SUE L. ROBINSON, District Judge.
Plaintiff Clyde E. Mease, Jr. ("Mease" or "plaintiff") filed the present action against Wilmington Trust Company ("WTC" or "defendant") on April 26, 2006, alleging that his employment termination was based on age discrimination. (D.I. 1) Plaintiff originally brought claims under both state law and the Age Discrimination in Employment Act (ADEA), 42 U.S.C. § 621 et. seq.
The parties have concluded discovery, and presently before the court is defendant's motion for summary judgment (D.I. 87), filed on December 15, 2009. For the reasons that follow, the court grants defendant's motion for summary judgment.
Plaintiff Clyde E. Mease, Jr. ("Mease") began working for defendant Wilmington Trust Company ("WTC") on December 27, 1983. (D.I. 89 at A1-2) For most of his career, he worked as a portfolio manager, recommending and deciding which investments to buy and sell for wealthy clients. (D.I. 90 at A343-44) In 2000, Allen Snook ("Snook"), the division manager, reorganized the trust division of WTC into Wealth Advisory Services ("WAS") and reassigned employees into three teams. (Id. at A346-48) Mease, 51 years old at the time, was promoted to the position of senior private client advisor ("PCA") to head one of these teams.
It was Mease's job as a senior PCA to meet and communicate regularly with his clients, as well as to generate new business. (Id. at A349-53) Norman C. Griffiths ("Griffiths") and Nicole Rossman ("Rossman") worked as his assistants and handled administrative paperwork and phone calls. (D.I. 89 at A195, 200; D.I. 90 at A344-45, 355-56) He also had three investment advisors ("IA") on his team, G. Keith Robertshaw ("Robertshaw"), Clyde Kessinger ("Kessinger") and Chris Sullivan ("Sullivan")
Between 1994 and 1999, prior to becoming a senior PCA, Mease received mixed reviews in his annual performance evaluations. (See D.I. 89 at A3-47) While his manager and co-workers praised his business results and technical knowledge (id. at A4; A9; A17), he consistently received criticism about his organizational skills (id. at A9; A18; A37) and poor interpersonal and communication skills (id. at A17; A28). However, Mease's performance reviews did reflect improvement over the years. (Id. at A40) For example, his 2002 evaluation commended him for "shar[ing] his acquired experience with his associates" and for mentoring a co-worker. (D.I. 97 at B149-50) His last evaluation, in 2003, positively reviewed his effort in helping his team finish year-end tasks. (Id. at B158)
Mease managed some of WTC's wealthiest and most important clients, including the Darden/Field family. (Id. at A4) Dr. Colgate Darden ("Darden") and his sister, Irene Field ("Field"), both had numerous accounts with WTC. (D.I. 90 at A447; A459) On December 2, 2002, Mease purchased units of Camden Private Capital Venture, LLC ("Camden"),
In response to Field's complaint letters, Mease unilaterally moved the Camden units to the trust account of another client, Crawford H. Greenewalt, Jr.
When Robertshaw, the IA assigned to the Darden/Field account, found out about Mease's plan to unilaterally transfer the Camden units to Greenewalt's account, he told Mease that what he was doing seemed wrong, but Mease ignored his advice. (Id. at A414-16) Instead, Mease only consulted with Camden's CFO for advice on how to transfer the units.
Although Mease phoned and wrote Field to notify her that the Camden investment had been removed from her and Darden's accounts, he apparently made no effort to inform Greenewalt about the Camden transfer. (D.I. 90 at A378) Greenewalt was out of the country at the time of the transfer but, even after he returned to the United States in the fall of 2004, Mease failed to notify him. (Id. at A452) It was not until early 2005, when Ledyard and Sullivan traveled to California to meet with Greenewalt, that Greenewalt learned about the Camden transfer. (Id. at A437; A452) At the meeting, Ledyard promised Greenewalt that WTC would reimburse him if the money taken from his account was more than the value of the Camden units. (Id. at A452, ¶ 10)
When Murphy and Kessinger, two of the lAs on Mease's team, found out about the Camden transfer, they expressed their concerns to Ledyard, Snook and Madel. (Id. at A301; A422-23; A453-54, ¶¶ 2-4) Snook investigated Mease's actions and, after conferring with senior management and WTC's General Counsel, concluded that Mease had made unauthorized transactions between unrelated accounts, had attempted to falsify records,
According to company policy, an employee must be informed of why he or she is being terminated. (Id. at B441-42) At the termination meeting, Snook informed Mease that he was being terminated for "violating] policies and procedures" but offered no detailed explanation. (D.I. 98 at B333) Snook, following an outline prepared by Howard, told Mease he was being terminated for the following problems: (1) making "inappropriate transactions" without the client's knowledge or permission; (2) not following approved, required procedures for transactions; and (3) causing Snook to lose trust in Mease and his actions.
