Case: Yon v. UBS Brinson, Inc.

1:02-cv-03745 | U.S. District Court for the Southern District of New York

Filed Date: May 16, 2002

Closed Date: Dec. 23, 2003

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Case Summary

On May 16, 2002, a former bank executive and the EEOC each filed complaints against UBS Brinson, Inc. and UBS AG in the U.S. District Court for the Southern District of New York. The executive, represented by private counsel, and the EEOC each alleged that the defendants violated the Age Discrimination in Employment Act (ADEA) and the Older Workers Benefit Protection Act (OWBPA). The case was assigned to Judge Richard Berman. The plaintiffs sought declaratory, injunctive, and monetary relief. …

The dispute arose from a merger between UBS and another investment bank. The plaintiff was to be made redundant by the merger, but was deemed a "critical" employee and was offered an agreement to maintain her position with guaranteed salary and bonuses until the merger was complete. As part of the agreement, UBS asked the plaintiff to sign a release form agreeing not to bring suit against UBS for violations of, among other things, Title VII and the ADEA. The plaintiff asked to see a copy of the agreement but was denied. When the plaintiff complained about this to UBS's counsel, her agreement for continued employment was withdrawn and she was terminated.

The plaintiffs alleged that the release UBS asked the executive to sign was in violation of a provision of the OWBPA barring any waiver of a right or claim under the ADEA. The plaintiffs did not allege that the executive was subject to any age-based discrimination beyond this.

The defendants filed a motion to dismiss for failure to state a claim, which was granted on January 15, 2003. The judge held that the OWBPA does not create a cause of action, and that absent any allegation of age-based discrimination, the plaintiffs failed to state a claim. The plaintiffs appealed, but they withdrew the appeal in November, 2003. The case is now closed.

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Summary Authors

Jonah Feitelson (2/19/2020)

People

Judge(s)

Berman, Richard M. (New York)

Attorney for Plaintiff

Slade, Jeffrey C. (New York)

Judge(s)

Berman, Richard M. (New York)

Attorney for Plaintiff

Slade, Jeffrey C. (New York)

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Documents in the Clearinghouse

	Document
1:02-cv-03745	Docket [PACER]	Dec. 23, 2003	Dec. 23, 2003 Docket
1 02-cv-03748	Complaint EEOC v. UBS Brinson, Inc.	May 16, 2002	May 16, 2002 Complaint
10 1:02-cv-03745 02-cv-03748	Order granting motion to dismiss	Jan. 15, 2003	Jan. 15, 2003 Order/Opinion 2003 WL 133235

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Resources

Title	Description		External URL Date / External URL
Under the Radar: Visibility and the Effects of Discrimination Lawsuits in Small and Large Firms Carly Knight, Frank Dobbin, Alexandra Kalev	Research on how discrimination lawsuits affect corporate diversity has yielded mixed results. Qualitative studies highlight the limited efficacy of lawsuits in the typical workplace, finding that lit…	April 1, 2022	April 1, 2022 https://cris.tau.ac.il/...

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Docket

Last updated March 29, 2024, 3:01 a.m.

