Overly v. Keybank National Ass'n

662 F.3d 856, 2011 U.S. App. LEXIS 22651, 94 Empl. Prac. Dec. (CCH) 44,323, 113 Fair Empl. Prac. Cas. (BNA) 1345, 2011 WL 5505338
CourtCourt of Appeals for the Seventh Circuit
DecidedNovember 10, 2011
Docket10-2705
StatusPublished
Cited by49 cases

This text of 662 F.3d 856 (Overly v. Keybank National Ass'n) is published on Counsel Stack Legal Research, covering Court of Appeals for the Seventh Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

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Overly v. Keybank National Ass'n, 662 F.3d 856, 2011 U.S. App. LEXIS 22651, 94 Empl. Prac. Dec. (CCH) 44,323, 113 Fair Empl. Prac. Cas. (BNA) 1345, 2011 WL 5505338 (7th Cir. 2011).

Opinion

CONLEY, District Judge.

Krysten Overly sued her employer Key Investment Services LLC, its parent com *859 pany and several of its affiliates (collectively “KeyBank”) in Indiana state court for allegedly discriminating based on her gender and retaliating against her because of her complaints of gender discrimination in violation of Title VII of the Civil Rights Act of 1964. KeyBank removed the case to federal court and later filed a motion for summary judgment on both the discrimination and retaliation claims. The district court granted that motion and entered final judgment in favor of KeyBank.

On appeal, Overly argues the district court erred in entering summary judgment because genuine issues of material fact remained regarding whether she was discriminated and retaliated against, subjected to a hostile work environment and constructively discharged because of her gender and for complaining about gender discrimination. Finding no disputed issues of genuine fact material to Overly’s claims of gender discrimination or retaliation, and agreeing with the district court’s reasons for granting KeyBank’s summary judgment motion, that judgment will be affirmed.

I. BACKGROUND

Because Overly’s claims were decided on summary judgment, we view all facts in the light most favorable to Overly — the non-moving party — and draw all reasonable inferences in her favor. Ault v. Speicher, 634 F.3d 942, 945 (7th Cir.2011).

A. Overly’s Use of Scanned Signatures

Overly became a financial advisor with the McDonald Financial Group in 2004. A couple years later, she accepted a similar position with KeyBank, providing financial advice to clients at several of its Central Indiana branches. Initially, Overly’s direct supervisor was Andrew Moulton, the regional sales manager for KeyBank’s Central Indiana territories. Moulton resigned in January 2007. Rick Bielecki became Overly’s new regional sales manager in March 2007. Even though he was her direct supervisor, Bielecki usually only interacted or met with Overly once a month because of his supervisory responsibilities for multiple territories.

Upon becoming regional sales manager, Bielecki would “ride-along” with financial advisors under his supervision in the Central Indiana branches to observe how they conducted business. During a ride-along with Overly on April 12, 2007, Overly explained the procedures used in opening new client accounts. One procedure that came to light was Overly’s reliance on her scanned, as opposed to in-person, signatures in executing account documents. Overly explained that Bielecki’s predecessor Moulton had suggested that her assistant, Carol Cooney, paste Overiy’s scanned signature on client documents to “speed up” the opening of accounts on those occasions when Overly could not be at the specific branch immediately to sign the document.

Overly had apparently used this procedure approximately twenty times over the previous year and was the only financial advisor to do so. Overly also encouraged bankers to sell investment products outside KeyBank’s product menu without Overly being there to supervise.

B. Compliance Office Investigation and Recommendation

Following their ride-along, Bielecki told Overly to stop using her scanned signature to open accounts until he looked into the policy further. Bielecki then reported to KeyBank’s compliance office that Overly used scanned or “cut and pasted” signatures. Bielecki also reported that Overly encouraged bankers to sell off-menu products. This report triggered an investigation. The compliance office told Bielecki *860 to make certain both procedures stopped. Bielecki reiterated this to his entire staff, reminding them that in opening new accounts each financial advisor should personally sign a new account application before submitting it.

The next day, Overly spoke with Bieleeki and his boss, Wally DePasquale, the general regional manager. During this conversation, Overly was told that using scanned signatures and advising bankers to sell outside the product list were both improper procedures. Overly was asked if any other financial advisors in the territory followed similar practices. Although she did not know of anyone personally, Overly mentioned being told that Kirk Green, also a financial advisor, failed to meet with some clients before signing paperwork to open new accounts. 1

Bielecki reported Overly’s allegations about Green to the compliance office. He also questioned Green about procedures used to open accounts. Green denied that he ever signed new account paperwork without first meeting the customer. The compliance office told Bielecki to remind his employees, including Green, about the company policy requiring advisors to be present with the customer when signing an account document.

As part of their investigation, the compliance office and Bielecki also contacted bankers working with Overly to ask them about selling financial products outside KeyBank’s product menu. One banker admitted making unauthorized sales of variable annuity products without Overly’s assistance.

After its investigation, the compliance office recommended that Overly be terminated. Bielecki and DePasquale challenged the recommendation, arguing that Overly should remain employed at Key-Bank. Later in the month of May, Overly was given a formal written warning from the compliance office and a $1000 fine for violations of the fraud and “Know Your Client” policies at KeyBank and the National Association of Securities Dealers Rule 2310. Additionally, a male banker who admitted to selling variable annuities in violation of KeyBank policy was fined $100.

C. Overly’s Problems with Bielecki

At the end of May 2007, Overly contacted Marcia Hopkins, in KeyBank’s human resources department, about the disciplinary actions taken against her by Key-Bank, as well as sexist remarks she attributed to Bielecki. Overly explained that Bielecki had called her “cutie” between 5 and 10 times, though stopped after Overly told him she was not his cutie. Also, in an email, Bielecki stated that it would be better for Overly and Jennifer Miller, a junior advisor, to go to a golf outing because “your pretty faces are much better than my ugly mug.” Bielecki also required Overly to leave her planner and purse outside the room when having an office meeting.

Overly expressed concern that the discipline she had received would be marked on her license and hurt her chances for future employment. Hopkins advised Overly that KeyBank had put the issue behind it and that she should do likewise. When Overly continued to ask about the discipline, Hopkins offered to talk with DePasquale, but *861 Overly did not want to involve him. Hopkins suggested that Overly should keep her “head down and just go back to work and act as though everything’s fine.”

D. Realignment of Financial Advisors

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662 F.3d 856, 2011 U.S. App. LEXIS 22651, 94 Empl. Prac. Dec. (CCH) 44,323, 113 Fair Empl. Prac. Cas. (BNA) 1345, 2011 WL 5505338, Counsel Stack Legal Research, https://law.counselstack.com/opinion/overly-v-keybank-national-assn-ca7-2011.