On December 3, 2004, WTC's Legal Department conducted a follow-up investigation to determine whether Mease's actions had caused any clients to lose money. (Id. at A152-60) It concluded that Mease had improperly transferred the Camden units to the Greenewalt account and that he had failed to value the shares properly, resulting in Greenewalt's trust paying $75,000 for an investment worth only $31,312.50 at the time of the transfer. (Id. at A171-72; A175) In addition, WTC's Legal Department found that Mease had failed to consult with the appropriate lAs and had failed to obtain the requisite subscription agreements and suitability forms prior to making the transfer. (Id. at A139-47; A165-72; A185-88)
A court shall grant summary judgment only if "the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to judgment as a matter of law." Fed. R. Civ. P. 56(c). The moving party bears the burden of proving that no genuine issue of material fact exists. See Matsushita Elec. Indus. Co. v. Zenith Radio
Plaintiffs complaint alleges employment discrimination on the basis of age under the ADEA, which provides, in relevant part, "[i]t shall be unlawful for an employer. . . to discharge any individual or otherwise discriminate against any individual with respect to his compensation, terms, conditions, or privileges of employment, because of such individual's age." 29 U.S.C. § 263(a). Protection under the ADEA extends only to individuals who are at least 40 years old. See 29 U.S.C. § 261(a).
In analyzing ADEA claims without direct evidence of discrimination, the Third Circuit has adopted the elements of the prima facie case enunciated by the Supreme Court in McDonnell Douglas Corp. v. Green, 411 U.S. 792, 93 S.Ct. 1817, 36 L.Ed.2d 668 (1973).
In step two, once the plaintiff has established his prima facie case, the burden of proof shifts to the employer to articulate a legitimate, nondiscriminatory reason for the discharge. See Keller, 130 F.3d at 1108; Stewart v. Rutgers, 120 F.3d 426, 432 (3d Cir.1997). The Supreme Court has held that this step does not require the employer to disprove a discriminatory motive but merely to state a "legitimate, nondiscriminatory" motive for its employment action. Bd. of Trustees v. Sweeney, 439 U.S. 24, 26, 99 S.Ct. 295, 58 L.Ed.2d 216 (1978). As long as the employer's proffered reason creates a genuine issue of fact, then the presumption of discrimination drops and, in step three, the burden of proof shifts back to the plaintiff to show that the "employer's proffered reason [for the employment action] was not the true reason for the . . . decision" but was instead mere pretext for discrimination. Stewart, 120 F.3d at 432 (quoting St. Mary's Honor Center v. Hicks, 509 U.S. 502, 508, 113 S.Ct. 2742, 125 L.Ed.2d 407 (1993)) (alterations in original); see also McDonnell Douglas, 411 U.S. at 802, 93 S.Ct. 1817. To make the requisite showing of pretext, the plaintiff must produce evidence
Martin, 67 Fed.Appx. at 112 (alterations in original) (quoting Fuentes v. Perskie, 32 F.3d 759, 763 (3d Cir.1994)); see also Keller, 130 F.3d at 1108. Alternatively, a plaintiff may submit evidence of the employer's past treatment of him, or evidence of the employer's general policy and practice toward the protected class of employees. Martin, 67 Fed.Appx. at 112 (citing Ezold v. Wolf, Block, Schorr & Solis-Cohen, 983 F.2d 509, 523-24 (3d Cir.1992)).
