# U n i t e d S t a t e s C o u r t o f A pp e a l s

For the Eig hth Circu it

_ _ _ _ __ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _

No . 1 8 -2 8 50

_ _ _ _ __ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _

J o s ep h S. Vo n Kaen el

ll l l l l l l l l l l l l l l l l l l l Pl a in t i

f f - Ap p el l an t

v

.

Arm s t ro ng Teas d al e, LLP

l l l l l l l l l ll l l l l l l l l l l Def

en da n t - Ap

p el l ee

_

_ _ _ _ _ _ _ _ _ _ _

Ap p eal fro m

Un i t ed St at es Di s t ri ct Co u rt

fo r t he Eas t ern Di s t ri ct o f M i s s o u ri - St . Lo u i s

_

_ _ _ _ _ _ _ _ _ _ _

Su bm i t t ed : Sep tem

ber 2 4, 2 0 19

Fi l ed : Decem

b er 3 , 2 0 1 9

_ __ _ _ __ _ __ _ _

Befo re SM ITH, Ch i ef J u d g e, BEAM an d ERICKSON, Ci rcu i t J u d ges

.

_ __ _ _ __ _ __ _ _

ERICKSON, Ci rcu i t J u dg e.

Th e l aw f

i r m o f Arm s t ro n g Teas d al e, LLP (“ Arm s t ro n g T eas d al e” o r “ t h e

fi rm ”) h as a p ro v i s i on i n i t s part ners h i p ag reem en t t h at req ui res m an d at o ry ret i rem en t

at ag e 70 . J o s ep h S. v o n Kaen el (“ v o n Kaen el ”), an eq u it y part ner at th e fi rm

, fi l ed

t h i s act i o n al l eg i n g th e fi rm ’ s m an d at o ry req ui rem en t p o l i cy is i n v i o l at io n o f t h e Ag eDi s cri m i n at i o n i n Em p l oy m en t Act (“ ADEA”), 2 9 U .S.C. § 6 2 1 et s eq

. T h e d i s t ri ct

co u rt 1 g ran t ed ju d g m en t on t h e pl ead in g s i n fav o r o f A rm s t ro ng Teas d al e. W e affi rm

.

I

. Ba ck g ro und

Arm s t ro n g Teas d al e em

p l o y ed v on Kaen el as an at t o rn ey fro m J u n e 1 , 1 9 7 2,

t h ro u g h Decem

b er 3 1

, 2 01 4

. He b ecam e a p art n er on J an u ary 1

, 1 97 8

, an d at t h e t i m e

o f h is ret i rem en t wa s an eq u i t y p art ner. 2 As an eq u i t y p art n er, v o n Kaen el h ad t h e

ri gh t t o v o t e o n ch an g es t o t h e p art n ers h i p ag reem en t. Acco rd i n g t o t es t i m o n y v o n

Kaen el p ro v id e d i n s t at e co u rt p ro ceed in g s rel at ed t o a d i s cri m i n at i o n cl ai m h e s o u g ht

t o p urs ue u n d er t h e M i s s o u ri Hu m an Ri gh t s Act (“ M HRA”), h i s p ay was b as ed o n a

“ co m p l i cat ed cal cu l at io n p u rs u an t t o t h e p art n ers h i p ag reem en t

. ” Aft er b eco m i n g a

p art n er i n t h e fi rm

, v on Kaen el ’ s co m p en s at i o n was rep o rt ed o n a Sch ed ul e K-1 fo r

t ax p u rp o s es

, rat h er t h an on a Fo rm W -2

. Prem i u m s fo r h eal t h i ns u ran ce an d 4 0 1 k

co n tri b u t i o n s were d ed u ct ed fro m p art n er d i s t ri b u t i o n s. A l t ho u g h t h e fi rm as s i g n ed

a co m m i t t ee t o s et an d rev i ew at t o rn ey s ’ h o u rl y rat es , t he o n e t i m e t h at v o n Kaen el

req u es t ed t h at h e b e al l o wed t o red u ce hi s h o u rl y rat e fo r a p art i c u l a r c l i en t

, h i s

req u es t was ap p ro v ed

. Wh i l e no t g i v en u n fet t ered d i scret i o n t o set h i s h ou rl y rat e,

v o n Kaen el was res p o ns i b l e fo r t h e wo rk p erfo rm ed o n b eh al f o f h i s cl i en t s an d h i s

s u b s t an t i ve w o rk wa s n o t r e v i ewed b y t h e p ract i ce g ro up lead er. As an eq u i t y

p art n er, v o n Kaen el h a d t h e r i g h t t o v ot e o n accep t in g n ew p art n ers i n t o t h e

p art n ers hi p

. Hi s em

pl oy m en t co u l d be term i n at ed on l y b y vo t e o f t h e o t h er p art n ers

o r b y o p erat i o n o f t h e m an d at ory ret i rem en t p ol i cy

.

