很多员工在为雇主工作时发明出来一些专利或其他工作成果，这些工作成果的所有人到底是谁呢？在这样的情况下，雇员并不是专利的所有人，而是雇主，因为那个工作成果是在受雇佣的情况下用雇主的资源研制出来的， 俗称“受雇工作成果”。
“受雇工作成果”通常在两种情况下取得。一是员工在受雇范围内所研制的工作成果，二是在发明人和雇主没有雇佣关系的条件下受特别委托、并且双方签署合同同意该发明人发明的专利被法律认可是“受雇工作成果”的九种中的一种。
雇佣方和受雇方可能没有非常清晰的雇佣关系，比如是独立合同工的关系，在这种情况系，几个因素要总结起来参考来决定谁是专利的所有人，其中包括： 谁提供材料，工作的地点，工作关系的长短，雇佣方是否可以给受雇方添加其他工作项目，以及雇佣方在雇佣和支付受雇方中起到的角色。
法律规定有九种“受雇工作成果”即使在没有明确雇佣关系的情况下，也应该被认同为“受雇工作成果”，前提是雇佣方和受雇方书面协议明确该研制成果是“受雇工作成果”。这九种工作成果是： 对集体工作的贡献，电影或其它音像作品的一部分（比如说录音），翻译，补充工作，汇编，说明文字，考题，考题的答案，或地图。如果委托的工作不属于这九种工作的一种，在没有雇佣关系的前提下，它就不能算是“受雇工作成果”，也就是说，雇主如果主张它是工作成果的所有人，雇员有法律依据进行挑战。
Tuesday, July 23, 2013
Monday, July 8, 2013
麻州职场员工的限制竞争（Massachusetts Non-Compete in Employment Context）
我们经常会遇到这样的情况。员工跳槽去前雇主的竞争对手，前雇主随即控告员工违法曾经签署的限制竞争合约，要求法院禁止该前员工继续为竞争对手工作并且索赔损失，很多时候也会控告竞争对手故意破坏雇主和前员工的合同关系，把员工挖走。在法院决定是否发放禁止令之前，法官首先审核该合约的合理性，即使员工签了协议，法官也有可能认为其不合理而宣判合约无效，那就意味着员工不受其条款限制。
麻省法庭通常限制雇主约束前员工从事与该雇主相同或相关的工作。 当雇主有合理的商业利益，而且能证明前员工进行的是不公平的竞争，法庭才会支持雇主强制执行该限制。法官的工作是要权衡雇主的合理商业利益与员工谋生就业的权利与自由。
雇主的合理商业利益有三种，为了保护 （1）商业秘密； （2）机密信息； （3）名誉等无形资产。“商业机密”和“机密信息”在法律上有一定的定义，必须满足一定的条件，具体可以阅读我今年一月五日的“Myths of Trade Secrets”。无形资产通常是指利用雇主的资源开发出来的客源、商标、专利等有价值的资产。通常来讲，销售人员利用自己人际关系开发出来的客源属于他自己的资产，雇主不能进行竞争限制。
如果雇主要只是要限制前员工为其竞争对手工作，这不属于雇主受保护的合理的商业利益。通常来讲，限制竞争的约束通常用于能接触到机密信息的各个部门的高层工作人员，一般不用于低层员工。
为了保护合理正当的商业目的，限制竞争的范围、时间长度、和地理范围也都要是合理的。当然每个行业由于销售范围和特性的不同有自己的特殊性。合理度由案例法所定义。雇主的意向和金融状况、员工的职位描述、以及员工谋生的能力和需求等因素都会是考虑因素。
如果必要，雇主应该在员工开始工作时就让其签署这个限制竞争的合约。如果雇主在员工即将离职时才匆忙地达成协议，就有可能造成很多问题。
麻省法庭通常限制雇主约束前员工从事与该雇主相同或相关的工作。 当雇主有合理的商业利益，而且能证明前员工进行的是不公平的竞争，法庭才会支持雇主强制执行该限制。法官的工作是要权衡雇主的合理商业利益与员工谋生就业的权利与自由。
雇主的合理商业利益有三种，为了保护 （1）商业秘密； （2）机密信息； （3）名誉等无形资产。“商业机密”和“机密信息”在法律上有一定的定义，必须满足一定的条件，具体可以阅读我今年一月五日的“Myths of Trade Secrets”。无形资产通常是指利用雇主的资源开发出来的客源、商标、专利等有价值的资产。通常来讲，销售人员利用自己人际关系开发出来的客源属于他自己的资产，雇主不能进行竞争限制。
如果雇主要只是要限制前员工为其竞争对手工作，这不属于雇主受保护的合理的商业利益。通常来讲，限制竞争的约束通常用于能接触到机密信息的各个部门的高层工作人员，一般不用于低层员工。
为了保护合理正当的商业目的，限制竞争的范围、时间长度、和地理范围也都要是合理的。当然每个行业由于销售范围和特性的不同有自己的特殊性。合理度由案例法所定义。雇主的意向和金融状况、员工的职位描述、以及员工谋生的能力和需求等因素都会是考虑因素。
如果必要，雇主应该在员工开始工作时就让其签署这个限制竞争的合约。如果雇主在员工即将离职时才匆忙地达成协议，就有可能造成很多问题。
