Ortiz v. Prudential Insurance

94 F. Supp. 2d 225, 164 L.R.R.M. (BNA) 2400, 2000 U.S. Dist. LEXIS 6268, 2000 WL 556904
CourtDistrict Court, D. Connecticut
DecidedMarch 22, 2000
Docket3:97CV2150 (JBA)
StatusPublished
Cited by10 cases

This text of 94 F. Supp. 2d 225 (Ortiz v. Prudential Insurance) 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
Ortiz v. Prudential Insurance, 94 F. Supp. 2d 225, 164 L.R.R.M. (BNA) 2400, 2000 U.S. Dist. LEXIS 6268, 2000 WL 556904 (D. Conn. 2000).

Opinion

MEMORANDUM AND RULING [DOC. # 38]

ARTERTON, District Judge.

Plaintiff John Ortiz (Ortiz) claims that the defendant Prudential Insurance Company (Prudential) terminated him because of his national origin in violation of Title VII. The defendant denies that national origin played any role in its decision to terminate Mr. Ortiz’ employment, and asserts that he was terminated because he repeatedly violated company rules and collective bargaining agreement provisions prohibiting outside employment during the workweek. Defendant moved for summary judgment, to which plaintiff responded, and the Court heard oral argument on February 29, 2000. For the reasons that follow, Defendant’s Motion for Summary Judgment [doc. # 38] is GRANTED.

I. FACTUAL BACKGROUND

Plaintiff was employed as a sales agent in Prudential’s New Haven district office beginning in June of 1984. According to plaintiff, from the beginning of his employment, staff managers and general managers made discriminatory remarks about minorities, refused to work in the field with non-white agents, and on one occasion disregarded plaintiffs “bid” on the sales book of a retiring employee. The managers alleged to have participated in this activity are Al Percelli, Harry Varlarde, Robert DeRosier, Mark Farrell and Mike Amatrudo, along with the unnamed white sales managers who refused to work in the field with plaintiff. See Ortiz Aff. ¶¶ 1-5. Plaintiff claims that minority employees’ scores, presumably on some sort of employment application exam, were altered in order to justify discriminatory treatment. Plaintiff also alleges that he was required to attend “reporting meetings” on Tuesday and Friday mornings, and was disciplined if he failed to do so, while white agents had “the run of the office,” and came and went at will.

In order to comply with the rules of the National Association of Securities Dealers, with which he was required to be registered in connection with his work selling insurance policies, plaintiff was obliged to complete a “Uniform Application for Insurance Registration or Transfer,” known as the Form U-4, and report his involvement in any business other than Prudential “either as a proprietor, partner, officer, director, trustee, employee, agent or otherwise.” He was also obligated to amend the Form U-4 if he became engaged in any additional business activities.

Plaintiff was further restricted in his outside employment by his Agent’s Agreement and Article 26 of the collective bargaining agreement between Prudential and the United Food and Commercial Workers. Article 26, known as the “two job rule,” prohibited other work or employment that “interferefd] to any extent whatsoever with the full-time performance of the job as Prudential Representative” and further provided in pertinent part that “[ejngaging at any time on Monday, Tuesday, Wednesday, Thursday or Friday in any other work, occupation, or activity from which a Prudential Representative is to receive, directly, indirectly, financial remuneration or profit shall be a violation” of the two job rule. 1 In addition, the Agent’s Agreement prohibited Mr. Ortiz from run *228 ning any advertisements that had not been previously approved by the Company. Def.Ex. 5, Sec. 11.

In late 1994, Mr. Ortiz was disciplined for a non-compliant advertisement that he ran in the Yellow Pages. Although a copy of the offending advertisement is not apparently in the record, internal correspondence indicates that Prudential had not authorized the advertisement, and that it viewed the advertisement as revealing several potential violations of the two job rule, in that it listed “business” insurance, a line not marketed by Prudential, identified Mr. Ortiz as a “realtor,” and offered notary public services, all during the Monday through Friday hours of operation listed in the advertisement. In response to a request for clarification of some of the issues raised in the advertisement, Mr. Ortiz responded that he only charged non-clients for notary services, and that it was more along the lines of a service to the Hispanic community since so few notaries spoke Spanish; that his reference to “business” insurance meant only pension plans, a line marketed by Prudential; and that he identified himself as a “realtor” only to “enhance his image to [the] public.” While he did maintain a real estate license, he explained, he did so only for his “personal investment portfolio.” Def.Ex. 30. Prudential was apparently not satisfied with his explanation, and issued him two warning letters on March 15, 1995. The first *229 letter warned Mr. Ortiz that if he sold insurance or engaged in any other occupation or activity in violation of the two job rule, “your services and Agreement will be terminated.” Def.Ex. 33. The second letter reminded Mr. Ortiz of his obligation to secure approval of any further advertisements, and warned of “severe disciplinary action” as a consequence of any future violations. Def.Ex. 25.

In November of 1995, General Manager A1 Spaziano conducted a private office visit of the Ortiz Insurance Agency. While Prudential sales agents were allowed to operate out of independent private offices, such offices must meet Prudential guidelines, including: Prudential business must be conducted in an area “physically separate” from any other business; the Prudential office may not share a telephone line with any other business, and the private office line must be answered in a manner that identifies the office as affiliated with Prudential; any advertising and signage for the office must be approved by Prudential; and any clerical personnel must be Prudential employees, or provided by an approved temporary service. Alston Aff. ¶ 10.

During Spaziano’s private office visit, he noted that Mr. Ortiz “has real estate office also — no separate line.” Private Office Visit Checklist, Def.Ex. 36, p. 4. He also found potentially non-compliant business cards and advertisements. Id. at p. 6; Def.Ex. 37, 39. Spaziano observed an unapproved sign, and noted that he “told [Mr. Ortiz] has to answer the phone representing Prudential.” Def. Ex. 36, p. 10. Spaziano then forwarded his checklist and the information he had gathered to Mr. Sinha, who in turn asked Field Operations to investigate. Finnegan Aff. ¶ 7. Mr. Ortiz was also asked to respond in writing regarding some of Prudential’s concerns; he responded that: the unauthorized business cards and Yellow Pages advertisement had been discontinued effective January 1, 1996; that “the real estate issue has already been addressed in my last letter regarding this subject, please refer to it;” that the signs had come down with the move to his new office, and that the newspaper advertisement had been authorized. Def.Ex. 41. Patricia Finnegan, an employee in Field Operations, conducted the investigation and reviewed photographs of Mr. Ortiz’ office, copies of his business cards and advertisements, and Mr. Ortiz’ written statements. Finnegan Aff. ¶ 7. During the course of the investigation, Mr. Ortiz was also repeatedly reminded to answer the telephone in his private office visit with reference to Prudential, and was also asked regarding the employment status of a clerical assistant who had answered the telephone at his agency yet was not a Prudential employee, in contravention of Prudential’s policy regarding private offices. Def.Ex. 38. Ms.

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Bluebook (online)
94 F. Supp. 2d 225, 164 L.R.R.M. (BNA) 2400, 2000 U.S. Dist. LEXIS 6268, 2000 WL 556904, Counsel Stack Legal Research, https://law.counselstack.com/opinion/ortiz-v-prudential-insurance-ctd-2000.