To counter Mease's establishment of the prima facie case of discrimination, WTC has proffered legitimate, nondiscriminatory reasons for terminating his employment, all related to the Camden transfer: (1) he violated bank practices; (2) he failed to consult with his investment team; and (3) he could no longer be trusted. (D.I. 88 at 27-31) As a result, under the McDonnell Douglas burden-shifting framework, Mease bears the burden of demonstrating pretext. Mease has not alleged any past treatment of him or other employees to evidence age discrimination. Instead, his pretext argument is focused on: (1) undermining WTC's proffered reasons so that a reasonable factfinder may disbelieve WTC's explanation for terminating him; and (2) submitting that a reasonable
In order to demonstrate pretext, Mease offers evidence that he asserts would cause a reasonable factfinder to disbelieve WTC's proffered reasons for terminating him. He alleges that WTC: (1) delayed reimbursing Greenewalt; (2) misrepresented how long, after his termination, his clients were reassigned to Ledyard; (3) backdated and misrepresented the value of the transferred Camden units; (4) failed to show that he violated any specific policy or procedure; and (5) failed to follow its own procedure in terminating him.
To make a showing of pretext, "the plaintiff cannot simply show that the employer's decision was wrong or mistaken, since the factual dispute at issue is whether discriminatory animus motivated the employer, not whether the employer is wise, shrewd, prudent, or competent." Stewart, 120 F.3d at 433. Instead, the plaintiff must demonstrate "such weakness, implausibilities, inconsistencies, incoherences, or contradictions in the employer's proffered legitimate reasons for its action that a reasonable factfinder could rationally find them unworthy of credence, and hence infer that the employer did not act for [the asserted] nondiscriminatory reasons." Id. (alteration in original) (quotations omitted) (citing Fuentes, 32 F.3d at 765). As a first matter, several of Mease's allegations do not go toward showing weakness, implausibilities, inconsistencies, incoherences, or contradictions in the employer's proffered reasons. That there may have been delays in reimbursing Greenewalt or that Ledyard may have received Mease's clients for longer than WTC originally claimed is immaterial for discrediting WTC's reasons for terminating Mease.
Mease goes to great length to try to show that WTC deceptively altered documents to backdate the value of the transferred Camden units. (D.I. 96 at 29-30) WTC relies on an online portfolio document (D.I. 97 at B36) showing that "as of August 31, 2009," the Camden units were valued at 41.75% of their market value to assert that Mease improperly transferred the Camden units at full market value.
However, even if the improper valuation were not a legitimate reason for Mease's termination, such evidence alone would not be sufficient for a complete showing of pretext because, "to avoid summary judgment, the plaintiffs evidence rebutting the employer's proffered legitimate reasons must allow a factfinder reasonably to infer that
The Third Circuit Court of Appeals, in Martin v. Health Care & Retirement Corp., walked through a legal analysis for pretext that is illustrative for the present case. In that case, the plaintiff, Martin, was a former director of nursing at a retirement home who brought Title VII and ADEA claims against her employer after being fired. Martin, 67 Fed.Appx. at 111. The retirement home's proffered reason for terminating her employment was that she had failed to respond to resident family concerns in two separate instances. Id. at 111-12. Martin pointed to several pieces of evidence to support a finding of pretext, all of which the court rejected in affirming the district court's summary judgment finding for the defendant employer. Id. at 112-14. Plaintiff at bar makes several similar arguments.
First, Martin argued that her employer's human resources manager had stated that one of the instances of misconduct may have been a misunderstanding. Id. at 112. However, the court rejected this argument because the question was not whether the employer made a sound employment decision but whether the real reason for the decision was discrimination. Id. at 112 (citing Keller, 130 F.3d at 1109). Thus, in the present case, even if WTC had no explicit policy against unilaterally transferring funds between unrelated accounts (that is, even if Snook was wrong or mistaken in believing Mease's misconduct violated company policy), this does not make Snook's grounds for terminating Mease pretextual. Furthermore, Mease's assertion that Ledyard approved the Camden transfer is also without merit. There is no evidence that Ledyard ever approved of the way the Camden transfer was executed. While Mease may have talked to Ledyard about it in a "short, very brief meeting (which Ledyard denies), Mease himself admits that he never told Ledyard the details of the transaction beyond the fact that he was about to do an account transfer. (D.I. 90 at A372, 377)
Third, the plaintiff in Martin pointed out that she had "above average" performance reviews prior to her termination, Martin, 67 Fed.Appx. at 113, just as Mease points out he showed positive improvement in his performance reviews over the years. However, the court in Martin refused to consider the performance reviews because they were irrelevant to the two instances of misconduct for which the employer said Martin was terminated. Id.; see also Fuentes, 32 F.3d at 766 (rejecting plaintiffs timing argument that "things were going well for him" up until the adverse employment action because it was "not the type of timing evidence" that would "give rise to an inference of improper motivation"). Likewise, WTC's proffered reason for terminating Mease was the specific instance of the improper Camden transfer, not any longterm performance issues. As such, any discussion about Mease's performance reviews does not cast any real doubt on WTC's proffered legitimate reason.