Friday, July 5, 2013
买卖生意的限制竞争
大约一年以前，我的一个朋友买了一家按摩店。最近，他告诉我卖家打算在他的按摩店旁边再开一家按摩店，他问我作为买方，他应该采取什么行动防止他的正当权利受到侵害。
在买卖生意的大部分情况下， 买家很重要的一个考虑因素是卖家是否应该被一个防竞争的合约限制。卖家通常对卖出公司的名誉等无形资产做出了贡献，所以如果卖家在公司出手后跟原来的公司竞争，原公司就有可能在买家手里降值。所以我强烈建议在买卖合同中包括一个限制卖方竞争的条款。
在一般情况下， 法院审查买卖公司的防竞争协议会比审查雇主和员工防竞争协议稍微宽松点。他们会关注两方是否有相等的议价能力（比如双方是否都有律师代表审核合同等），出售所得款项能否在没有即时竞争的情况下支撑卖家，以及卖家有没有因为答应加入限制竞争的条件而提高卖价。如果名誉等无形资产是卖价的很大一部分，防竞争协议必须存在才可以保证买家公平地得到他所买到的商业的价值。即使如此，法院还会进行一些有限的审查来确认防竞争协议不违背大众利益。
在雇主和员工的防竞争协议与买卖生意限制竞争混合的情况下，就是说，卖家的高层管理人员在公司出售后到买方公司工作，法院更有可能按照买卖公司竞争协议判定。
如果买卖的公司是在麻省以外的州，双方应该参考哪个州的相关法律。就算合同上专门声明采用麻省法律，如果纠纷发生在其他省的管辖内，而那个省的法律与麻省冲突， 那个声明有可能会不适用。
在买卖生意的大部分情况下， 买家很重要的一个考虑因素是卖家是否应该被一个防竞争的合约限制。卖家通常对卖出公司的名誉等无形资产做出了贡献，所以如果卖家在公司出手后跟原来的公司竞争，原公司就有可能在买家手里降值。所以我强烈建议在买卖合同中包括一个限制卖方竞争的条款。
在一般情况下， 法院审查买卖公司的防竞争协议会比审查雇主和员工防竞争协议稍微宽松点。他们会关注两方是否有相等的议价能力（比如双方是否都有律师代表审核合同等），出售所得款项能否在没有即时竞争的情况下支撑卖家，以及卖家有没有因为答应加入限制竞争的条件而提高卖价。如果名誉等无形资产是卖价的很大一部分，防竞争协议必须存在才可以保证买家公平地得到他所买到的商业的价值。即使如此，法院还会进行一些有限的审查来确认防竞争协议不违背大众利益。
在雇主和员工的防竞争协议与买卖生意限制竞争混合的情况下，就是说，卖家的高层管理人员在公司出售后到买方公司工作，法院更有可能按照买卖公司竞争协议判定。
如果买卖的公司是在麻省以外的州，双方应该参考哪个州的相关法律。就算合同上专门声明采用麻省法律，如果纠纷发生在其他省的管辖内，而那个省的法律与麻省冲突， 那个声明有可能会不适用。
Tuesday, July 2, 2013
Non-Compete Issues in Sales of Business
A good friend bought a message saloon about a year ago. He recently sought my advice on his causes of action against the seller who sold him the saloon. Why? The seller planned to open up a new message saloon next to his.
In most cases of the sale of business, it is important to consider whether the seller should be bound by a covenant to prevent competition in the selling of a business. The seller contributed to the value of the business's goodwill, if the seller competes with the old business after it has been sold, the value may be diminished in the hands of the buyer.
It is highly recommended that an express Non-Compete agreement or provision be included in the contracts of the sale. If it does not exist, Massachusetts courts take the position that an agreement not to compete in such a manner is usually recognized as implied.
