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Case Name Yon v. UBS Brinson, Inc. EE-NY-0234
Docket / Court 1:02-cv-03745 ( S.D.N.Y. )
State/Territory New York
Case Type(s) Equal Employment
Special Collection EEOC Study -- in sample
Attorney Organization EEOC
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 ... read more >
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 When the plaintiff complained about this to UBS's counsel, her agreement for continued employment was withdrawn and she was terminated.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.

Jonah Feitelson - 02/19/2020


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Issues and Causes of Action
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Issues
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
General
Disparate Treatment
Retaliation
Plaintiff Type
EEOC Plaintiff
Private Plaintiff
Causes of Action Age Discrimination in Employment Act (ADEA), 29 U.S.C. ยงยง 621 et seq.
Defendant(s) UBS, Brinson Inc.
Plaintiff Description Former executive at UBS Brinson Inc. and the EEOC
Indexed Lawyer Organizations EEOC
Class action status sought No
Class action status outcome Not sought
Filed Pro Se No
Prevailing Party Defendant
Public Int. Lawyer Yes
Nature of Relief None
Source of Relief None
Filed 05/16/2002
Case Closing Year 2003
Case Ongoing No
Additional Resources
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Court Docket(s)
S.D.N.Y.
12/23/2003
1:02-cv-03745-RMB
EE-NY-0234-9000.pdf | Detail
Source: PACER [Public Access to Court Electronic Records]
General Documents
S.D.N.Y.
05/16/2002
Complaint [ECF# 1]
EE-NY-0234-0004.pdf | Detail
Source: Westlaw
S.D.N.Y.
01/15/2003
Order granting motion to dismiss [ECF# 10] (2003 WL 133235)
EE-NY-0234-0002.pdf | WESTLAW | Detail
Source: Westlaw
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Judges Berman, Richard M. (S.D.N.Y.) show/hide docs
EE-NY-0234-9000
Plaintiff's Lawyers Slade, Jeffrey C. (New York) show/hide docs
EE-NY-0234-9000

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