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Rollag v. Cowen Inc.

Claims Must Be Arbitrated; FINRA Rule 13414 Inapplicable, FAA Displaces CPLR §7515

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OPINION & ORDER Plaintiff Kevin Rollag brings this action alleging that his former employers Defendants Cowen Inc. and Cowen and Company, LLC (together, “Cowen” or the “Company”) and supervisors Defendants Gavin O’Reilly and Scott Lemon (collectively, “Defendants”) unlawfully discriminated and retaliated against him in violation of the Family and Medical Leave Act, 29 U.S.C. §§2601 et seq. (“FMLA”), Section 806 of the Sarbanes-Oxley Act of 2002, 18 U.S.C. §1514A (“Sarbanes-Oxley”), and New York State Human Rights Law. Now before the Court is Defendants’ motion to compel arbitration of all claims save the one that arises under Sarbanes-Oxley. For the reasons that follow, the motion is granted. BACKGROUND The following facts are drawn from Plaintiff’s Amended Complaint (“Complaint”), Dkt. 38, and from admissible evidence submitted by the parties in pleadings and affidavits, as is permitted in deciding a motion to compel arbitration. See Nicosia v. Amazon.com, Inc., 834 F.3d 220, 229 (2d Cir. 2016). I. Factual Background Plaintiff Kevin Rollag worked for the Investment Banking Division at Defendant Cowen and Company, LLC, in New York, New York from May 2018 until his termination in June 2020. See Compl.

25, 168; see Dkt. 13, Declaration of Rebecca McAdams in Support of Defendants’ Motion to Compel Arbitration and Stay This Action (“McAdams Decl.”) 3. Plaintiff was registered with the Financial Industry Regulatory Authority as a broker-dealer. Id. 4. Defendants Cowen Inc., a Delaware corporation, and Cowen and Company, LLC, a Delaware foreign limited liability company, have their principal place of business in New York, New York. Compl. 26. Defendant Gavin O’Reilly is California resident, while Defendant Scott Lemone is a resident of Massachusetts. Id.

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