The courts usually look at business sale Non-Compete agreements with less scrutiny than employer-employee Non-Competes, and focus on equal bargaining power, whether sale proceeds provide the seller with support without need of immediate competition, and if a premium is paid so the seller agrees not to compete. If goodwill is a large part of sale, a Non-Compete agreement is necessary to make sure the buyer fairly receives what he/she bought. However, the courts may still engage in some limited scrutiny to make sure the Non-Compete is not against public interest.
In hybrid situations when the seller becomes an employee in the sold business to provide assistance to the transition, both the business sale and employer-employee Non-Compete could be related. In such a case, the courts have ruled that the business sale agreement would most likely apply.
If the purchase is of a business in a state outside of Massachusetts, one should review that state's law. Even if the agreement specifically states that Massachusetts law applies, it might be rejected if the dispute ends up in foreign jurisdiction and the two laws contradict.
In most cases of the sale of business, it is important to consider whether the seller should be bound by a covenant to prevent competition in the selling of a business. The seller contributed to the value of the business's goodwill, if the seller competes with the old business after it has been sold, the value may be diminished in the hands of the buyer.
It is highly recommended that an express Non-Compete agreement or provision be included in the contracts of the sale. If it does not exist, Massachusetts courts take the position that an agreement not to compete in such a manner is usually recognized as implied.
The courts usually look at business sale Non-Compete agreements with less scrutiny than employer-employee Non-Competes, and focus on equal bargaining power, whether sale proceeds provide the seller with support without need of immediate competition, and if a premium is paid so the seller agrees not to compete. If goodwill is a large part of sale, a Non-Compete agreement is necessary to make sure the buyer fairly receives what he/she bought. However, the courts may still engage in some limited scrutiny to make sure the Non-Compete is not against public interest.
In hybrid situations when the seller becomes an employee in the sold business to provide assistance to the transition, both the business sale and employer-employee Non-Compete could be related. In such a case, the courts have ruled that the business sale agreement would most likely apply.
If the purchase is of a business in a state outside of Massachusetts, one should review that state's law. Even if the agreement specifically states that Massachusetts law applies, it might be rejected if the dispute ends up in foreign jurisdiction and the two laws contradict.
Saturday, March 2, 2013
麻州工作场所的反报复申诉
麻州法律禁止雇主在雇员由于受歧视而行使法律保护的行为后报复雇员。看似简单的一条法律，雇员要证明雇主违反这条法令却不容易。
首先，雇员要属于某一个受麻州反歧视保护的范围，比如少数族裔、年龄（大于40）、残疾、怀孕、宗教信仰。国籍等。第二，雇主有歧视的行为发生。第三，雇员对雇主的歧视行驶法律保护的权利，最常见的是向公司人事部反映、在麻州反歧视委员会(Massachusetts Commission Against Discrimination - MCAD)或者联邦平等劳工机会委员会（EEOC）投诉。最后，雇主必须对雇员采取不利行动，比如大量降薪、降低职位、大幅度减少职责、解雇等。
很多时候，这个反报复申诉与歧视诉讼是分不开的，但有意思的是，有时候，即使最后歧视的申诉被裁定不成立，如果员工能证明他合理相信雇主有歧视的行为发生，报复申诉还是可能成立的。歧视很难有直接证据，更多的是间接证据，从雇主的言行中总结归纳出来的。
雇员行驶法律保护的权利最好在雇主的报复行为之前发生，但两个事件之间间隔的时间不能太长也不能太短。太短太长都很难证明前面的事件和后面的事件有因果关系。如果是解雇，雇主的辩护通常是员工的表现问题不是由于歧视。这时员工要仔细看下雇主提出的工作表现问题是过去就存在还是歧视事件发生前后的新问题，同时员工也要竭力为自己辩护雇主提出的表现问题是否有任何是由于雇主恶意行为或报复所造成。
