Brendsel v. Office of Federal Housing Enterprise Oversight

339 F. Supp. 2d 52, 34 Employee Benefits Cas. (BNA) 1319, 2004 U.S. Dist. LEXIS 17600, 2004 WL 1946328
CourtDistrict Court, District of Columbia
DecidedAugust 30, 2004
Docket1:04-cv-00487
StatusPublished
Cited by13 cases

This text of 339 F. Supp. 2d 52 (Brendsel v. Office of Federal Housing Enterprise Oversight) is published on Counsel Stack Legal Research, covering District Court, District of Columbia primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Brendsel v. Office of Federal Housing Enterprise Oversight, 339 F. Supp. 2d 52, 34 Employee Benefits Cas. (BNA) 1319, 2004 U.S. Dist. LEXIS 17600, 2004 WL 1946328 (D.D.C. 2004).

Opinion

MEMORANDUM OPINION & ORDER

. LEON, District Judge.

Plaintiff Leland Brendsel (“Brendsel”), former Chief Executive Officer of Freddie Mac, brings this action for declaratory arid injunctive relief against the Office of Federal Housing Enterprise Oversight (“OF-HEO”) and Armando Falcon (“Falcon”), the Director of OFHEO. In addition, Brendsel has filed a Motion for a Preliminary Injunction seeking to enjoin OFHEO from ordering Freddie Mac to freeze nearly $60 million in employment benefits and assets payable to Brendsel under his employment agreement pending the outcome of various administrative hearings into his conduct while CEO of Freddie Mac. OF-HEO opposes any injunction and has filed a motion to dismiss for lack of jurisdiction and failure to state a claim. Fed.R.Civ.P. 12(b)(1), 12(b)(6). Upon consideration of Brendsel’s motion, OFHEO’s opposition, and the remaining record before the Court, the Court DENIES OFHEO’s Motion to Dismiss, GRANTS Brendsel’s Motion for a Preliminary Injunction, and preliminarily enjoins OFHEO from enforcing its orders to Freddie Mac as explained below.

I. BACKGROUND

Brendsel served as the CEO of the Federal Home Loan Mortgage Corporation (“Freddie Mac”) for eighteen years. PI. Mot. For Prelim. Inj. at 2. Freddie Mac was chartered by Congress in 1970 and Brendsel joined the company in 1982, when it was still a relatively small company. Id. at 3. In 1985, he became CEO, a position which he held until June of 2003. In 1989, Freddie Mac became a publicly traded company and it grew at a significant rate until Brendsel stepped down in 2003. Id.

*56 On September 7, 1990, Brendsel entered into a written employment agreement with Freddie Mac governing the terms of his employment, including his compensation and termination provisions. Compl. ¶ 9. Brendsel was to receive compensation in various forms: a base salary, an annual bonus, an employee stock purchase plan, a stock compensation plan, a supplemental executive benefit plan, and an executive deferred compensation plan. Id. During his tenure, Brendsel purchased shares of Freddie Mac stock which were held in a custodial account for his benefit. Compl. ¶ 10. Brendsel was also periodically awarded restricted shares of Freddie Mac stock and restricted options to purchase shares of Freddie Mac stock. Compl. ¶ 11. Although Brendsel was permitted to vote the stock and exercise other rights of ownership, the stock and options were subject to forfeiture and were non-transferable during that time. Id. At a set date, the restrictions were to lapse, making the stock and options the full property of Brendsel. These assets were also held in a custodial account for Brendsel’s benefit. Id. Finally, Brendsel deferred more than eight million dollars of his salary and bonuses such that they would be paid to him after his departure from Freddie Mac. Compl. ¶ 12.

Arthur Anderson served as Freddie Mac’s outside independent auditor for most of the years that Brendsel was CEO. In 2002, and in the wake of the Enron scandal, the Audit Committee of Freddie Mac’s Board of Directors replaced Arthur Anderson with PricewaterhouseCoopers (“PwC”). Compl. ¶ 13. In January 2003, PwC informed Freddie Mac that it disagreed with the aecouricmg for certain transactions during 2000, 2001, and 2002 and that there might have been a significant understatement of income. Id. Ultimately, on November 21, 2003, Freddie Mac issued restated financials for 2000, 2001, and 2002 reflecting net increase of five billion dollars in income. Compl. ¶ 14.

