDER granting [4−1] motion for Mary Stowell and Linda D. Friedman to appear pro hac vice for plaintiffs. SO ORDERED: ( signed by Judge Allen G. Schwartz ) (ae) (Entered: 09/04/1996)

Sept. 4, 1996
7

Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Discovery Disputes ( signed by Judge Allen G. Schwartz ) Referred to Magistrate Judge Leonard A. Bernikow (kg) (Entered: 09/24/1996)

Sept. 23, 1996
8

AMENDED COMPLAINT by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann , (Answer due 10/30/96 for Nat. Asso. of Secur., for The N.Y. Stock Exch., for Nicholas Cuneo, for James Dimon, for Smith Barney/Shear., for Shearson Leh. Hutt., for Smith Barney, Inc. ) amending [1−1] complaint against Lorraine Parker, Bette Laswell, Jennifer Alvarez, Marianne Dalton, Patricia Clemente, Simone Schwendener, Cara Beth Walker, Edna Broyles, Edna Tompkins, Stephanie Rodruck, Danielle Saccone, Beverly Trice, Lori Hurwitz, Lydia Klein, Eileen Valentino, Patricia Hanloin, Teresa Tedesco, Mary Ann Cabell, Mary Ann Cabell, Ardis Vinnecour, Tracy Gibbs, James Dimon, Shearson Lehman Hutt, Smith Barney/Shearso; Summons issued. (djc) (Entered: 10/18/1996)

Oct. 17, 1996
9

STIPULATION AND ORDER SCHEDULING BRIEFING OF MOTIONS TO DISMISS, pltffs will file their second Amended Complaint on or before 10/17/96, set amended pleadings due for 10/17/96. Defts will have until 10/25/96 to notify pltffs whether they intend to amend their Motions to dismiss. If defts notify pltffs on 10/25/96, that they do not desire to amend their Motions to Dismiss, pltffs will respond to the pending Motions to Dismiss w/in 14 days. If defts desire to amend their Motions to Dismiss, they shall do so on or before 11/25/96; and in such case pltffs will respond to such amended Motions to dismiss w/in 39 days after service , set motion filing deadline for 11/25/96 ( signed by Judge G. Schwartz ); Copies mailed (kg) (Entered: 10/24/1996)

Oct. 23, 1996
10

CORRECTED SECOND AMENDED COMPLAINT by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann, Lorraine Parker, Bette Laswell, Jennifer Alvarez, Marianne Dalton, Patricia Clemente, Simone Schwendener, Cara Beth Walker, Edna Broyles, Edna Tompkins, Stephanie Rodruck, Danielle Saccone, Beverly Trice, Lori Hurwitz, Lydia Klein, Eileen Valentino, Patricia Hanloin, Teresa Tedesco, Mary Ann Cabell, Mary Ann Cabell, Ardis Vinnecour, Tracy Gibbs , (Answer due 11/5/96 for Smith Barney/Shearso, for Shearson Lehman Hutt, for James Dimon, for Nat. Asso. of Secur., for The N.Y. Stock Exch., for Nicholas Cuneo, for James Dimon, for Smith Barney/Shear., for Shearson Leh. Hutt., for Smith Barney, Inc. ) amending [8−1] amended complaint ; Summons issued. (ba) (Entered: 10/24/1996)

Oct. 23, 1996
11

NOTICE of CHARGING LIEN − You are hreby Notified tha we, Lewis, Vegosen, Rosenbach &Silber, P.A.... as former attys for plaintiff Cara Beth Walker, claim a lien on the final judgment rendered in the above−styled action and on any recovery of any monies due, owing and/or received pursuant to plaintiff's claims herein through settlement or otherwise. Our lien on the aforesaid judgment and/or recovery is for costs and legal services rendered to plaintiff, Cara Beth Walker, for which we have not been compensated in the above−styled action. The amount of the lien is attorneys fees of $4,031.50 and costs in the amount of $352.65.... (djc) (Entered: 11/06/1996)