如果员工觉得雇主有可能违反该法令，应该向MCAD投诉，这是必经的行政途径。这类案子员工是投诉人，必须先举证。MCAD收到投诉后，会给雇主一定的时间提交答复。然后如双方同意案子既可以由MCAD调解，也可以开始调查，由MCAD决定有否有“可能原因”。调解是比较经济快捷的方法，大多数当事人都会采用。调解会通常安排在投诉之后几个月内，双方当事人必须出席，如有律师，律师必须出席，会议三个小时。目的是双方同意一个索赔方案。如果走调查判决那条路，时间会由一年到几年不等，路漫漫其修远兮，而且还不知道精力和时间的投入会带来什么结果。MCAD允许的索赔比较宽厚，包括失去的工资、有关医药费用、申诉人律师费用、精神索赔等。精神索赔很难放上一个筹码，每天案子不同。
首先，雇员要属于某一个受麻州反歧视保护的范围，比如少数族裔、年龄（大于40）、残疾、怀孕、宗教信仰。国籍等。第二，雇主有歧视的行为发生。第三，雇员对雇主的歧视行驶法律保护的权利，最常见的是向公司人事部反映、在麻州反歧视委员会(Massachusetts Commission Against Discrimination - MCAD)或者联邦平等劳工机会委员会（EEOC）投诉。最后，雇主必须对雇员采取不利行动，比如大量降薪、降低职位、大幅度减少职责、解雇等。
很多时候，这个反报复申诉与歧视诉讼是分不开的，但有意思的是，有时候，即使最后歧视的申诉被裁定不成立，如果员工能证明他合理相信雇主有歧视的行为发生，报复申诉还是可能成立的。歧视很难有直接证据，更多的是间接证据，从雇主的言行中总结归纳出来的。
雇员行驶法律保护的权利最好在雇主的报复行为之前发生，但两个事件之间间隔的时间不能太长也不能太短。太短太长都很难证明前面的事件和后面的事件有因果关系。如果是解雇，雇主的辩护通常是员工的表现问题不是由于歧视。这时员工要仔细看下雇主提出的工作表现问题是过去就存在还是歧视事件发生前后的新问题，同时员工也要竭力为自己辩护雇主提出的表现问题是否有任何是由于雇主恶意行为或报复所造成。
如果员工觉得雇主有可能违反该法令，应该向MCAD投诉，这是必经的行政途径。这类案子员工是投诉人，必须先举证。MCAD收到投诉后，会给雇主一定的时间提交答复。然后如双方同意案子既可以由MCAD调解，也可以开始调查，由MCAD决定有否有“可能原因”。调解是比较经济快捷的方法，大多数当事人都会采用。调解会通常安排在投诉之后几个月内，双方当事人必须出席，如有律师，律师必须出席，会议三个小时。目的是双方同意一个索赔方案。如果走调查判决那条路，时间会由一年到几年不等，路漫漫其修远兮，而且还不知道精力和时间的投入会带来什么结果。MCAD允许的索赔比较宽厚，包括失去的工资、有关医药费用、申诉人律师费用、精神索赔等。精神索赔很难放上一个筹码，每天案子不同。
Sunday, February 3, 2013
Employee Misclassified as Independent Contractor; Employee Seeks Triple Damage for Owed Wage and Overtime
Employer shall be very cautious about classifying an individual as independent contractor rather than an employee. If you are an independent contractor and suspect that you should have been treated as an employee, you are protected by Massachusetts law. If your employer violates Massachusetts wage and hour law by owing you wages and overtime pay, you can be awarded treble damage.
It is illegal for an employer to misclassify an individual as an independent contractor rather than an employee in order to avoid paying payroll tax, social security, worker’s compensation, unemployment benefit premium, and other benefits. The biggest common mistake is that employers think if they call an individual independent contractor, IRS will simply acknowledge this characterization. This is not the case. This is not about the label, but about the factors that determine the label.
Our employment law presumes an individual performs services as an employee unless the employer can overcome the presumption by meeting some requirements. The general test is the employer’s right to control and direct the individual’s work. An employer of an employee controls not only what the employee does, but also how he does his work. Independent contractor enjoys more freedom and less control from the employer as to the content and the manner he performs his work. Factors to consider include degree of control, employer’s right to discharge, employer’s delegation of work, hiring practice, training, place of work, duration of relationship, nature of the trade, intent of the parties.
Massachusetts’s employment law makes it difficult to classify an individual as independent contractor. Employer’s misclassification may cause serious violations of employment law, tax law, and benefit law. The Attorney General’s Office will prosecute the employer who violates this law. The punishment is fine, civil and even criminal liabilities. Depends on employer’s intent of violation and seriousness of the offense, the fine could be $10,000 to $50,000 and up to 2 years jail time. Not only the company, but an officer, agent or employee of the company may also be personally liable for the misclassification.
Moreover, if an employee files the complaint in the court and prevails on claims of wage and/or overtime pay owed by the employer, whether due to misclassification or not, court can award the plaintiff triple damage plus attorney’s fee and cost.