1 Th e Ho n o rab le H e n r y E d ward Au t rey

, Un i t ed St at es Di s t ri ct J u dg e fo r t h e

Eas t ern Di s t ri ct o f M i ss ou ri

.

2 It m ay b e t h at i t was act u al l y v o n Kaen el ’ s p ro fes s i o nal co rp o rat i o n an d n ot

v o n Kaen el h i m s el f t h a t w a s t h e e q u i t y p art n er o f t h e fi rm

. He was t h e as s o ci at ed

s h areh o ld er o f a pro fes s i o n al co rp o rat i o n

, Jo s ep h S. vo n Kaen e l

, P

. C

. , wh i ch v o n

Kaen el creat ed an d t h ro u g h wh i ch i t ap p ears h e m ay h av e ex erci s ed h i s eq ui t y p art n er

ri gh t s. Th i s t ech ni cal i s s u e h as n o i m pact o n o u r an al y si s

.

-2

-On e o f t h e pro vi s io ns i n t h e p art n ers h i p ag reem en t req u i red eq u i t y part n ers to

l eav e t h e fi rm at t h e en d of t he cal en d ar y ear i n wh i c h t h e eq u i t y p art n er t u rn ed 7 0

y ears o f ag e, u n l es s t hat m an ag i n g p art n er al l o wed an ex cep t i o n

. An o t h er p ro v i s i o n

en t i t l ed an eq u i t y p art n er to sev eran ce b en efi ts fo r t wo y ears aft er ret irem en t, s o l o n g

as t h e p art n er d i d n ot en gag e i n t h e p ri v at e p ract i ce o f l aw.

In No v em

b er 2 0 1 4, v o n Kaen el reach ed 7 0 y ears o f ag e. He h as al l eg ed t h at

b u t fo r th e fi rm ’ s m an d at o ry ret i rem en t p o l i cy

, he wo u l d h av e ret ired at o r aro u n d ag e

7 5 an d wo u l d h a v e s t o p ped p ract i ci n g l aw at t hat ti m e. Becau s e v o n Kaen el

co n ti n u ed t o p r a c t ice l aw aft er l eav i n g Arm s t ro n g Teas dal e, u n d er t h e p art n ers h ip

ag reem en t

, v o n K aen el was i nel i g ib l e to recei v e t he t wo y ear’ s o f s ev eran ce b en efi t s

t h at h e wo u l d h av e b een en t it l ed to i f h e h ad n o t en gag ed i n t h e p ri v at e p ract i ce o f

l aw.

Bel i ev i ng t hat t h e fi rm ’ s m an d at o ry ret i rem en t p o l i cy was d i s cri m i n at o ry

, o n

Decem b er 1 1, 2 01 4

, v o n Kaen el fi l ed a ch arg e o f ag e d i s cri m i n at i o n wi t h t h e Eq u al

Em p l o y m en t Op p o rt u n i t y Co m m i s s io n (“ EEOC”) an d t h e M i s so u ri Co m m is s i o n o n

Hu m an Ri g h t s (“ M CHR”). Th e M CHR i s s u ed a n ot i ce o f term i n at i on o f p ro ceed i ng s

b as ed o n i t s fi n d i n g t hat v o n Kaen el was 70 y ears o l d an d

, t h erefo re, fel l o u t s i d e t h e

p ro t ect ed ag e g ro u p. Aft er t h e t erm i n at i o n n ot i ce, v o n Kaen el fi l ed a p et i t i o n fo r a

wri t o f m an d am

u s i n t h e Ci rcu i t Co u rt fo r Co l e Co un t y

, M i s s ou ri

, req u es t i ng t h at t h e

co u rt o rd er t h e M CHR t o i s s u e a n o t i ce o f t h e ri gh t to s u e o r

, i n t h e al t ern at i v e, to

d i rect t h e M CHR t o reo p en t h e cas e an d co m p l et e a f u l l i n v es ti g at i o n o f h i s

co m p l ai n t

. T h e Co l e Co u n t y co u rt h el d an ev i d en t i ary heari n g o n t h e i s s u e o f

wh et h er v o n Kaen el was a n “ em p l oy ee” p ro t ect ed b y t h e M HRA. Th e co u rt

d et erm i n ed th at as an eq u i t y p art n e r, v o n Kaen el was n o t a co v ered em p l o y ee

p ro t ect ed b y

t h e M H RA an d d i s m i s s ed h is m an d am u s p et i t i o n

.