Nov. 1, 1996
12

NOTICE by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann that on November 8, 1996, attys for plaintiffs, filed the attached plaintiffs' consolidated Memorandum in Opposition to Defendants' Motions to Dismiss and Exhibits A−K with the Clerk of the United States District Court for the Southern District of New York. (djc) (Entered: 11/12/1996)

Nov. 8, 1996
13

CORRECTED SECOND AMENDED COMPLAINT by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann, Lorraine Parker, Bette Laswell, Jennifer Alvarez, Marianne Dalton, Patricia Clemente, Schwendener, Cara Beth Walker, Edna Broyles, Stephanie Rodruck, Danielle Saccone, Beverly Trice, Lori Hurwitz, Lydia Klein, Eileen Valentino, Teresa Tedesco, Mary Ann Cabell, Ardis Vinnecour, Tracy Gibbs, Robin Tompkins, Patricia Hanlon , (Answer due 11/21/96 for Smith Barney, Inc., for Shearson Leh. Hutt., for Smith Barney/Shear., for James Dimon, for Nicholas Cuneo, for The N.Y. Stock Exch., for Nat. Asso. of Secur. ) amending [10−1] amended complaint ; Summons issued. (lam) (Entered: 11/13/1996)

Nov. 8, 1996
14

MEMORANDUM by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann, Lorraine Parker, Bette Laswell, Jennifer Alvarez, Marianne Dalton, Patricia Clemente, Simone Schwendener, Cara Beth Walker, Edna Broyles, Stephanie Rodruck, Danielle Saccone, Beverly Trice, Lori Hurwitz, Lydia Klein, Eileen Valentino, Teresa Tedesco, Mary Ann Cabell, Ardis Vinnecour, Tracy Gibbs, Robin Tompkins, Patricia Hanlon in OPPOSITION to defts' Motions to Dismiss (not filed). (lam) (Entered: 11/13/1996)

Nov. 8, 1996
15

NOTICE OF MOTION by Nat. Asso. of Secur. to dismiss count VII of the amended complaint , Return date 11/6/96; attached are papers in support (cd) (Entered: 11/26/1996)

Nov. 25, 1996
16

CORRECTED MEMORANDUM by Nat. Asso. of Secur. in support of [15−1] motion to dismiss count VII of the amended complaint (cd) (Entered: 11/26/1996)

Nov. 25, 1996
17

REPLY MEMORANDUM by Nat. Asso. of Secur. re: [15−1] motion to dismiss count VII of the amended complaint (cd) (Entered: 11/26/1996)

Nov. 25, 1996
18

NOTICE OF MOTION by Smith Barney/Shear. to dismiss count VII of the amended complaint , Return date 11/6/96; attached are papers in support (cd) (Entered: 11/26/1996)

Nov. 25, 1996
19

MEMORANDUM by Smith Barney/Shear. in support of [18−1] motion to dismiss count VII of the amended complaint (cd) (Entered: 11/26/1996)

Nov. 25, 1996
20

REPLY MEMORANDUM by Smith Barney/Shear. re: [18−1] motion to dismiss count VII of the amended complaint (cd) (Entered: 11/26/1996)

Nov. 25, 1996
21

NOTICE OF MOTION by The N.Y. Stock Exch. to dismiss counts VII of the amended complaint , Return date 11/6/96; attached are papers in support (cd) (Entered: 11/26/1996)

Nov. 25, 1996
22

MEMORANDUM by The N.Y. Stock Exch. in support of [21−1] motion to dismiss counts VII of the amended complaint (cd) (Entered: 11/26/1996)

Nov. 25, 1996
23

REPLY MEMORANDUM by The N.Y. Stock Exch. re: [21−1] motion to dismiss counts VII of the amended complaint (cd) (Entered: 11/26/1996)

Nov. 25, 1996
24

MEMORANDUM by Pamela K. Martens in opposition to [15−1] motion to dismiss count VII of the amended complaint, [21−1] motion to dismiss counts VII of the amended complaint (cd) (Entered: 11/26/1996)

Nov. 25, 1996

Before MJ Bernikow; Pre−trial conference held (cd) (Entered: 12/02/1996)

