Egbarin v. American Express Co.

451 F. Supp. 2d 413, 2006 U.S. Dist. LEXIS 69309, 2006 WL 2660885
CourtDistrict Court, D. Connecticut
DecidedSeptember 14, 2006
Docket3:03-CV-1907(JCH)
StatusPublished

This text of 451 F. Supp. 2d 413 (Egbarin v. American Express Co.) is published on Counsel Stack Legal Research, covering District Court, D. Connecticut primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Egbarin v. American Express Co., 451 F. Supp. 2d 413, 2006 U.S. Dist. LEXIS 69309, 2006 WL 2660885 (D. Conn. 2006).

Opinion

RULING RE DEFENDANTS’ MOTION FOR SUMMARY JUDGMENT [DOC. NO. 100]

HALL, District Judge.

The plaintiff, Nitor V. Egbarin, initiated this action against defendants, American Express Company (“AMEX”), American Express Financial Advisors, Inc. (“AEFA”), and John Laurito. In his Second Amended Complaint [Doc. No. 43], filed on June 21, 2004, Egbarin alleges race, color and/or nationality-based discrimination against all the defendants under Section 1981 of Chapter 42 of the United States Code. Egbarin also alleges race, color and/or nationality-based discrimination against AMEX and AFA under Title VII of the Civil Rights Act of 1964, as amended by the Civil Rights Act of 1991, 42 U.S.C. § 2000e-2. Lastly, Eg-barin asserts fraudulent and negligent misrepresentation against all defendants under the law of the State of Connecticut. This court has jurisdiction over Egbarin’s supplemental state law claims pursuant to Section 1367 of Chapter 28 of the United States Code.

The defendants bring this Motion for Summary Judgment pursuant to Rule 56 of the Federal Rules of Civil Procedure [Doc. No. 100]. For the following reasons, the defendants’ motion is GRANTED.

1. STANDARD OF REVIEW

In a motion for summary judgement, the burden is on the moving party to establish that there are no genuine issues of material fact in dispute and that it is entitled to judgement as a matter of law. Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 256, 106 S.Ct. 2505, 91 L.Ed.2d 202 (1986); White v. ABCO Engineering Corp., 221 F.3d 293, 300 (2d Cir.2000). Once the moving party has met its burden, the non-moving party must “set forth specific facts showing that there is a genuine issue for trial,” Anderson, 477 U.S. at 255, 106 S.Ct. 2505, and present such evidence as would allow a jury to find in his favor in order to defeat the motion. Graham v. Long Island R.R., 230 F.3d 34, 38 (2d Cir.2000).

In assessing the record, the trial court must resolve all ambiguities and draw all inferences in favor of the party against whom summary judgement is sought. Anderson, 477 U.S. at 255, 106 S.Ct. 2505; Graham, 230 F.3d at 38. “This remedy that precludes a trial is properly granted only when no rational finder of fact could find in favor of the non-moving party.” Carlton, 202 F.3d at 134. “When reasonable persons, applying the proper legal standards, could differ in their responses to the question” raised on the basis of the evidence presented, the question must be left to the jury. Sologub v. City of New York, 202 F.3d 175, 178 (2d Cir.2000).

II. FACTS 1

At all times relevant to this Second Amended Complaint, AEFA was a Delaware corporation and subsidiary of American Express Financial Corporation (“AEFC”). 2 AEFC, in turn, was a subsid *417 iary corporation of AMEX, a New York public corporation. Both AMEX and AEFA are dully licensed to do business in Connecticut. Laurito, a Connecticut resident, was a Field Vice President for AEFA’s East Hartford office. Laurito has worked in the East Hartford office since March of 2002. Egbarin is an African American of Nigerian descent who was a financial advisor for AEFA’s East Hartford office. Egbarin was a financial advis- or in East Hartford from December 12, 2001 until his termination on January 13, 2003.

First in May or June of 2002, then again on November 8, 2002, Egbarin made formal requests to Laurito for approval to obtain a license to conduct business as a financial advisor in the State of Texas. Federal and state laws and regulations required AEFA financial advisors to' be properly licensed and registered in any state in which they solicit and service clients. Within AEFA, if a financial advis- or attempted to conduct business with a customer in a state in which that advisor was not licensed, AEFA’s Compliance Department in Minneapolis would block the transaction. AEFA’s policies for advisor applications for out-of-state licenses are contained in various pieces of AEFA literature. See, e.g., Field Bulletin 4115; Field Bulletin 3547; Marketing, Resource, and Lead Distribution Policies: East Hartford.

On November 8, 2002, Laurito approved Egbarin’s request to file an application for the Texas license. Egbarin was to file his request with Cindy Terrein, AEFA’s office manager. The parties disagree on the conditions Laurito imposed upon Egbarin before granting this request. Egbarin maintains that Laurito only agreed to let Egbarin apply for a license if Egbarin agreed to solicit business in Texas illegally on a trip Egbarin planned for the upcoming weekend. Laurito denies this charge, countering that the only reason he granted Egbarin’s request was because Egbarin indicated he had a good business opportunity in Texas.

In any event, the parties do not dispute that sometime between November 8 and November 15, 2002, Egbarin conducted business in Texas before he properly submitted his paperwork to Terrein. Egbarin attempted to submit his Texas application to Terrien officially on Friday, November 15, 2002. For reasons that are disputed but not material to this discussion, Terrien refused to accept Egbarin’s application because she suspected that he had improperly solicited clients in Texas without a license. That same day, Egbarin admitted to Laurito that he had obtained two personal checks — one check for $750 for an annual financial advisory and planning fee, and one check for $150, 000 to be deposited as a financial product investment — as a result of his endeavors in Texas.

On December 11, 2002, Laurito sent Eg-barin a letter informing Egbarin that AEFA’s Compliance Department was issuing him a Letter of Reprimand with respect to his unlicensed solicitation of business in Texas. The Letter of Reprimand subjected Egbarin to a “Compliance Action Plan” which, among other things, instituted a six-month probationary period — running from December 11, 2002 thru June 11, 2002 — during which Egbarin was placed under heightened supervision. Memo re: Letter of Reprimand, December 11, 2002, Ex. KK to Rule 56(a)(1) Statement. The Letter of Reprimand was also to become a permanent part of Egbarin’s compliance file. Egbarin signed the Letter of Reprimand on December 16, 2002, endorsing a statement that, “I have read this Letter of Reprimand and fully understand and agree to its content.” Id.

A separate issue in this case concerns “paid time off’ (“PTO”) benefits that Eg- *418 barin attempted to obtain for a trip to Nigeria.

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451 F. Supp. 2d 413, 2006 U.S. Dist. LEXIS 69309, 2006 WL 2660885, Counsel Stack Legal Research, https://law.counselstack.com/opinion/egbarin-v-american-express-co-ctd-2006.