It is illegal for an employer to misclassify an individual as an independent contractor rather than an employee in order to avoid paying payroll tax, social security, worker’s compensation, unemployment benefit premium, and other benefits. The biggest common mistake is that employers think if they call an individual independent contractor, IRS will simply acknowledge this characterization. This is not the case. This is not about the label, but about the factors that determine the label.
Our employment law presumes an individual performs services as an employee unless the employer can overcome the presumption by meeting some requirements. The general test is the employer’s right to control and direct the individual’s work. An employer of an employee controls not only what the employee does, but also how he does his work. Independent contractor enjoys more freedom and less control from the employer as to the content and the manner he performs his work. Factors to consider include degree of control, employer’s right to discharge, employer’s delegation of work, hiring practice, training, place of work, duration of relationship, nature of the trade, intent of the parties.
Massachusetts’s employment law makes it difficult to classify an individual as independent contractor. Employer’s misclassification may cause serious violations of employment law, tax law, and benefit law. The Attorney General’s Office will prosecute the employer who violates this law. The punishment is fine, civil and even criminal liabilities. Depends on employer’s intent of violation and seriousness of the offense, the fine could be $10,000 to $50,000 and up to 2 years jail time. Not only the company, but an officer, agent or employee of the company may also be personally liable for the misclassification.
Moreover, if an employee files the complaint in the court and prevails on claims of wage and/or overtime pay owed by the employer, whether due to misclassification or not, court can award the plaintiff triple damage plus attorney’s fee and cost.
Thursday, January 17, 2013
What an Individual Needs to Know When Soliciting Investment in Massachusetts
The growing force of cross border equity investment, whether with respect to EB-5 immigration projects or other emerging businesses, have created alarming and ample opportunities for companies and individuals to violate Securities law.
Just recently, I am handling several investment disputes, when the company misrepresented material information that the investor relied on when making the decision. In all these cases, individuals working as the investment agents facilitating the investment and getting commission are not registered with the State government.
In Massachusetts, an individual who is getting paid by engaging in selling, effecting and soliciting securities or offers investment advice shall pass professional exams and register with Massachusetts Securities Division. Different rules apply to person who works for a Financial Industry Regulatory Authority (FINRA) registered company and those who are not FINRA registered company. Almost all financial service or broker dealers are FINRA companies. Narrow exception applies.
“Security” could be a lot of things. The most common ones are stock, equity ownership in any business and EB-5 investment. They may also be partnership interest in LLC, LP or LLP. Promissory notes, investment in real estate or derivative may also be counted. A lot of people become investment advisors by accident, most times, not even knowing their activities shall be governed by State securities agency. It is irrelevant what your title is on the business card, it is your actual activities that define whether you are investment agent or advisor. Failure to register may cause government to stop your activity and/or impose penalties. Federal Securities regulations have separate requirements.
Investment broker or advisor cannot intentionally or negligently misrepresent the investment opportunity. Meaning, they shall not lie about any material aspect of the company that investor rely on in making investment decisions. Neither can they lie about a known fact nor can they omit material information. Penalties could be administrative injunction, repay the investors capital they invested, or even criminal liabilities.
Just recently, I am handling several investment disputes, when the company misrepresented material information that the investor relied on when making the decision. In all these cases, individuals working as the investment agents facilitating the investment and getting commission are not registered with the State government.
In Massachusetts, an individual who is getting paid by engaging in selling, effecting and soliciting securities or offers investment advice shall pass professional exams and register with Massachusetts Securities Division. Different rules apply to person who works for a Financial Industry Regulatory Authority (FINRA) registered company and those who are not FINRA registered company. Almost all financial service or broker dealers are FINRA companies. Narrow exception applies.
“Security” could be a lot of things. The most common ones are stock, equity ownership in any business and EB-5 investment. They may also be partnership interest in LLC, LP or LLP. Promissory notes, investment in real estate or derivative may also be counted. A lot of people become investment advisors by accident, most times, not even knowing their activities shall be governed by State securities agency. It is irrelevant what your title is on the business card, it is your actual activities that define whether you are investment agent or advisor. Failure to register may cause government to stop your activity and/or impose penalties. Federal Securities regulations have separate requirements.
Investment broker or advisor cannot intentionally or negligently misrepresent the investment opportunity. Meaning, they shall not lie about any material aspect of the company that investor rely on in making investment decisions. Neither can they lie about a known fact nor can they omit material information. Penalties could be administrative injunction, repay the investors capital they invested, or even criminal liabilities.
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