Nov. 26, 1996
25

STIPULATION and ORDER, Third party American Broadcasting Companies is allowed to intervene for the limited purpose of opposing entry of a protective order restricting disclosure of discovery material ( signed by Judge Allen G. Schwartz ). (cd) (Entered: 01/09/1997)

Jan. 9, 1997
26

Notice of reassignment to Judge Constance B. Motley Copy of notice and judge's rules mailed to Attorney(s) of record: Linda Friedman, Matthew Eli Moloshok . (jp) (Entered: 06/30/1997)

June 26, 1997
27

NOTICE OF MOTION by plaintiffs for leave to file supplemental authority in support of consolidated response to defendants' motions to dismiss (kw) (Entered: 07/25/1997)

July 22, 1997
28

NOTICE OF MOTION by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann, Lorraine Parker, Bette Laswell, Jennifer Alvarez, Marianne Dalton, Patricia Clemente, Simone Schwendener, Cara Beth Walker, Edna Broyles, Edna Tompkins, Stephanie Rodruck, Danielle Saccone, Beverly Trice, Lori Hurwitz, Lydia Klein, Eileen Valentino, Teresa Tedesco, Ardis Vinnecour, Tracy Gibbs to withdraw as counsel to plaintiff Pamela K. Martens , no return date w. affidavit of service (djc) (Entered: 08/18/1997)

Aug. 13, 1997
29

MEMORANDUM of LAW by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann, Lorraine Parker, Bette Laswell, Jennifer Alvarez, Marianne Dalton, Patricia Clemente, Simone Schwendener, Cara Beth Walker, Edna Broyles, Edna Tompkins, Stephanie Rodruck, Danielle Saccone, Beverly Trice, Lori Hurwitz, Lydia Klein, Eileen Valentino, Teresa Tedesco, Ardis Vinnecour, Tracy Gibbs in support of [28−1] motion withdraw as counsel to plaintiff Pamela K. Martens (djc) (Entered: 08/18/1997)

Aug. 13, 1997
31

NOTICE OF MOTION by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann, Lorraine Parker, Bette Laswell, Jennifer Alvarez, Marianne Dalton, Patricia Clemente, Simone Schwendener, Cara Beth Walker, Edna Broyles, Stephanie Rodruck, Danielle Saccone, Beverly Trice, Lori Hurwitz, Lydia Klein, Eileen Valentino, Teresa Tedesco, Mary Ann Cabell, Ardis Vinnecour, Tracy Gibbs, Robin Tompkins, Patricia Hanlon; for leave to file supplemental authority ; return date not entered on motion (ls) Modified on 09/11/1997 (Entered: 09/11/1997)

Sept. 9, 1997
30

ORDER, the law firm of Leng, Stonwell, Friedman, &Vernon; and the law firm of Hellring, Lindeman, Goldstein &Siegal be, and they hereby are, relieved forthwith as counsel to Pamela K. Martens. the law firm of Leng, Stowell, Friedman, &Vernon; and the law firm of Hellring, Lindeman, Goldstein &Siegal remain counsel of record to the other plaintiffs listed in the above−captioned case and the puntative class members (signed by Judge Constance B. Motley); Copies mailed (pl) (Entered: 09/10/1997)

Sept. 10, 1997
32

ORDER, set pretrial conference for 10:00 a.m. 10/9/97 ( signed by Judge Constance B. Motley); Copies mailed. (kg) (Entered: 09/22/1997)

Sept. 22, 1997
33

PRE−TRIAL SCHEDULING ORDER: set pretrial conference for 10:00 a.m. on 11/18/97. ( signed by Judge Constance B. Motley ) ; Copies mailed (kw) (Entered: 10/16/1997)

Oct. 15, 1997
35

Petition for provisional class certification and preliminary approval of settlement stipulation. Received in the night deposit box on 11/19/97 at 7:29 p.m. (sac) (Entered: 11/26/1997)

Nov. 19, 1997
36

DECLARATION of Mary Stowell by pltffs in support [35−1] remark. Received in the night deposit box on 11/19/97 at 7:30 p.m. (sac) Modified on 11/26/1997 (Entered: 11/26/1997)

