A Call to All Artists
October 5th, 2008In 2007 Antidote International Films Inc sued Laura Albert, claiming she had committed fraud when she signed a contract to turn Sarah into a feature film as JT Leroy. She was found guilty. Her fans are not the only ones who find this absurd. The Authors Guild wrote an amicus brief in response to the verdict, supporting Laura for the obvious reason that no fraud was committed. What is important to understand is that this verdict is a threat to all artists. It infringes upon free speech. For those of you who care not only about Laura but all writers and artists, here is the complete amicus brief. It’s good to know Laura has support.
Antidote International , Inc Vs Underdogs, Inc., Laura Albert
INTEREST OF AMICUS AUTHORS GUILD, INC.
The Authors Guild respectfully submits that the decision of the United
States District Court for the Southern District of New York with
regard to Plaintiff’s breach of contract claim, was not only
inconsistent with the evidence presented at trial, but also will have
negative repercussions extending into the future for many authors.
The right to free speech, and the right to speak and write anonymously
are rights protected by our Constitution, and the district court’s
decision which holds that Laura Albert’s use of pseudonym breached the
Option and Purchase Agreement, is one that will have a chilling effect
upon authors wishing to exercise their right to write anonymously.
Based on the foregoing, the Authors Guild respectfully requests that
this Court reverse its decision on Plaintiff’s claim for breach of
contract.
MB: please put with a link: (Read entire Amicus Brief below)
Even the trial judge was mystified by Antidote’s motives. In his
words, “The mystery to this case, the enigma wrapped inside a
riddle…is why a film company would spend about 3 times what they are
asking for in damages in their own lawyers fees…”
But there is really no mystery. Antidote got just what it wanted: a
renewed license to grab Laura Albert’s intellectual property and her
life story. As they have made clear to the press:
“Mr. Levy Hinte went into this knowing he wouldn’t likely recover all
the money he put into it. We knew Laura Albert doesn’t have deep
pockets,” said Gregory Curtner, the producer’s lawyer. Curtner said
Levy-Hinte would pursue collection actions and try to force Albert to
liquidate her assets.” (New York Post, August 1, 2007)
And, said Levy Hinte himself, “‘Somebody could make a good movie out
of it, if they wanted.’ He went on to say that if Ms. Albert, who
never made a fortune from her literary works, could not afford to pay
the judgment, he might have to consider laying claim to the rights to
her past and future books.” New York Times, June 23, 2007.
INTEREST OF AMICUS AUTHORS GUILD, INC.
The Authors Guild, Inc. founded in 1912, is a national non-profit
association of more than 8,200 professional, published writers of all
genres. The Guild counts historians, biographers, academicians,
journalists and other writers of nonfiction and fiction as members.
The Authors Guild works to promote the rights and professional
interests of authors in various areas, including copyright, freedom of
expression and taxation. In the area of copyright, the Guild has
fought to procure satisfactory domestic and international copyright
protection and to secure fair payment of royalties, license fees and
non-monetary compensation for authors’ work. Guild attorneys annually
help hundreds of authors negotiate and enforce their publishing
contracts.
Authors Guild members earn their livelihoods through their writing.
Their work covers important issues in history, biography, science,
politics, medicine, business and other areas; they are frequent
contributors to the most influential and well-respected publications
in every field.
The Authors Guild is extremely concerned about the implications of the
decision below. The district court’s monetary judgment against Laura
Albert suggests that the terms of literary contracts and motion
picture option agreements signed by authors can be expanded far beyond
their explicit terms and can be the basis for claims of fraud and
breach of contract against authors. The claims in this case are based
on a total misinterpretation of standard clauses in both book
contracts and motion picture purchase agreements.
Laura Albert wrote the book “Sarah” under a pseudonym, a time-honored
literary device and one sanctioned by the United States Copyright Law.
Yet because her real name was not used in the motion picture option
and purchase agreement, Antidote International Films, Inc.