-3

-On J u n e 2 4

, 2 0 1 6

, v o n Kaen el recei v ed a ri g h t t o s u e l e t t er fro m th e EEOC.

He fi l ed t h i s act i on o n S e pt em b er 1

, 2 0 16

, al l eg i n g d i s cri m i n at o ry t erm in at i o n in

v i o l at i o n o f t h e ADEA. T h e d i s t ri ct co u rt g ran t ed ju d g m en t on t h e pl ead i n gs i n fav o r

o f Arm s t ro n g Teas d al e, co n cl u d i n g ( 1 ) v o n Kaen el i s co l l at eral ly es t o p p ed fro m

rel i t i gat in g t h e Co l e Co u n t y co urt ’ s d eci s i o n th at h e i s n o t an “ em p lo y ee” co v ered by

t h e MHRA, an d (2 ) b ecau se, l i ke t h e M HRA, t h e ADEA o n l y ap pl i es to em p l o y ees

,

v o n Kaen el ’ s ADEA cl ai m n eces s ari l y

fai l s

.

On ap p eal

, vo n Kaen el rai s es t w o i s s u es : (1 ) co l l at eral es t op p el i s i n ap p l i cab l e

b ecau s e t h e s t at e co u rt ’ s d eci s i o n was b as ed u po n t h ree al t ern at i ve fi n d i n g s an d t h e

fi nd i ng t hat v o n Kaen el was n o t an em p l o y ee co v ered u nd er th e M HRA was n ot

es s en t i al t o t h e co urt ’ s d eci s i o n

, an d (2 ) a d i fferen t res u l t i s warran t ed b ecau s e

M i s s ou ri d o es no t d efi ne th e t erm “ em p l o y ee” u n d er th e M HRA i n t h e s am e way as

t h e fed eral co u rt s d efi n e t hat t erm u n d er t h e ADEA.

I I

. Di s cus s i o n

W e rev i ew a d i s t ri ct co u rt ’ s g ran t o f ju d g m en t o n t h e p l ead i n g s d e n o vo

.

Cl em o n s v

. Crawfo rd

, 5 8 5 F.3 d 1 11 9

, 11 2 4 (8 th C i r

. 2 0 0 9 )

. Th e m o v an t b ears t h e

b u rd en o f “ cl earl y es t ab li s h [i n g ] t h at t h ere are n o m at eri al i s s u es o f fact an d t h at i t i s

en t i t l ed t o ju d g m en t as a m at ter o f l aw.” Po ro u s Med i a Co rp

. v

. Pal l Co rp

., 1 8 6 F.3 d

1 0 7 7

, 1 0 7 9 (8 t h Ci r. 1 99 9 ). At t h i s s t ag e i n t he pro ceed in g s

, we v iew al l fact s p l ed

b y vo n Kaen el as t ru e an d g ran t h i m al l reas o n ab l e in feren ces

. Cl em o n s

, 58 5 F.3 d

at 1 1 2 4 (q u o t i n g Po eh l v

. Co un t ry wi d e H o m e Lo an s

, In c., 5 2 8 F.3 d 1 0 9 3

, 1 0 9 6 (8 th

Ci r. 2 0 08 )).

W h i l e a co u rt gen eral l y m ay n o t co n si der m at t ers ou t s i d e t h e p l ead i n g s o n a

m o ti o n fo r ju d gm en t o n t h e p l ead i n g s

, ex cep t i o n s i n cl ud e: “ m at t ers i n co rp o rat ed by

referen ce o r i n t e g ral t o t h e cl ai m

, i t em s s u bject t o ju d i ci al n o t i ce, m at t ers o f p u b l i c

reco rd

, o rd ers

, i t em s ap p eari n g i n t h e reco rd o f t h e cas e, an d ex h i b i ts at t ach ed t o t h e

-4

-co m

p l ai n t w h o s e au t h en t ici t y i s u n q u es t i o n ed .” Wi l l i am s v

. Em p lo y ers M u t

. Cas

.