Nov. 19, 1997
37

DECLARATION of Linda D. Friedman by pltffs in support [35−1] remark. Received in the night deposit box 11/19/97 at 7:29 p.m. (sac) (Entered: 11/26/1997)

Nov. 19, 1997
38

DECLARATION of Lorraine Parker by pltffs in support [35−1] remark. Received in the night deposit box on 11/19/97 at 7:30 p.m. (sac) (Entered: 11/26/1997)

Nov. 19, 1997
34

STIPULATION and ORDER, preliminarily approving class action settlement, conditionally certifying settlement class, providing for notice, and scheduling a fairness hearing for 4/10/98 at 10:00 a.m. ( signed by Judge Constance B. Motley ). (cd) (Entered: 11/24/1997)

Nov. 21, 1997
39

ORDER, pursuant to the written request of counsel for the defts, dated 12/2/97, the fairness hearing scheduled for 4/10/98 is rescheduled to 4/9/98 at 10:00 a.m. in courtroom 26−A at 500 Pearl St. All other aspects of this court's Order of 11/21/97, remain in full force and effect ( signed by Judge Constance B. Motley ); Copies mailed (cd) (Entered: 12/08/1997)

Dec. 5, 1997
40

CLASS ACTION; SUMMARY NOTICE OF PENDENCY OF CLASS ACTION, CERTIFICATION OF SETTLEMENT CLASS, PROPOSED SETTLEMENT AND FAIRNESS HEARING; under the Proposed Class Settlement, if approved by District Court, (SDNY), Smith Barney Inc has agreed to spend not less than 15 million over the next four years on diversity programs and initiatives and endeavor to meet certain specified employment goals relating to the hiring and promotion of women. Also as part of the Proposed Class Settlement, a dispute resolution process will be established and made available to Settlement Class Members ; Fairness hearing will be held before the District Court at 10:00 a.m. on April 9, 1998; However, you do not need to appear at the Fairness Hearing to participate in the Proposed Class Settlement (signed by Judge Constance B. Motley) (djc) (Entered: 12/12/1997)

Dec. 10, 1997
41

NOTICE of SUBMISSION by Smith Barney, Inc., James Dimon re: of proposed summary publication notice. (ae) (Entered: 12/12/1997)

Dec. 10, 1997
42

ORDER, extending time to mail the notice of class settlement from 12/22/97 to 1/5/98. All other aspects of this court's Order Preliminarily Approving Class Action Setlement etc dated 11/21/97, remain in full force and effect ( signed by Judge Constance B. Motley ); Copies mailed (cd) (Entered: 12/22/1997)

Dec. 19, 1997
43

Letter filed by Dole Derica Fontroy dated 01/08/98 re notifying court of change of address (not named as party) (djc) (Entered: 01/23/1998)

Jan. 16, 1998
45

MEMORANDUM of LAW in support of motion for an order pursuant to General Rule 3(c) of the Rules of the USDC SDNY and Disciplinary Rule 5−105(B), permitting Stowell Friedman &Vernon and Hellring Lindeman Goldstein &Siegel to withdraw as counsel to plaintiff Judith P. Mione. (djc) Modified on 05/28/1998 (Entered: 02/05/1998)

Feb. 4, 1998
46

NOTICE OF MOTION for an order pursuant to General Rule 3(c) of the Rules of the SDNY and Disciplinary Rule 5−105(B), permitting Stowell Friedman &Vernon and Hellring Goldstein &Siegal to withdraw as counsel for plaintiff Judith P. Mione. , w/affidavit of Mary Stowell attached. Return date 2/25/98 (djc) Modified on 05/28/1998 (Entered: 02/19/1998)

Feb. 4, 1998
47

Objection(s) to the proposed settlement by Leslie A. Hart (ls) (Entered: 03/19/1998)

March 16, 1998
48

NOTICE OF MOTION for an order pursuant to General Rule 3(c) of the Rules of the USDC SDNY and Disciplinary Rule 5−105(B), permitting Stowell Friedman &Vernon and Hellring Lindeman Goldstein &Siegal to withdraw as counsel to plaintiff Edna V. Broyles w/afffidavit of Mary Stowell attached. (kw) Modified on 05/28/1998 (Entered: 03/20/1998)

