Pierre v. Capital One Financial Corporation

CourtDistrict Court, E.D. New York
DecidedMarch 16, 2022
Docket1:21-cv-00030
StatusUnknown

This text of Pierre v. Capital One Financial Corporation (Pierre v. Capital One Financial Corporation) is published on Counsel Stack Legal Research, covering District Court, E.D. New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Pierre v. Capital One Financial Corporation, (E.D.N.Y. 2022).

Opinion

UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NEW YORK -------------------------------------------------------x CYNTHIA PIERRE,

Plaintiff, MEMORANDUM & ORDER - against - 21-CV-30 (PKC) (JRC)

CAPITAL ONE FINANCIAL CORPORATION and RICHARD D. FAIRBANK, Chairman and Chief Executive Officer,

Defendants. -------------------------------------------------------x PAMELA K. CHEN, United States District Judge: Plaintiff Cynthia Pierre brings this action against Defendants Capital One Financial Corporation (“Capital One”) and Richard D. Fairbank, Chairman and Chief Executive Officer of Capital One. Plaintiff is a former employee of Capital One who believes she was wrongfully terminated. Currently before the Court is Defendants’ motion to dismiss Plaintiff’s Third Amended Complaint (“TAC”1) pursuant to Federal Rule of Civil Procedure (“Rule”) 12(b)(6), as well as Plaintiff’s request for leave to amend. For the reasons explained below, Defendants’ motion to dismiss is granted, Plaintiff’s request for leave to amend is denied, and this case is dismissed in its entirety.

1 This case was originally filed in state court and, while the operative complaint is titled the “Third Amended Complaint,” as far as the Court can tell, the complaint has been amended only twice, as explained in the below review of the procedural history. BACKGROUND I. Factual Allegations2 Plaintiff was employed with Defendant Capital One for seven years—first part-time, then full-time, and eventually as a lead teller and branch ambassador. (See TAC, Dkt. 1-1, ¶ 33.) On September 19, 2016, Plaintiff’s cashbox showed an overage of $15,125.53.3 (Id. ¶¶ 19–20.) Months later, Plaintiff was told by her bank manager, Ogbonna Obi, that the overage was caused

by a systems error. (Id. ¶ 21.) On December 28, 2018, Plaintiff’s cashbox again showed an overage, this time in the sum of $2,021.05. (Id. ¶ 5.) Plaintiff asked Obi whether “he [had] heard anything regarding [the] difference,” whether “the error [was] found,” and whether “there [were] any updates on the error.” (Id. ¶¶ 24–26.) Obi “reassure[d] [her] that everything w[ould] be fine.” (Id. ¶ 27.) On March 12, 2019, however, Obi called Plaintiff into his office and terminated her employment because the $2,021.05 overage “was never located nor figured out,” and the error was attributed to Plaintiff. (Id. ¶ 32.) Plaintiff alleges that other employees and former employees have similarly had overages (as well as shortages) in their cashboxes, but were not terminated. (Id. ¶¶ 34–45.)

II. Procedural History Plaintiff initially filed this case in New York state court on March 12, 2020, against Obi, Defendant Fairbank, and Sharon Andrews. (Complaint, Dkt. 10-1.) Plaintiff subsequently filed an Amended Complaint in the state court action, naming only Obi and Andrews as defendants, and

2 The factual allegations are drawn from Plaintiff’s TAC and, for the purposes of this motion to dismiss, the Court assumes their truth. See Forest Park Pictures v. Universal Television Network, Inc., 683 F.3d 424, 429 (2d Cir. 2012). 3 An “overage” refers to when the cashbox contains more money than the records indicate it should, as opposed to a “shortage,” which refers to when the cashbox contains less money than the records indicate it should. (See TAC, Dkt. 1-1, ¶¶ 20, 23.) listing a single cause of action for wrongful termination. (First Amended Complaint (“FAC”), Dkt. 10-2.) On July 13, 2020, Obi and Andrews moved to dismiss, arguing that Plaintiff was an at-will employee, and that New York does not recognize a wrongful termination cause of action for at-will employees. (Motion to Dismiss, Dkt. 10-4.) After holding oral argument, the state

court granted the motion to dismiss—with leave to replead—in a brief, handwritten order that instructed Plaintiff to name Capital One Bank as the defendant, and to “specify which laws [the Complaint] is based on: city, state[,] or federal, or all, and [to] cite which sentence(s) of the laws she claims were violated.” (Affidavit of Kelly Cardin (“Cardin Aff.”), Dkt. 10, at ¶ 6; State Court Order, Dkt. 10-5.) On December 8, 2020, Plaintiff filed the TAC, which contains substantially similar factual allegations as the FAC (compare FAC, Dkt. 10-2, with TAC, Dkt. 1-1), but names as defendants Fairbank and, for the first time, Capital One, and lists as the “Cause of Action,” “Capital One Bank Code of Business Conduct and Ethics Policy Sections 1.1, 1.2, 1.3, [and] 2.1,” as well as “CPLR Sections 1001(a), [and] 1501” (TAC, Dkt. 1-1, ¶ 58).4 Plaintiff attached to the TAC Capital One’s “Code of Conduct.” (Dkt. 1-1, at ECF5 24–57.) Section 1.1 of that document