Co

., 84 5 F.3 d 8 9 1 , 9 03

– 0 4 (8 t h Ci r. 2 0 17 ) (q u o t i n g Mi ll er v

. Red wo od To xi co l o gy

Lab

. , In c., 6 8 8 F.3 d 9 28

, 9 31 n .3 (8 t h Ci r. 2 0 1 2 )). Here, b o t h part i es h av e ex t en s i v el y

r e feren ced an d arg u ed ab o u t t h e i m p act o f t h e s t at e co u rt pro ceed i n g s o n v o n

K a e n el ’ s fed eral A DEA cl ai m

. A t ran s cri pt of p o rt i o n s o f v o n Kaen el ’ s t es t i m o n y

g i v en d u ri ng t h e st at e co u rt p ro ceed i n g s was m ad e p art o f t h e reco rd i n th i s cas e

wh en i t was at t ach ed to Arm s t ro n g Teas d al e’ s m o ti on fo r ju dg m en t o n th e p l ead i n g s

.

At n o t i m e h as v on Kaen el q u es t i o n ed t h e au t h en t i ci t y o f t h e p ort i on s o f th e tran s cri pt

s u b m i t t ed t o t h e d i s tri ct co u rt

, s o u gh t t o su p pl em en t th e p art i al t ran s cri p t

, o r as s ert ed

t h at h i s s t at e co u rt t es t i m o n y m ay n o t b e co n s id ered i n d eci d i n g wh et h er h e h as

s u ffi ci en t l y p l ed a co g n i zab l e fed eral ADEA cl ai m

. W e, t h erefo re, fi n d i t p erm i s s i b l e

t o co n si d er v on Kaen el ’ s t es t i m o n y wh en co n du ct i n g o u r d

e n o vo rev i ew.

T h e ADEA an d t h e M HRA are s i m i lar s t at u t ory s ch em es th at p ro h i b i t

d i s cri m i n at i o n in em

p l oy m en t ag ai n s t p ro tect ed cl as s es

. T h e ADEA m ak es i t

u n l awfu l fo r an em

p l oy er t o t ak e ad v ers e act i o n ag ai n s t an em p l o y ee “ b ecau se o f s u ch

i n d i v i d u al ’ s ag e.” 29 U.S.C. § 6 2 3 (a). Su b j ect t o cert ai n ex cep t i o ns n o t rel ev an t

h ere, t h e ADEA u n h el p fu l l y d efi n es “ em p l o y ee” as “ an i n d i v id u al em p l o y ed b y an y

em pl o y er.” 2 9 U.S.C. § 6 3 0 (f). An “ em p l o y er” i s d efi ned as “ a p ers o n

. . . wh o h as

t wen t y or m ore em

pl oy ees fo r each wo rk i ng d ay i n each of t wen t y o r m o re cal en d ar

week s i n t h e cu rren t o r p reced i ng cal en dar y ear.” 2 9 U.S.C. § 6 30 (b ). As p art o f t h e

ADEA, Co n gres s el ect ed to a llow c o m p u l s o ry ret i rem en t p o l i ci es fo r in d i v i d u al s wh o

h av e at t ai n ed 6 5 y ears o f ag e an d wh o fo r t h e t wo years b efo re ret i rem en t were

“ em p l o y ed i n a b o n a fi d e ex ecu t i v e o r a h i gh p o l i cy m ak i n g p o s i t i o n ” s o l o n g as t h e

i n d i v i d u al is “ en ti t l ed t o an i m m ed i at e no n fo rfei t ab l e an n u al ret i rem en t b en efi t fro m

a p en s i o n

, p ro fit- sh ari n g

, s av i n gs

, o r d eferred co m p en s at i o n p l an

, o r an y co m b i n at i o n

o f s u ch p l an s , o f t h e em

p l o y er o f s u ch em

p l o y ee, wh i ch eq u al s , i n t h e ag g reg at e, at

l eas t $4 4 ,0 0 0 .” 2 9 U.S.C. § 6 3 1 (c).