March 19, 1998
49

MEMORANDUM in support of motion [48−1] for an order pursuant to General Rule 3(c) of the Rules of the USDC SDNY and Disciplinary Rule 5−105(B), permitting Stowell Friedman &Vernon and Hellring Lindeman Goldstein &Siegal to withdraw as counsel to plaintiff Edna V. Broyles. (kw) Modified on 05/28/1998 (Entered: 03/20/1998)

March 19, 1998
50

ORDER, granting [46−1] motion for the law firm of Leng, Stowell, Friedman &Vernon and the law firm of Hellring, Lindeman, Goldstein &Siegal to be relieved as counsel to Judith P. Mione; the law firm of Leng, Stowell, Friedman &Vernon and the law firm of Hellring, Lindeman, Goldstein &Siegal shall remain counsel for the remaining class representatives and the putative class ( signed by Judge Constance B. Motley ); Copies mailed (ae) (Entered: 03/30/1998)

March 27, 1998
51

NOTICE OF MOTION by The National Organization For Women−New York State, Inc. for permission to file amicus curiae brief ; Return date not indicated (sac) Modified on 05/29/1998 (Entered: 04/02/1998)

March 30, 1998
52

Objection(s) to the proposed setlement by Constance E. Cole (sac) (Entered: 04/02/1998)

April 1, 1998
53

Objection(s) to the proposed settlement by Joanne Fama (sac) (Entered: 04/02/1998)

April 1, 1998
54

Objection(s) to the proposed settlement by Carlene Brumant (sac) (Entered: 04/02/1998)

April 1, 1998
56

NOTICE of attorney appearance for Edna Broyles by Gary Phelan. My appearance on her behalf will be limited to: (1) representing her with respect to pltff's counsel's Motion to Withdraw as her counsel filed 3/18/98 and (2) serving as her atty at the 4/9/98 Fairness Hearing for the purpose of stating her comments on and objections to the Proposed Settlement (sac) (Entered: 04/03/1998)

April 3, 1998
93

NOTICE of attorney appearance for Pamela K. Martens, and Judith P. Mione by Michele Lang Palter. (kw) (Entered: 04/10/1998)

April 3, 1998
94

NOTICE of attorney appearance for Edna Broyles by Michele Lang Palter. (kw) (Entered: 04/10/1998)

April 3, 1998
95

NOTICE of attorney appearance for Edna Broyles by Joseph D. Garrison. (kw) (Entered: 04/10/1998)

April 3, 1998
96

NOTICE of attorney appearance for Pamela K. Martens, and Judith P. Mione by Joseph D. Garrison. (kw) (Entered: 04/10/1998)

April 3, 1998
57

Letter filed by Mathilda B. Lefeure to Judge Motley dated 3/11/98, re: objections to the proposed settlement (ae) (Entered: 04/07/1998)

April 6, 1998
58

Letter filed by Cathy Renneker to Judge Motley dated 3/13/98, re: objecting to the proposed settlement (ae) (Entered: 04/07/1998)

April 6, 1998
59

Letter filed Lucille R. Bakalian to Judge Motley dated 3/13/98, re: regarding problems in the industry and with management at Smith Barney Shearson (ae) (Entered: 04/07/1998)

April 6, 1998
60

Letter filed by Janet (last name not legible) dated 3/15/98 re: in response to the proposed settlement (ae) (Entered: 04/07/1998)

April 6, 1998
61

Letter filed by Jennifer George to Judge Motley dated 8/15/98, re: regarding the work environment at Shearson Lehman Brothers/Smith Barney (ae) (Entered: 04/07/1998)

April 6, 1998
62

Letter filed by Roberta Thomann to Judge Motley dated 3/26/98, re: in response to the pending settlement (ae) (Entered: 04/07/1998)

April 6, 1998
63

Letter filed by Bette Laswell to Judge Motley dated 3/20/98 re: in response to the proposed settlement (ae) (Entered: 04/07/1998)

April 6, 1998
64

Letter filed by Michelle Tuttle to Judge Motley dated 3/16/98, re: regarding sexual harrassment during employment at Smith Barney (ae) (Entered: 04/07/1998)

