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

Clearinghouse coding complete

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. …

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 When the plaintiff complained about this to UBS's counsel, her agreement for continued employment was withdrawn and she was terminated.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.

Summary Authors

Jonah Feitelson (2/19/2020)

People


Judge(s)

Berman, Richard M. (New York)

Attorneys(s) for Plaintiff

Slade, Jeffrey C. (New York)

Judge(s)

Berman, Richard M. (New York)

Attorneys(s) for Plaintiff

Slade, Jeffrey C. (New York)

Documents in the Clearinghouse

Document

Docket [PACER]

Dec. 23, 2003 Docket
1

Complaint

EEOC v. UBS Brinson, Inc.

May 16, 2002 Complaint
10

Order granting motion to dismiss

2003 WL 133235

Jan. 15, 2003 Order/Opinion

Resources

Title Description External URL

Judicial Independence, Employment Discrimination Studies Funded

Ann Nicholson

This brief article describes the Clearinghouse's award of $12,000 to build its collection of employment discrimination class actions brought by private plaintiffs. Nov. 1, 2008 https://law.wustl.edu/...

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 https://cris.tau.ac.il/...

Docket

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

ECF Number Description 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

Magistrate Judge Theodore H. Katz is so designated. (jol) (Entered: 05/17/2002)

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
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
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
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
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

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

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
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
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
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
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

Case closed. (pl) (Entered: 02/13/2003)

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

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

USCA Case Number Re: [12−1] appeal by Kinne S. Yon USCA NUMBER: 03−7192. (dt) (Entered: 04/15/2003)

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
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

Transmission of USCA Mandate/Order to the District Judge re: 14 USCA Mandate Withdrawing Appeal,. (pr, ) (Entered: 12/23/2003)

Dec. 23, 2003

State / Territory: New York

Case Type(s):

Equal Employment

Special Collection(s):

EEOC Study — in sample

Key Dates

Filing Date: May 16, 2002

Closing Date: Dec. 23, 2003

Case Ongoing: No

Plaintiffs

Plaintiff Description:

Former executive at UBS Brinson Inc. and the EEOC

Plaintiff Type(s):

EEOC Plaintiff

Private Plaintiff

Attorney Organizations:

EEOC

Public Interest Lawyer: Yes

Filed Pro Se: No

Class Action Sought: No

Class Action Outcome: Not sought

Defendants

UBS, Brinson Inc., Private Entity/Person

Case Details

Causes of Action:

Age Discrimination in Employment Act (ADEA), 29 U.S.C. §§ 621 et seq.

Availably Documents:

Trial Court Docket

Outcome

Prevailing Party: Defendant

Nature of Relief:

None

Source of Relief:

None

Issues

General:

Disparate Treatment

Retaliation

Discrimination-area:

Discharge / Constructive Discharge / Layoff

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

Pay / Benefits

Discrimination-basis:

Age discrimination

EEOC-centric:

Direct Suit on Merits