-5

-W h et h er a p art n er i n a fi rm m ay b e d eem ed “ an em p l o y ee” of t h e fi rm an d t hu s

an ADEA b en efi ci ar y is a m at t er of fi rs t i m p res s i o n fo r u s

. Th e Un i t ed St at es

Su p rem e Co u rt i n t h e co nt ex t o f an A m eri can s wi th D i s ab i l i t i es Act cl ai m ex p l ai n ed

t h at res o l u t io n o f wh et h er s h areh o l d er-d i rect o r p h y s i ci an s t h at are p art o f a

p ro fes s i on al co rp o r a t i o n are em p l o y ees “ d ep en d s o n ‘ al l o f t h e in ci d en t s o f t h e

rel at i o n s h i p

. . . wi t h n o o n e fact o r b ei n g d eci si v e.’ ” Cl ack am as Gas t ro en t ero l o gy

As s oci at es

, P.C. v . W el ls , 5 3 8 U.S. 4 4 0 , 4 5 0 (2 0 03 ) (q u o t in g Nat i o n wi d e M u t . In s

.

C o

. v

. D ard en

, 50 3 U.S. 3 1 8

, 32 4 (1 9 9 2)). Th es e fact o rs i n cl u d e: (1 ) wh et h er t h e

o rg an i z a t i o n c a n h i re o r fi re t h e i n d i vi d ual o r s et ru l es an d reg u l at i o n s fo r t h e

i n d i v i d u al ’ s w o r k ; (2 ) wh et h er an d t o wh at ex t en t t h e o rg an i zat i o n s u p erv i s es t h e

i n d i v i d u al ’ s wo rk ; (3 ) wh et h er t h e i n d i v id u al rep o rt s t o s o m eo n e h i g her i n t h e

o r g a n i z a t i o n ; (4 ) wh et her an d to wh at ex t en t t h e i n d iv i d u al i s ab l e t o i n fl u en ce t h e

o rg an i zat i o n ; (5 ) w h et h er t h e p art i es i n t e n d e d t h e i nd i vi d u al t o be an em p lo y ee, as

ex p res s ed i n w ri t t en co n t ract s o r ag reem en t s ; an d (6 ) wh et h er t h e i n d i v i d u al s h ares

i n t h e p ro fi t s

, l o s s es

, an d l i ab i l it i es o f t h e o rg an i zat i o n

. Id

. (q u o t i n g E EOC

Co m p l i an ce M an u al § 6 0 5: 0 0 0 9 ).

O t h er ci rcu i t s rel y i n g o n m an y o f t h es e fact o rs h av e d et erm i n ed t h at p art n ers

o r s h areh o l d ers ves t ed w i t h an o wn ers h i p i n t eres t an d/ o r au t h o ri t y t o m an ag e an d

co n tro l t h e fi rm o r co rp o rat io n are n o t “ em pl o y ees ” co vered u nd er t h e ADEA. See,

e.g

., Sch m id t v

. Ot t awa M ed

. Ct r., P.C., 3 2 2 F.3 d 4 6 1

, 46 8 (7 th Ci r. 20 0 3 ) (a fam i l y

p ract i ce ph y s i ci an wi t h t he s t at u s o f sh areh o l der-d i rect o r w ho had t he o p p ort u n i t y to

s h are co n t r o l o f a cl o s el y h el d p ro fes s i o n al co rp o rat io n was t reat ed as a b o n a fi d e

em pl o y er, no t an em

p l o y ee, fo r p u rp o s es of t h e ADEA); Fo u nt ai n v

. M et cal f, Zi m a

& Co

., P.A., 9 25 F.2 d 1 3 9 8

, 1 4 0 1 (1 1 t h Ci r. 1 9 91 ) (a s h areh o l d er i n a n a cco u n t i n g

fi rm was a p art n er, no t an em p lo y ee p erm i t t ed t o s ue u n der t h e ADEA); W h eel er v.

Hu rd m an

, 8 2 5 F.2 d 2 5 7, 2 7 7 (1 0 t h Ci r. 1 9 8 7 ) (b o n a fi d e g en e r a l part n ers i n an

acco u n t in g fi rm are n o t em p lo y ees u n d er fed eral an t i -d i s cri m i n at i o n l aws ).

-6

-Gu i d ed b y t h e fact ors s et o u t b y th e Un i t ed St at es Su p rem e Co u rt an d o u r

rev i ew o f t h e reco rd

, we fi n d t hat v o n Kaen el ’ s ro l e as eq u i t y p art n er at Arm s t ro n g

Teas d al e was n o t s i m

p l y a ti t le t h at carri ed n o l eg al s i g n i fi can ce. If we p eer b en eat h

t h e t i t l e an d p ro b e t h e act u al ci rcu m s t an ces o f v o n K aen el ’ s rel at i o ns h ip wi t h t h e

fi rm

, v on Kaen el ’ s u n d i s p u ted t es t i m o n y es t ab li s h es t h e fo l l o wi ng : (1 ) wh en v o n