April 6, 1998
65

Letter filed by Kristi A. Mandt to Judge Motley dated 3/13/98, re: regarding discrimation experienced while employed at Smith Barney (ae) (Entered: 04/07/1998)

April 6, 1998
66

Letter filed by Karen A. Johnson to Judge Motley dated 2/17/98, re: regarding work experience in Smith Barney (ae) (Entered: 04/07/1998)

April 6, 1998
67

Letter filed by Kimberly Hutcheson to Judge Motley dated 3/23/98, re requesting to be excluded from this case. (ae) (Entered: 04/07/1998)

April 6, 1998
68

Letter filed by Edna Broyles dated 3/30/98 re that Gary Phelan will appear as Edna Broyles attny at the Fairness Hearing that is scheduled forf 4/9/98, to explain the factual and legal basis for Ms. Broyles objections to the proposed settlement (ls) (Entered: 04/07/1998)

April 6, 1998
69

Letter filed by Helen J. Tieber to Judge Motley dated 3/18/98, re: formal request that she be excluded from this action (ae) (Entered: 04/08/1998)

April 6, 1998
70

Letter filed by Judith Mione to Judge Motley dated 3/21/98 re: request for exclusion (ae) (Entered: 04/08/1998)

April 6, 1998
72

Letter filed by Joan Chasin to Judge Motley dated 3/21/98 re: request for exclusion (ae) (Entered: 04/08/1998)

April 6, 1998
73

Letter filed by Pamela Kay Martens dated 3/30/98, re: having duly opposed the proposed settlement by the required date of March 16, 1998, herewith request permission to appear at the Fairness Hearing on April 9, 1998 and to speak for myself or have my legal representative speak for me. (ae) Modified on 05/28/1998 (Entered: 04/08/1998)

April 6, 1998
74

Letter filed by Judith P. Mione dated 3/30/98, re: having duly opposed in writing the proposed settlement by the required date of 3/16/98, herewith request permission to appear at the Fairness Hearing on April 9,1998 and to speak for myself or have my legal representative speak for me. (ae) Modified on 05/28/1998 (Entered: 04/08/1998)

April 6, 1998
75

Letter filed by Edna V. Broyles to Judge Motley dated 3/27/98, re: requesting permission to have her legal representative speak on her behalf (ae) (Entered: 04/08/1998)

April 6, 1998
76

Letter filed by Evelyn Martinez to Judge Motley dated 3/9/98, re: opposing the proposed settlement (ae) (Entered: 04/08/1998)

April 6, 1998
77

Letter filed by N.Y.C. Chapter of the National Organization for Women to Judge Motley dated 3/16/98, re: requesting permission to speak at the 4/9/98 fairness hearing on the proposed settlement (ae) (Entered: 04/08/1998)

April 6, 1998
78

Letter filed by Edna Broyles to Judge Motley dated 3/13/98 re: objecting to the proposed settlement (ae) (Entered: 04/08/1998)

April 6, 1998
79

Letter filed by Teresa Tedesco to Judge Motley dated 3/11/98, re: opposing the proposed settlement (ae) (Entered: 04/08/1998)

April 6, 1998
80

Letter filed by Margaret Newman Smith dated 3/15/98, re: responding to the proposed settlement (ae) (Entered: 04/08/1998)

April 6, 1998
81

Letter filed by Joan Chasin to Judge Motley dated 3/12/98, re: opposing the proposed settlement (ae) (Entered: 04/08/1998)

April 6, 1998
82

Letter filed by Judith P. Mione to Judge Motley, re: wishing to add my endorsement to each of the issues raised in the opposition papers presented to this Court by Pamela Kay Martens (ae) (Entered: 04/08/1998)

April 6, 1998
83

Letter filed by Pamela K. Martens to Judge Motley dated 3/13/98, re: opposing the proposed settlement (ae) (Entered: 04/08/1998)

April 6, 1998
85

NOTICE of Filing of petition for fees and reimbursement by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann et al (cd) (Entered: 04/09/1998)

