Southworth v. N. Trust Securities, Inc.

2013 Ohio 2917
CourtOhio Court of Appeals
DecidedJuly 3, 2013
Docket99250
StatusPublished
Cited by1 cases

This text of 2013 Ohio 2917 (Southworth v. N. Trust Securities, Inc.) is published on Counsel Stack Legal Research, covering Ohio Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Southworth v. N. Trust Securities, Inc., 2013 Ohio 2917 (Ohio Ct. App. 2013).

Opinion

[Cite as Southworth v. N. Trust Securities, Inc., 2013-Ohio-2917.]

Court of Appeals of Ohio EIGHTH APPELLATE DISTRICT COUNTY OF CUYAHOGA

JOURNAL ENTRY AND OPINION No. 99250

JOHN D. SOUTHWORTH PLAINTIFF-APPELLANT

vs.

NORTHERN TRUST SECURITIES, INC., ET AL.

DEFENDANTS-APPELLEES

JUDGMENT: AFFIRMED

Civil Appeal from the Cuyahoga County Court of Common Pleas Case No. CV-688175

BEFORE: Boyle, P.J., Celebrezze, J., and Jones, J.

RELEASED AND JOURNALIZED: July 3, 2013 ATTORNEYS FOR APPELLANT

Daniel M. Connell Shannon J. Polk Haber Polk Kabat, L.L.P. 737 Bolivar Road Suite 4400 Cleveland, Ohio 44115

ATTORNEYS FOR APPELLEES

Patrick O. Peters Jeremy Gilman Peter N. Kirsanow Benesch, Friedlander, Coplan, Aronoff, L.L.P. 200 Public Square Suite 2300 Cleveland, Ohio 44114 MARY J. BOYLE, P.J.:

{¶1} Plaintiff-appellant, John Southworth, appeals from a judgment denying his

motion for a new trial after a jury found in favor of defendants-appellees, Northern Trust

Securities, Inc. (“Northern Trust”), Michael Cogan, and Scott Dille (collectively

“defendants”), on his age discrimination claim. He raises four assignments of error for

our review:

1. The trial court erred in admitting evidence relating to defendants’ after-acquired evidence defense. Having done so, the trial court further erred by failing to provide a curative instruction to the jury to guide it regarding the proper consideration of such evidence.

2. The trial court erred by entering judgment in favor of defendants Mike Cogan and Scott Dille despite the jury’s failure to return a verdict in their favor.

3. The trial court erred by limiting plaintiff’s cross-examination of defendant Mike Cogan during defendant’s case-in-chief.

4. The trial court erred by denying plaintiff’s motion for a new trial based upon the foregoing irregularities and errors of law during the trial.

{¶2} After review, we find no error on the part of the trial court and affirm.

Procedural History and Factual Background

{¶3} In late 2008, after the global economic downturn, Northern Trust

announced that it would reduce its workforce beginning in early 2009. As part of

Northern Trust’s reduction in force (“RIF”), it eliminated 450 employees worldwide —

188 employees in the United States and three in the Cleveland office. Southworth, a

portfolio manager, was one of the three employees eliminated in Northern Trust’s Cleveland office. He was 63 years old at the time.

{¶4} Mike Cogan, president and chief executive officer of Northern Trust’s

Cleveland office, notified Southworth on February 25, 2009, that he had been selected to

be eliminated as part of the RIF. Cogan, who was Southworth’s direct supervisor,

informed Southworth that his last day of employment would be April 25, 2009. Cogan

further told Southworth that during the “60-day notification period,” Northern Trust

expected Southworth to continue working to “transition and/or complete assignments.”

{¶5} Southworth, however, filed an age discrimination complaint against

Northern Trust and Cogan in mid-March 2009. Southworth later amended his

complaint to add Scott Dille, Cogan’s supervisor and senior vice president of Northern

Trust’s midwest region. After Southworth filed his complaint, he was no longer

permitted to work at Northern Trust. But Northern Trust continued to pay Southworth

his full salary and benefits until April 25, 2009.

{¶6} The case was tried to a jury in April 2012. The jury returned a verdict for

defendants. Southworth moved for a new trial, which the trial court denied. It is from

this judgment that Southworth appeals.

I.

{¶7} In his first assignment of error, Southworth argues that the trial court erred

when it permitted defendants to cross-examine him regarding Ex. MMMMMM, and

when it allowed Ex. MMMMMM to be admitted into evidence through his cross-examination. Southworth claims that Ex. MMMMMM was “after-acquired

evidence,” which he asserts was not applicable in this case.

{¶8} Ex. MMMMMM was a list that Southworth created of his Northern Trust

clients after he was notified that his position was being eliminated. The list contained

the client’s name, the number of accounts the client had with Northern Trust, the client’s

total account value at Northern Trust, Southworth’s estimated probability that the client

would follow him to another company, and comments that Southworth had made

regarding each client.

{¶9} After Southworth was told that his position was being eliminated, he

immediately began to look for other employment. He found employment “fairly

quickly” at Glenmede Trust Company. He stated,

I went to work at [Glenmede] somewhere around May 11th, I think. Whatever would be close to a Monday. My last day at Northern Trust Company was April 25th. And so I considered myself to be an employee and loyal to Northern Trust through the 25th of April. Although I was meanwhile seeking employment, I viewed myself as an employee through the last day.

{¶10} On cross-examination, Southworth admitted that he gave a copy of his

client list, Ex. MMMMMM, to Frank Harding, managing director at Glenmede.

Southworth testified that he had lunch with Harding in mid-March of 2009, but said that

he did not give the list to Harding until after April 25, 2009. Southworth acknowledged

that in Harding’s deposition, taken by defendants just before trial, Harding stated that he

believed Southworth had given him the client list “either just before — I think just

before [Southworth] retired” from Northern Trust. {¶11} Southworth agreed that in the financial industry, there are “strict

confidentiality requirements.” He further agreed that by violating a client’s

confidentiality, it was “not just a minor offense,” but “it [was] a cardinal offense.” He

also agreed that Northern Trust could face “potential liability” if the client discovered

that his or her personal information was disclosed in some way, either intentionally or

inadvertently.

{¶12} Southworth moved to strike defendants’ cross-examination of him

regarding defendants’ “after-acquired evidence defense,” claiming that it was not

relevant because he did not give the client list to Harding until after he was terminated.

Southworth argued that any evidence of his conduct that postdates his selection in the

RIF should have been stricken.

{¶13} In McKennon v. Nashville Banner Publishing Co., 513 U.S. 352, 115 S.Ct.

879, 130 L.Ed.2d 852 (1995), the United States Supreme Court established the

“after-acquired evidence” defense, which allows a defendant employer to show that an

employee would have been terminated anyway had the employer known of wrongful

conduct by the employee plaintiff. Id. at 362. If the defense applies, it generally bars

the employee from obtaining front pay and reinstatement, and limits back pay. See

Thurman v. Yellow Freight Sys., Inc., 90 F.3d 1160, 1168 (6th Cir.1996). The Sixth

Circuit Court of Appeals has also held that an employer is not entitled to a “McKennon

instruction limiting damages” where the employee’s alleged misconduct arose as a direct

result of the discriminatory act. Jones v. Nissan N. Am., Inc., 438 Fed.Appx. 388, 407 (6th Cir.2011).

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

Related

Neugebauer v. Farinacci
2024 Ohio 960 (Ohio Court of Appeals, 2024)

Cite This Page — Counsel Stack

Bluebook (online)
2013 Ohio 2917, Counsel Stack Legal Research, https://law.counselstack.com/opinion/southworth-v-n-trust-securities-inc-ohioctapp-2013.