(”Antidote”) brought actions for fraud and breach of contract against
her on the ground that the listed name was not the true “sole author”
of the work. And the district court endorsed those claims by its
judgment below. Antidote in fact received all the necessary rights it
sought in order to prepare a motion picture version of “Sarah.” Yet
because it then asked for and did not receive more than it had
bargained for — namely the life story rights of the author — it
commenced this far-fetched action that threatens the rights of all
authors who sign literary purchase agreements under a pseudonym. For
these reasons the Author’s Guild is submitting this amicus brief.
SUMMARY OF ARGUMENT
In the Nineteenth Century, the works of women authors were frowned
upon in England and elsewhere around the world. The three Bronte
sisters, Emily Bronte, Anne Bronte and Charlotte Bronte initially
wrote their books under the names of Ellis Bell, Acton Bell and Currer
Bell. Charlotte Bronte explained the reasons for this decision:
Averse to personal publicity, we veiled our own names under those of
Currer, Ellis, and Acton Bell; the ambiguous choice being dictated by
a sort of conscientious scruple at assuming Christian names positively
masculine, while we did not like to declare ourselves women, because
– without at that time suspecting that our mode of writing and
thinking was not what is called “feminine” — we had a vague
impression that authoresses are liable to be looked on with prejudice;
we had noticed how critics sometimes use for their chastisement the
weapon of personality, and for their reward, a flattery, which is not
true praise.
Mary Ann Evans wrote her great books (”Middlemarch,” “Daniel Deronda,”
“Silas Marner”) under the name “George Eliot,” largely because female
authors were not considered serious literary figures at the time, for
the reasons stated by Charlotte Bronte. Her companion for over twenty
years, George Henry Lewes, initially negotiated on her behalf with
publishers, claiming that the true author wished to remain anonymous.
If he had, on some occasions, pretended to be the “George Eliot” who
actually wrote the book, but the contracts were signed by the real
author, no publisher could have had the basis for any complaint. The
publisher received the necessary rights and could publish the works.
Exactly the same situation is present here. Antidote received all the
rights it needed to prepare a motion picture. Underdogs, Inc (Albert’s
personal services corporation) was the “owner” of the necessary
rights. It possessed the copyright and motion picture rights which it
could and did convey to the motion picture production company. There
was no breach of any of the terms of the contract. The decision below
should be reversed and the complaint should be dismissed.
ARGUMENT
THERE WAS NO BREACH OF ANY OF THE TERMS
OF THE OPTION AND PURCHASE AGREEMENT
It was Antidote’s theory that defendants had committed a breach of a
number of the clauses of that contract. In particular it claimed that
there was a breach of the “sole author” clause of the option and
purchase agreement signed by Underdogs. That provision reads:
9. Representations and Warranties. Owner hereby represents and warrants that:
(a) JT LeRoy is the sole author of the work and Owner is the sole and
exclusive owner and proprietor throughout the universe of the Work and
any and all Granted Rights granted to Producer herein;
(b) Owner has the full right, power and authority to enter into this
Agreement and grant Producer all the Granted Rights herein provided
for;
(c) The Work is not in the public domain in any country in the world
which provides for a copyright or similar protection;
(d) The Work and the Property is wholly original with Owner and no
incident therein or part thereof is taken from, based upon, or adapted
from any other literary material, dramatic work or motion picture
(other than material in the public domain) and exploitation of the
Granted Rights, the full use of the Work or any part thereof, and
exploitation of the Granted Rights as herein granted will not to best
of Owner’s knowledge in any way violate or infringe upon any copyright
belonging to any Person or constitute a libel or defamation of, or an
invasion of the rights of privacy of or otherwise violate or infringe
upon any other right or rights whatsoever of any Person;
(e) To the best of Owner’s knowledge, there is no outstanding claim or
litigation pending against the title or ownership of the Work and/or
the Property or any part thereof or in the rights therein;
(f) Owner has not assigned or licensed to any other Person or in any
manner encumbered or hypothecated any of the Granted Rights herein
granted to Producer with respect to the Work or the Property nor has
Owner agreed to do so.