On June 6, 2003, Brendsel resigned at the request of the Board of Directors. Compl. ¶ 16. Although Arthur Anderson’s accounting decisions had been reviewed and approved by professionals at Freddie Mac, there was no suggestion of wrongdoing by Brendsel. Indeed, Brendsel’s resignation was considered to be for “good reason,” and, as such, he was entitled to receive the entire termination package contemplated by his employment agreement. Compl. ¶ 17. Had Brendsel been terminated for “cause,” 1 he would not have been entitled to all of the benefits under his employment agreement. Id.

In 1992, two years after Brendsel entered into the relevant employment contract with Freddie Mac, OFHEO, an independent office located within Department of Housing and Urban Development (“HUD”), was created by The Federal Housing Enterprises Financial Safety and Soundness Act of 1992,12 U.S.C. § 4501 et seq., (the “Act”) to provide federal regulation of Freddie Mac and Fannie Mae 2 (the “enterprises”). As part of its supervisory powers OFHEO has the authority to prohibit the enterprises from paying its executives compensation that is unreasonable or in excess of industry standards even *57 though it can not actually set compensation levels for executives. 12 U.S.C. §§ 4513(b)(8), 4518(a). In addition, OF-HEO was given the authority to approve termination packages prior to one of the enterprises entering into a compensation agreement. 12 U.S.C. § 4518(b). However, contracts that predated OFHEO’s creation, such as Brendsel’s contract, were explicitly exempted from this power. 12 C.F.R. 1770.1(b)(2).

On June 12, 2003, OFHEO’s Director, Armando Falcon, issued a letter to Freddie Mac directing it to withhold the payment of any termination benefits to Brend-sel. Compl. ¶ 23. That same day, another OFHEO official issued a letter to Freddie Mac directing it not to take any action to fulfill Brendsel’s employment agreement as it related to termination benefits including the vesting of stock options. Compl. ¶24. On June 17, 2003, OFHEO sent a third letter to Freddie Mac ordering it to restrict all accounts held by Freddie Mac for the benefit of Brendsel, including previously vested stock options, deferred compensation, and other stock and options, in addition to the termination benefits already ordered to be held. Compl. ¶ 27. None of the letters cited any specific legal authority for withholding the funds aside from the OFHEO’s general supervisory oversight of the executive compensation policies and practices of Freddie Mac. Compl. ¶ 23, 24, 27. On June 23, 2003, Brendsel’s counsel made a written demand to Freddie Mac for the release of his property. Compl. ¶ 28. Freddie Mac’s counsel responded by informing Brendsel that it was unable to comply with the request pursuant to OFHEO’s instructions. Compl ¶ 29.

On December 17, 2003, OFHEO initiated an administrative enforcement proceeding against Freddie Mac, seeking to retroactively reclassify Brendsel’s termination as for “cause,” as opposed to for “good reason.” Compl. ¶ 31. OFHEO brought a similar action against Brendsel which also sought civil penalties and restitution. Id. Any hearing on these administrative proceedings, however, are not scheduled to occur until 2006. Compl. ¶ 33.

Free access — add to your briefcase to read the full text and ask questions with AI

Related

United States v. Tarrio
District of Columbia, 2022
Animal Legal Def. Fund, Inc. v. Perdue
346 F. Supp. 3d 153 (D.C. Circuit, 2018)
Texas Children's Hospital v. Burwell
76 F. Supp. 3d 224 (District of Columbia, 2014)
National Mining Association v. Jackson
District of Columbia, 2011
National Mining Ass'n v. Jackson
768 F. Supp. 2d 34 (District of Columbia, 2011)
LG Electronics U.S.A., Inc. v. United States Department of Energy
679 F. Supp. 2d 18 (District of Columbia, 2010)
Hunter v. Federal Energy Regulatory Commission
527 F. Supp. 2d 9 (District of Columbia, 2007)
Canadian Lumber Trade Alliance v. United States
441 F. Supp. 2d 1259 (Court of International Trade, 2006)
Clarke v. Office of Federal Housing Enterprise Oversight
355 F. Supp. 2d 56 (District of Columbia, 2004)

Cite This Page — Counsel Stack

Bluebook (online)
339 F. Supp. 2d 52, 34 Employee Benefits Cas. (BNA) 1319, 2004 U.S. Dist. LEXIS 17600, 2004 WL 1946328, Counsel Stack Legal Research, https://law.counselstack.com/opinion/brendsel-v-office-of-federal-housing-enterprise-oversight-dcd-2004.