April 7, 1998
86

NOTICE of Filing of Class plntfs' memo in support of request for fees by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann, Smith Barney, Inc. et al (cd) (Entered: 04/09/1998)

April 7, 1998
87

NOTICE of Filing of Class plntfs' motion to strike objections and motion to bar them from presenting oral argument fairness hearing etc by Pamela K. Martens, Judith P. Mione et al (cd) (Entered: 04/09/1998)

April 7, 1998
88

NOTICE of Filing of Class plntfs' memo in support of motion to strike objections etc by Pamela K. Martens, Judith P. Mione (cd) (Entered: 04/09/1998)

April 7, 1998
89

NOTICE of Filing of Class plntfs' memo in oppositon to motion for leave, to file Amicus Brief of NYS NOW by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann et al (cd) (Entered: 04/09/1998)

April 7, 1998
90

NOTICE of Filing of Class Plntfs' Memo in support of settlement by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann et al (cd) (Entered: 04/09/1998)

April 7, 1998
92

NOTICE of Filing of Compendium of exhibits for fairness hearing by Pamela K. Martens, Judith P. Mione, Roberta O'Brien Thomann et al (cd) (Entered: 04/09/1998)

April 7, 1998
84

ORDER granting [48−1] motion for an order for Stowell Friedman &Vernon to withdraw as attorney to Edna V. Broyles; the law firm of Leng, Stowell, Friedman &Vernon and the law firm of Hellring, Lindeman, Goldstein &Siegal remain counsel class representative and the putative class (signed by Judge Constance B. Motley); Copies mailed. (kg) (Entered: 04/08/1998)

April 8, 1998
97

Letter filed dated 04/03/98 from Mary Jean Lacidonia (djc) (Entered: 04/13/1998)

April 8, 1998
99

ORDER, only those individuals who have remained in the class, i.e. who have not opted out, and have submitted timely objections (i.e. on or before 3/16/98) may offer oral argument at the Fairness Hearing in this action, scheduled for 4/9/98. Thus, no individual who has excluded herself from the class or has not filed timely objections may participate at the hearing; the participation of NOW/New York State and NOW/New York City is hereby limited to the submission of amicus curiae briefs. The request of NOW/New York State and NOW/New York City to offer testimony at the Fairness Hearing is hereby Denied; Ms. Edna V. Broyles is hereby limited to oral argument on those subjects about which she timely filed objections (i.e. on or before 3/16/98) before the court ( signed by Judge Constance B. Motley ); Copies mailed (ae) Modified on 04/17/1998 (Entered: 04/16/1998)

April 10, 1998

State / Territory: New York

Case Type(s):

Equal Employment

Special Collection(s):

Private Employment Class Actions

Key Dates

Filing Date: May 20, 1996

Closing Date: 2006

Case Ongoing: No

Plaintiffs

Plaintiff Description:

Many female current or former employees of Smith Barney (a securities brokerage firm), some of whom filed on behalf of themselves and similarly situated individuals

Plaintiff Type(s):

Private Plaintiff

Public Interest Lawyer: No

Filed Pro Se: No

Class Action Sought: Yes

Class Action Outcome: Denied

Defendants

Smith Barney Inc. (New York City, New York), Private Entity/Person

Defendant Type(s):

Retailer

Case Details

Causes of Action:

Title VII (including PDA), 42 U.S.C. § 2000e

Availably Documents:

Trial Court Docket

Complaint (any)

Injunctive (or Injunctive-like) Relief

Any published opinion

Outcome

Prevailing Party: Mixed

Nature of Relief:

Injunction / Injunctive-like Settlement

Damages

Source of Relief:

Settlement

Form of Settlement:

Court Approved Settlement or Consent Decree

Issues

General:

Disparate Treatment

Pattern or Practice

Retaliation

Discrimination-area:

Accommodation / Leave

Demotion

Discharge / Constructive Discharge / Layoff

Discipline

Harassment / Hostile Work Environment

Other Conditions of Employment (including assignment, transfer, hours, working conditions, etc)

Pay / Benefits

Promotion

Seniority

Training

Discrimination-basis:

Pregnancy discrimination

Sex discrimination

Race:

Race, unspecified

Affected Gender:

Female