is titled “Our Code of Conduct” and states: At Capital One, we share a proud commitment to upholding the highest standards of professional ethics. Our Code of Conduct (Code) reflects our core values of Excellence and Do the Right Thing. Our Code memorializes Capital One’s commitment to comply with applicable laws and regulations governing our operations, and to earn our reputation for honesty, fair dealing, and integrity every day. We owe it to one another, our customers, and the communities we serve. (Id. at ECF 29.)

4 N.Y. C.P.L.R. § 1001(a) covers the necessary joinder of parties, and § 1501 covers service and judgments in cases of joint liability. Neither provides an independent cause of action. 5 Citations to “ECF” refer to the pagination generated by the Court’s CM/ECF docketing system and not the document’s internal pagination. Section 1.2, titled “Our People,” states: Our Code applies to all Capital One associates and members of the Company’s Board of Directors, and extends to all Capital One subsidiaries. References to “Capital One associates” in this Code cover Board members and associates, including those in our international locations. The conduct of our vendors, suppliers, service providers, and affiliates (Third Parties) is governed by the Third Party Code of Business Conduct and Ethics. (Id.) Section 1.3, titled “Our Responsibilities,” states: We expect all associates to live our Company’s values by doing the right thing. Knowing, understanding, and following applicable laws and regulations are critical to living our values, safeguarding Capital One’s reputation, and maintaining our customers’ trust. Our Code should be read and understood in conjunction with relevant Capital One policies, standards, and procedures. References in this document to “the Code” and “Company policy” are intended to include all relevant policies, standards, and procedures. Where applicable laws or regulations differ from our Code, policies, standards, or procedures, or where a line of business, department, office, group or team has specific requirements, we are expected to follow the most restrictive applicable requirement. We must comply with the letter and spirit of the law and our Code, use fact-based and sound judgment, and seek guidance whenever needed. Associates who violate the Code will be subject to legal action and discipline up to and including termination of employment. (Id. at ECF 30.) Section 2.1, titled “Fairness, Dignity, and Respect,” includes sections on diversity and inclusion, harassment and discrimination, and equal employment opportunities. (Id. at 35–36.) In her TAC, Plaintiff alleges that § 1.3’s requirement to “comply with the letter and spirit of the law and our Code, use fact-based and sound judgment, and seek guidance whenever needed,” was “never utilized to ascertain the facts during the investigation of the $2,021.05” overage, which led to her termination. (Compl., Dkt.

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

Related

Papasan v. Allain
478 U.S. 265 (Supreme Court, 1986)
Erickson v. Pardus
551 U.S. 89 (Supreme Court, 2007)
Bell Atlantic Corp. v. Twombly
550 U.S. 544 (Supreme Court, 2007)
Ashcroft v. Iqbal
556 U.S. 662 (Supreme Court, 2009)
Williams v. Citigroup Inc.
659 F.3d 208 (Second Circuit, 2011)
Ahlers v. Rabinowitz
684 F.3d 53 (Second Circuit, 2012)
Baron v. Port Authority Of New York And New Jersey
271 F.3d 81 (Second Circuit, 2001)
Rothstein v. UBS AG
708 F.3d 82 (Second Circuit, 2013)
Fattoruso v. Hilton Grand Vacations Co., LLC
525 F. App'x 26 (Second Circuit, 2013)
Walker v. Schult
717 F.3d 119 (Second Circuit, 2013)
Green v. Mattingly
585 F.3d 97 (Second Circuit, 2009)
Hartzog v. Reebok International Ltd.
77 F. Supp. 2d 478 (S.D. New York, 1999)
In Re Livent, Inc. Noteholders Securities Litig.
151 F. Supp. 2d 371 (S.D. New York, 2001)
Brown v. Daikin America Inc.
756 F.3d 219 (Second Circuit, 2014)
Murphy v. American Home Products Corp.
448 N.E.2d 86 (New York Court of Appeals, 1983)

Cite This Page — Counsel Stack

Bluebook (online)
Pierre v. Capital One Financial Corporation, Counsel Stack Legal Research, https://law.counselstack.com/opinion/pierre-v-capital-one-financial-corporation-nyed-2022.