ECF Number	Description	Date	Link Date / Link
1	COMPLAINT filed. Summons issued and Notice pursuant to 28 U.S.C. 636(c). FILING FEE $ 150.00 RECEIPT # 439649. (jol) (Entered: 05/17/2002)	May 16, 2002	May 16, 2002
	Magistrate Judge Theodore H. Katz is so designated. (jol) (Entered: 05/17/2002)	May 16, 2002	May 16, 2002
2	RETURN OF SERVICE of Summons and Complaint executed as to UBS AG by Robert L. Salzberg, Esq. on 5/17/02 . Answer due on 6/6/02 for UBS AG . (yv) (Entered: 06/03/2002)	May 22, 2002	May 22, 2002
3	RETURN OF SERVICE of Summons and Complaint executed as to UBS Brinson, Inc. by Amy Doberman on 5/17/02 . Answer due (yv) (Entered: 06/03/2002)	May 22, 2002	May 22, 2002
4	STIPULATION and ORDER, reset answer to complaint due for 7/26/02 for UBS AG, for UBS Brinson, Inc. ( signed by Judge Richard M. Berman ) (cd) (Entered: 06/21/2002)	June 19, 2002	June 19, 2002
5	NOTICE OF MOTION (filed on service date) by UBS Brinson, Inc., UBS AG for an Order dismissing 02cv3745 and 02cv3748 purs. to FRCP 12(b)(6) . No Return Date. Affidavit of Kevin B. Leblang attached. (sb) (Entered: 07/30/2002)	July 26, 2002	July 26, 2002
6	MEMORANDUM OF LAW by UBS Brinson, Inc., UBS AG in support of [5−1] motion for an Order dismissing 02cv3745 and 02cv3748 purs. to FRCP 12(b)(6) . (sb) (Entered: 07/30/2002)	July 26, 2002	July 26, 2002
	RULE 1.9 CERTIFICATE filed by UBS Brinson, Inc., UBS AG; orig. document docketed in 02cv3748 as document #5 (pl) (Entered: 07/30/2002)	July 26, 2002	July 26, 2002
	Amended CERTIFICATE OF SERVICE of Memorandum of Law in Support of the Motion to DIsmss, NOtice of MOtion with affidavit of kevin B. Leblang and STatemetnPUrs to Local Rule 1.9 by hand upon Michalel J. O'Brien, Esq., of EEOC (orig. docmt dktd in case no. 02 cv 3748, docmt #6) (djc) (Entered: 08/06/2002)	July 30, 2002	July 30, 2002
8	AFFIDAVIT of Michael J. O'Brien by Equal Employment in opposition to [5−1] motion for an Order dismissing 02cv3745 and 02cv3748 purs. to FRCP 12(b)(6) . (dle) (Entered: 10/03/2002)	Sept. 20, 2002	Sept. 20, 2002
9	REPLY MEMORANDUM by UBS Brinson, Inc., UBS AG in further support of [5−1] motion for an Order dismissing 02cv3745 and 02cv3748 purs. to FRCP 12(b)(6) . (db) (Entered: 11/01/2002)	Oct. 21, 2002	Oct. 21, 2002
10	DECISION AND ORDER; granting [5−1] motion for an Order dismissing 02cv3745 and 02cv3748 purs. to FRCP 12(b)(6); If plaintiffs determine that a basis exists for repleading, they are directed to file a motion and proposed amended complaint on or before 2/4/03. If a motion is not filed as of 2/4/03, the Clerk of Court is respectfully requestss to close this case . ( signed by Judge Richard M. Berman ); document forwarded to Judgment Clerk. (pl) (Entered: 01/21/2003)	Jan. 15, 2003	Jan. 15, 2003
11	JUDGMENT; that for the reasons stated in the Court's Decision and Order, dated January 15, 2003, defendants motion to dismiss is hereby granted and the case is closed. (signed by J. Michael McMahon, Clerk of Court); Mailed copies and notice of right to appeal. Entered On Docket: 2/13/03. (pl) Modified on 02/21/2003 (Entered: 02/13/2003)	Feb. 10, 2003	Feb. 10, 2003
	Case closed. (pl) (Entered: 02/13/2003)	Feb. 10, 2003	Feb. 10, 2003
12	NOTICE OF APPEAL by Kinne S. Yon from [10−1] order If plaintiffs determine that a basis exists for repleading, they are directed to file a motion and proposed amended complaint on or before 2/4/03. If a motion is not filed as of 2/4/03, the Clerk of Court is respectfully requestss to close this case . Copies of notice of appeal mailed to Attorney(s) of Record: Kevin B. Leblong. $105.00 APPEAL FILING FEE PAID ON 2/20/03, RECEIPT # E 0465253. (pr) (Entered: 02/21/2003)	Feb. 20, 2003	Feb. 20, 2003
	Notice of appeal and certified copy of docket to USCA: [12−1] appeal by Kinne S. Yon; Copy of notice of appeal sent to District Judge. (pr) (Entered: 02/21/2003)	Feb. 21, 2003	Feb. 21, 2003
	USCA Case Number Re: [12−1] appeal by Kinne S. Yon USCA NUMBER: 03−7192. (dt) (Entered: 04/15/2003)	April 15, 2003	April 15, 2003
13	True Copy of Order from the USCA as to Kinne S. Yon RE: [12−1] appeal by Kinne S. Yon. Parties stipulate that the appeal is hereby withdrawn from active consideration from the court, without prejudice to a reactivation of the appeal as indicated. CERTIFIED 11/13/03, 03−7192. MACKECHNIE, CLERK, USCA. . (pr) (Entered: 11/17/2003)	Nov. 17, 2003	Nov. 17, 2003
14	MANDATE of USCA WITHDRAWING APPEAL (Certified Copy) as to 12 Notice of Appeal, filed by Kinne S. Yon USCA Case Number 03−7192. that the appeal is hereby WITHDRAWN pursuant to Rule 42(b) of the Federal Rules of Appellate Procedure. MACKECHNIE, Clerk USCA. Certified: 12/12/03. (pr, ) (Entered: 12/23/2003)	Dec. 23, 2003	Dec. 23, 2003
	Transmission of USCA Mandate/Order to the District Judge re: 14 USCA Mandate Withdrawing Appeal,. (pr, ) (Entered: 12/23/2003)	Dec. 23, 2003	Dec. 23, 2003