Fourth, Martin argued that her supervisor's failure to progressively discipline her before terminating her employment showed the employment action was pretextual. Martin, 67 Fed.Appx. at 113. The court reasoned that "an employer's decision that an incident is serious enough to warrant termination rather than a less severe punishment does not show that the reason for termination is pretextual." Id.; see also EEOC v. Rite Aid Corp., Civ. No. 03-777-GMS, 2005 WL 3434779, at *5 (D.Del. Dec. 12, 2005) ("[T]he fact that [the employer] may not have followed its progressive discipline policy in dealing with [plaintiffs] performance issues does not warrant a finding of pretext."). Immediate termination is also consistent with WTC's policy. The company's Corrective Action policy provides a progressive discipline policy but also specifies that
Taken together, the evidence raised by Mease would not lead a reasonable factfinder
Alternatively, a plaintiff may point to age as a determinative factor in order to show pretext. See Martin, 67 Fed.Appx. at 112. The Supreme Court in Gross held that, in the ADEA context, the plaintiff must prove by a preponderance of the evidence that age was the "but-for" cause of the challenged employer decision and not just a motivating or contributing factor. Gross, 129 S.Ct. at 2352; see also Reeves v. Sanderson Plumbing Products, 530 U.S. 133, 141-43, 120 S.Ct. 2097, 147 L.Ed.2d 105 (2000) ("[P]laintiffs age must have `actually played a role in [the employer's decisionmaking] process and had a determinative influence on the outcome.'") (alterations in original) (quoting Hazen Paper Co. v. Biggins, 507 U.S. 604, 610, 113 S.Ct. 1701, 123 L.Ed.2d 338 (1993)); Gorzynski v. Jetblue Airways Corp., 596 F.3d 93, 106 (2d Cir.2010) (interpreting Gross v. FBL Financial Services, Inc. similarly). The Court in Gross explained that, unlike Title VII, the ADEA requires a showing that if not for the plaintiffs age, the adverse employment action would not have occurred. Gross, 129 S.Ct. at 2349. Therefore, it is not enough for plaintiff to show that age was merely a contributing factor in his termination; age must have been a determinative or but-for cause of termination.
To argue that age was a determinative factor of his termination, Mease asserts that his duties were transferred to a younger individual, Ledyard, following his termination. (D.I. 96 at 34) When Mease was terminated, Ledyard was 37 years old, or 17 years younger than Mease, and took over responsibility for four of Mease's five largest clients. (D.I. 98 at B502-03; B540) Ledyard held responsibility for these four clients until the end of 2005, or for about one year after Mease's termination. (D.I. 97 at B33) The delegation of duties to a younger employee alone, however, is not sufficient to demonstrate pretext.
Mease must point to evidence of pretext sufficient to rebut WTC's proffered nondiscriminatory reasons for terminating him. However, Mease fails to offer any evidence—besides delegation of Mease's duty to a younger individual for a year—to point to age as a determinative factor in his termination. He offers no evidence
For the foregoing reasons, plaintiff has failed to meet his burden of proof under ADEA analysis to show that defendant's reasons for terminating him were mere pretext. Mease has not produced sufficient evidence to allow a reasonable factfinder to disbelieve WTC's proffered legitimate reasons for terminating him or to demonstrate that age was a determinative factor in his termination. The court grants defendant's motion for summary judgment. An appropriate order shall ensue.
At Wilmington this 29th day of July, 2010, consistent with the memorandum opinion issued this same date;
IT IS ORDERED that defendant's motion for summary judgment (D.I. 87) is granted. The Clerk of Court shall enter judgment against plaintiff and in favor of defendant.
In addition, the person (Snook) who terminated Mease was the same person who promoted him to the position of senior PCA in 2000. (D.I. 90 at A342a, 346) The Third Circuit has noted that such evidence, while not dispositive, may be relevant to show that no discrimination occurred. See Waldron v. SL Indus., Inc., 56 F.3d 491, 496 n. 6 (3d Cir.1995) (noting that in some circumstances, it may be appropriate to apply the Fourth Circuit's logic that a strong inference for non-discrimination exists where the same actor took both positive and adverse employment actions against plaintiff).