(g) Owner acknowledges and agrees that the Work may be used in any
manner and by any and all means, whether now known or unknown, and
either factually or with such fictionalization, portrayal, action,
dialogue, impersonation, simulation and/or imitation or other
modification as Producer, its successors and/or assigns, determine in
Producer’s sole discretion.
Plaintiff asserts that the there was a “false representation and
warranty as to the author and ownership of the novel Sarah.” (Compl.
Par. 117) and the court allowed the jury to consider this argument on
the breach of contract claim.
However there was nothing false in JT LeRoy (Laura Albert) making the
representations cited. There was no “false representation” involved in
“JT LeRoy” saying she was the “sole” author. She was the “sole”
author.
The warranties and representations clause of the contract is
corresponds to the warranties clause of every option and literary
purchase agreement involving motion pictures. It is also typical of
the representation and warranty clause of every book publishing
contract or of any music publishing or recording contract.
The purpose of the clause is to insure that the purchaser (movie
production company, book publisher, record company) has acquired all
the necessary rights to prepare a motion picture, book or record, that
there is no defect in the author’s title and that there is no other
co-author who could convey rights to a competitor. This purpose is
explained in one of the leading treatises on entertainment contracts.
See 1 Entertainment Industry Contracts: Negotiating and Drafting
Guide, “Motion Pictures Contracts,” by Jay Kenoff, Form 3-2, p. 3-44,
(LexisNexis, 2006). Mr. Kenoff explains, in discussing the terms of an
option agreement, similar to those involved here:
In acquiring a literary property, the purchaser must be assured that
it is acquiring all the rights necessary for a picture to be based
upon the literary property and that it is not subjecting itself to any
third party claims. Accordingly, the purchaser wants to receive
adequate assurances that the owner has outright ownership of the
literary property if the owner did not create it, and that the owner
has a valid claim of title from the author or that the literary
property was the original creation of the owner.
Mr. Kenoff explains the same principle in discussion the terms of a
final Literary Purchase Agreement:
The purchaser [of the literary rights] will require various
representations and warranties from the owner concerning the source,
chain of title and ownership of the property. Such representations and
warranties provide some security to the purchaser concerning the
rights being acquired, because the purchaser wants to obtain the
property without potential suits or claims. Id, Form 4-1, p. 4-17
With respect to the “sole” ownership language, Mr. Kenoff has the
following comments:
An essential representation and warranty from the owner is that the
owner is the sole and exclusive proprietor of the property. Without
this representation and warranty, the purchaser may be acquiring a
claim from the real owner or a co-owner or possibly even nothing.
In other words, the purpose of the “sole author” clause is not to
assure the purchaser that the listed name of the author is or is not a
pseudonym or pen name. Rather the purpose is to assure the purchaser
that it has acquired all the necessary rights to be able to make the
film, and no third party can come forward to claim any rights in the
property.
But that latter representation is absolutely true in this case. There
is no doubt that JT LeRoy/Laura Albert is the author of the work.
There is no doubt that she created the work, owns it and is in a
position to convey all the film rights in the work. There is no third
party that can claim any rights in the work that would interfere with
the purchaser’s right to make the film. That is all that the
representation and warranties clause is designed to cover, as noted
above.
