Simmons v. UBS Financial Services, Inc.

James Simmons (plaintiff) worked for Prelle Financial Group as a wholesaler of life-insurance policies to clients of UBS Financial Services, Inc. (UBS) (defendant). Simmons regularly worked out of UBS offices. His daughter, Jo Aldridge, worked for UBS. Aldridge eventually filed a charge against UBS with the Equal Employment Opportunity Commission, alleging pregnancy discrimination. Aldridge subsequently resigned from UBS, and the parties reached a settlement on her discrimination claim. However, UBS’s relationship with Simmons deteriorated, with UBS revoking Simmons’s right to work from UBS offices and eventually prohibiting him from interacting with UBS clients. The breakdown effectively ended Simmons’s employment at Prelle Financial Group because he could no longer fulfill his job responsibilities. Simmons filed suit against UBS, asserting a retaliation claim under Title VII of the Civil Rights Act of 1964 (Title VII). He alleged that UBS took adverse actions against him to effectively retaliate against his daughter for reporting pregnancy discrimination, an act protected by Title VII. UBS moved to dismiss the action, arguing that Simmons’s claim was not viable because only a person with an employment relationship with UBS could sue UBS for a Title VII violation and Simmons had no such relationship. The district court agreed, dismissing the action. Simmons appealed.