Kaen el b ecam e a p art n er, h e w as req u i red t o m ak e a cap i t al co n t ri b ut i o n an d s i g n t h e

p art n ers hi p ag reem en t ; (2 ) v on Kaen el h ad t h e ri g ht t o v ot e o n ch an g es p ro p o s ed to

t h e part n ers h ip ag reem en t

, wh i ch i n cl u d ed t h e m an d at o ry ret i rem en t p ro v is i o n s ; (3 )

v o n Kaen el b en efi t t ed i n t h e fi rm ’ s p ro fi t s an d w as d i s ad v an t ag ed b y i t s l o s s es

, al b ei t

t h ro u g h “ a co m

p l i cat ed cal cu l at i on ”; (4 ) v o n Kaen el h ad t h e ri g ht to v o t e o n

ad m i s s i o n o f n ew part n ers t o t h e p art n ers hi p ; (5 ) v o n Kaen el ’ s h eal t h i n s u ran ce

p rem i u m s an d 4 0 1 k co n tri b u ti o n s were d ed u ct ed fro m p art n er d i st ri bu t i o n s ; (6 ) t h e

p ract i ce g ro u p l ead er d i d n o t rev i ew v o n Kaen el ’ s s u b s t an ti v e wo rk ; (7 ) wh i l e o t h er

m em b ers o f t he fi rm p art i ci pat ed i n s et t i n g t h e at to rn ey s ’ h o u rl y rat es fo r a p art i cu l ar

cl i en t, t h e o n l y t i m e v o n Kaen el req u es t ed t hat he b e al l o wed t o red u ce h i s h o u rl y rat e

t o wo rk wi th a p art i cu l ar cl i en t

, h i s req u es t was ap p ro v ed ; an d (8 ) o n ce Vo n Kaen el

b ecam e an eq ui ty p art n er, h e co u l d o n l y b e ex p el l ed fro m t h e fi rm b y vo t e o f t h e

p art n ers o r b y

o perat i o n o f t h e m an d at o ry ret irem en t p ro v i s i o n.

Al t h ou g h t h e d i s tri ct co u rt fo cu sed o n co l lat eral es t o p p el wh en g ran t i n g

ju d g m en t o n t h e p l ead i n g s

, “ w e m ay affi rm a ju dg m en t o n an y g ro u n d s up p o rt ed by

t h e reco rd .” Ad am & Ev e J on e s b o r o

, LLC v

. Perri n

, 93 3 F.3 d 9 5 1

, 9 5 8 (8 t h Ci r.

2 0 1 9 ) (ci t i n g L e d e rg erb er v

. St an g l er, 1 2 2 F.3 d 1 1 4 2

, 1 1 4 5 (8 th Ci r. 1 9 9 7 )). Th e

u n d i s p u t ed reco rd es t ab l i sh es t h at as an eq u i t y p art n er, v o n Kaen el ’ s co m p en s at i o n

s ch em e wh i ch i n cl u d ed s h ari n g i n t h e fi rm ’ s p ro fi t s an d lo ss es

, h i s ab i l i t y t o v o t e o n

ch an ges t o t h e fi rm ’ s p o li ci es o r ad m i s s io n o f n ew p art n ers , t h e l ack o f s u p erv i s i o n

o v er h i s s u b s t an ti ve wo rk

, th e i n fl u en ce h e h ad wh en req u es t i n g t o l o wer h is h o u rl y

r a t e f o r a cl i en t

, an d t h e l i m i t ed way s i n w h i ch h e co u l d b e ex p el l ed fro m t h e f i r m

s i m p l y d o n o t bear a cl o s e rel at i o n s h i p t o t h at o f an em p l o y ee. Co n s is t en t wi t h t h e

m a n n e r i n w h i ch th e t erm “ em p l o y ee” h as b een in t erp ret ed u n d er fed eral an t i

-

-7

-d i s cri m i n at i o n l aws

, we co n cl u d e v on Kaen el was n o t an em p l oy ee o f t h e fi rm an d,

t h erefo re, i s no t co v ered b y t he ADEA. Arm st ro n g Teas dal e i s en t it l ed t o ju d g m en t

as a m at t er o f l aw.

I I I

. Co ncl us i o n

Fo r t h e fo reg o i n g reas o n s , we affi rm t h e ju d g m en t o f t he d i s t ri ct co u rt

.

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-8

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