If an erroneous name is used to sign a contract but the person
controlling the rights does in fact sign the contract, that person is
bound by its terms. See e.g. In re Excel Stores, Inc., 341 F.2d 961
(2d Cir. 1965)(corporate officer signed contract under erroneous name
of company; company still bound by agreement since error considered
minor). That has been the rule in common law jurisdictions for
centuries. See David v. Williamsburgh City Fire Insurance Co. 38
Sickels 265 (N.Y. 1880):
And DALY, Ch. J., in the Petition of John Snook (2 Hilton, 566), after
a learned and exhaustive examination of the whole subject of names,
said: “There are numerous cases, both in this country and in England,
holding that where a man enters into a contract or does any act in a
particular name, he may be sued by the name that he used, whatever his
true name may be, and generally that wherever a man has done an act in
a particular name, or where he makes a grant, it may always be shown
in support of the validity of the act, that he was known by that name
at or about the time when the act was done, though he may have been
baptized or previously known by a different name. All that the law
looks to is the identity of the individual, and when that is clearly
established the act will be binding upon him and upon others.” Surely
if a mere mark or figures or initials will bind one who uses them in
the execution of a contract or conveyance with intent to be bound, he
will, for the same reasons, be bound if he uses certain letters of a
fictitious name with the same intent. Henry J. David assumed the name
of Marx David, and executed the papers in that name, intending that
they should be effectual to vest title in the plaintiff, and I know of
no rule of law which requires that intent to fail.
If Laura Albert was bound by the contract even if another name was
used (as she was, as plaintiff readily agrees), that must mean that
she necessarily conveyed the rights and made the representations
contained in the contract. But that must mean that she was bound as
the real author to convey all the necessary rights in the contract.
That she did and plaintiff has therefore suffered no wrong since it
obtained what it had bargained for.
To interpret the clause as requiring that only the author’s true name
must appear in a contract or there is some kind of breach is to ignore
the fact that many authors have written under a pseudonym over the
centuries. Aside from the Bronte’s and George Eliot, we have Lewis
Carroll (Charles Dodgson), Mark Twain (Samuel L. Clemens) George
Orwell (Eric Blair) and many others. The Copyright Law explicitly
allows pseudonymous works to be registered for copyright, 17 U.S.C. §
302(c).
There are many cases which acknowledge the legality and legitimacy of
pen names or pseudonymous names by an author. The Supreme Court upheld
the use of anonymous names in the electoral process in McIntyre v.
Ohio Elections Com’n, 514 U.S. 334 (1995). In describing that case, a
federal court noted the protection afforded anonymous literature in
all its phases.
Then came the Supreme Court’s decision in McIntyre v. Ohio Elections
Com’n, 514 U.S. 334, 115 S.Ct. 1511, 131 L.Ed.2d 426 (1995). In
McIntyre, a pamphleteer challenged a fine imposed by the Ohio
Elections Commission for distributing anonymous leaflets opposing a
proposed school tax. Noting early on in the opinion that there was “no
suggestion that the text of her message was false, misleading or
libelous,” Justice Stevens analyzed the right of a person to remain
anonymous. The court found that historically “anonymous pamphlets,
leaflets, brochures and even books have played an important role in
the progress of mankind” quoting Talley v. California, 362 U.S. 60, 80
S.Ct. 536 at 538, 4 L.Ed.2d 559 (1960)
In re Baxter, 2001 WL 34806203 (W.D. La. December 20, 2001) *9.
In Roddy Eden v. Clemens, 202 Misc. 261, 264, 108 N.Y.S. 597, 600
(Sup. Ct. N.Y. Cty 1952), the Court noted:
It is not an instance of writing under a nom de plume. In such a case,
regardless of the pen name employed by the writer, he is, in truth,
the real author and is not exploiting the ability, talent and
authorship of another, palming it off under the false pretense that it
is his own. In the former instance, it is, however, the true and real
author, but merely employing a pseudonym, which is permissible in the
field of literature and recognized in law. Clemens v. Bedford, Clark &
Co., C.C., 14 F. 728, 729. (emphasis added)
The Clemens case cited involved another author using the name “Mark
Twain” on a book that Samuel Clemens did not write. The Court found:
In other words, no person has the right to hold another out to the
world as the author of literary matter which he never wrote; and the
same rule would undoubtedly apply in favor of a person known to the
public under a nom de plume, because no one has the right, either
expressly or by implication, falsely or untruly to charge another with
the composition or authorship of a literary production which he did
not write. 14 Fed. at 731.
Thus Laura Albert could validly use a pseudonym in connection with the
movie contract so long as the she (or a company she controlled) in
fact conveyed the necessary rights.
Plaintiff also claims that defendants violated Paragraph 8(a) of the
agreement which granted Plaintiff the right to “utilize Owner’s name,
approved likeness, and approved biography in connection with the
Work…and advertising and publicity relating thereto; provided,
however, that Owner shall have the right to approve…any likeness and
biography used in this connection.”
The purpose of the name and likeness provision is to avoid any right
to publicity or right to privacy claims brought by the underlying
author. Without this provision, the author might object to any use of
her name in any advertising or promotion of the work.
Many courts have recognized that a use outside the scope of the
permission granted in a contract not only constitutes breach of
contract, but also gives rise to an action by the licensor for
invasion of privacy or infringement of the right of publicity. See
Dzurenko v. Jordache, Inc., 59 N.Y.2d 788, 464 N.Y.S.2d 730, 451
N.E.2d 477 (1983) (”For a use beyond the granted consent [plaintiff]
has an action under [New York privacy and publicity statute] … and
is not limited to an action sounding in contract”); Leavy v. Cooney,
214 Cal.App.2d 496, 501, 29 Cal.Rptr. 580 (1963) (use of outside
agreement constitutes both breach of contract and tortious invasion of
privacy); Zim v. Western Pub. Co., 573 F.2d 1318, 1327 (5th Cir.1978)
(use of author’s name outside of use permitted in publishing contract
is tortious, interpreting Florida law); Donoghue v. IBC USA
(Publications) Inc., 70 F.3d 206 (1st Cir.1995) (use in advertising
that is not authorized by the license between the parties constitutes
violation of Massachusetts’ privacy/publicity statute); Seifer v. PHE,
Inc., 196 F.Supp.2d 622, 631 (S.D.Ohio 2002) (grant of sub-license was
not authorized by the license and triggered a claim for infringement).
See also Rivell v. Private Health Care Systems, Inc., 520 F.3d 1308
(11th Cir. 2008)(use of doctors’ names to advertise health care
systems constitutes misappropriation of identity).
Under these circumstances, Antidote suffered no injury or damages. To
the extent it claims that the corporate veil of Underdogs should be
pierced or the contract reformed to include these obligations imposed
on the author, there is nothing in the record to indicate that it
would not have had such the right to use either the pseudonym or the
real name of the author in any promotion or advertising of the final
film. See e.g., Zim v. Western Publishing, Inc. supra, 573 F.2d at
1327: “Western’s right under the contract to publish the book in these
circumstances operates as an authorization sufficient to privilege
Western’s use of Zim’s name as a matter of tort law as well.”
CONCLUSION
The Authors Guild respectfully submits that the decision of the United
States District Court for the Southern District of New York with
regard to Plaintiff’s breach of contract claim, was not only
inconsistent with the evidence presented at trial, but also will have
negative repercussions extending into the future for many authors. The
right to free speech, and the right to speak and write anonymously are
rights protected by our Constitution, and the district court’s
decision which holds that Laura Albert’s use of pseudonym breached the
Option and Purchase Agreement, is one that will have a chilling effect
upon authors wishing to exercise their right to write anonymously.
Based on the foregoing, the Authors Guild respectfully requests that
this Court reverse its decision on Plaintiff’s claim for breach of
contract.
Dated: New York, New York
August 13, 2008
Respectfully submitted,
NESENOFF & MILTENBERG, LLP
By: __________________________
Phillip Byler, Esq.
363 7th Avenue, 5th Floor
New York, NY 10001-3904
Counsel for The Authors Guild, Inc.
I, Phillip Byler, certify that I have scanned for viruses the PDF
version of the attached document that was submitted in this case as an
email attachment to 1 <briefs@ca2.uscourts.gov>, and
<civilcases@ca2.uscourts.gov> and that no viruses were detected.
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(Your Signature) _______/s/ Phillip Byler__________
Phillip Byler, Esq.
Date: 08/13/2008__________
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