Legal Ethics and Professional Responsibility Commons^™

Regulation Priorities For Artificial Intelligence Foundation Models, Matthew R. Gaske

Vanderbilt Journal of Entertainment & Technology Law

This Article responds to the call in technology law literature for high-level frameworks to guide regulation of the development and use of Artificial Intelligence (AI) technologies. Accordingly, it adapts a generalized form of the fintech Innovation Trilemma framework to argue that a regulatory scheme can prioritize only two of three aims when considering AI oversight: (1) promoting innovation, (2) mitigating systemic risk, and (3) providing clear regulatory requirements. Specifically, this Article expressly connects legal scholarship to research in other fields focusing on foundation model AI systems and explores this kind of system’s implications for regulation priorities from the geopolitical and …

"Head-Of-State-Owned Enterprise" Immunity, Pammela S. Quinn

Vanderbilt Journal of Transnational Law

While other wealthy individuals and businessmen have served and do serve as heads of state, the Trump presidency appears to be unique in terms of the global scope of the President's business interests, his propensity to be sued, and his disinterest in disentangling his business interests from his official agenda. This Article conceptualizes Trump's many business holdings and licenses under the Trump Organization International umbrella as a "head-of-state-owned enterprise." This raises issues similar to cases involving both head-of-state and state-owned enterprise immunity. Considering existing immunity doctrines, including gaps and contested areas in the law pertaining to them, the Article identifies …

Setting Attorneys' Fees In Securities Class Actions: An Empirical As, Lynn A. Baker, Michael A. Perino, Charles Silver

Vanderbilt Law Review

n 1995, Congress overrode President Bill Clinton's veto and enacted the Private Securities Litigation Reform Act ("PSLRA"), a key purpose of which was to put securities class actions under the control of institutional investors with large financial stakes in the outcome of the litigation.' The theory behind this policy, set out in a famous article by Professors Elliot Weiss and John Beckerman, was simple: self-interest should encourage investors with large stakes to run class actions in ways that maximize recoveries for all investors. These investors should naturally want to hire good lawyers, incentivize them properly, monitor their actions, and reject …

The Disappearing Fourth Wall: Law, Ethics, And Experiential Theatre, Mary Lafrance

Vanderbilt Journal of Entertainment & Technology Law

The cutting edge of experiential theatre blurs the lines between performer and audience. Both the performer and the audience are vulnerable. Audiences may be subject to assaultive or disturbing behavior or images. The performance may take place in an unconventional venue that poses safety hazards. A single audience member may be alone with a performer, who may engage in provocative or shocking behavior, including verbal abuse or touching. The performer may invite similar conduct from the participant. Typically, the participant does not know in advance what will take place and does not sign a waiver. While the performer has a …

The Psychic Costs Of Violating Corruption Laws, Philip M. Nichols

Vanderbilt Journal of Transnational Law

Understanding corruption is imperative for legal scholarship, both as an intellectual subject and because corruption impedes the operation of law in much of the world and inflicts damage on well-being, governance, and quality of life. Legal scholars have contributed substantial quantitative research on corruption; this paper adopts a qualitative methodology. The similarities and differences between Singapore and Malaysia present opportunities for research. Interviews with discussants in those two countries indicate a real difference in the degree to which corruption laws have been internalized. Differences in the degree of internalization suggest differences in the psychic costs imposed by violation of corruption …

The Magic Circle, Joshua A.T. Fairfield

Vanderbilt Journal of Entertainment & Technology Law

This Article examines the concept of the "magic circle," the metaphorical barrier that supposedly excludes real-world law from virtual worlds. The Article argues that this metaphor fails because there is no "real" world as distinguished from "virtual" worlds. Instead of a magic circle, this Article advocates a rule of consent: actions in a virtual world give rise to legal liability if they exceed the scope of consent given by other players within the game. The Article concludes that although real-world law cannot reasonably be excluded from virtual worlds, game gods and players can control the interface between law and virtual …

How Can Japanese Corporations Protect Confidential Information In U.S. Courts?, Masamichi Yamamoto

Vanderbilt Journal of Transnational Law

U.S. courts have seen a significant increase in the number of lawsuits involving both U.S. and Japanese corporations. In deciding these cases, U.S. courts may have to choose how to apply the attorney-client privilege to in-house lawyers retained by corporations in Japan, where the legal system and discovery rules are fundamentally different from those of the United States. U.S. courts would most likely analyze these situations under the Remy-Martin/Minolta test and recognize the attorney-client privilege only for managers of legal departments in Japanese corporations, not for other non-bengoshi (non-licensed) in-house lawyers. This will change in the near future, however, when …

The Role Of The Corporation In Fostering Sustainable Peace, Timothy L. Fort, Cindy A. Schipani

Vanderbilt Journal of Transnational Law

This Article demonstrates that there is a plausible, conceptual relationship among corporate governance, business ethics, and sustainable peace. First, the Authors begin by outlining the benefits of and protests against globalization and the reciprocal benefits between geopolitical entities and economic activity. The Article then details specific historical events that foreshadow patterns in the relationship between business and sustainable peace. In looking more closely at those patterns, the Authors argue that through economic progress and mitigation of rivalries in the workplace, multinational corporations can contribute to sustainable peace. Thus, if this argument is correct, the stakes increase dramatically for corporations to …

Nonlegal Regulation Of The Legal Profession: Social Norms In Professional Communities, W. Bradley Wendel

Vanderbilt Law Review

In this Article, Professor Wendel analyzes the advantages and disadvantages of community-based responses to unethical behavior by lawyers. The limits of formal legal regulation of the legal profession are well known. Additional questions have been raised about the efficacy of motivating lawyers to act ethically merely by giving appropriate instruction. What is left, therefore, is a complex and little-studied, but very real, array of informal sanctions. These sanctions are controlled by individual members of the professional community, not by the court or organized bar, and therefore operate largely without the transparency and procedural regularity of formal legal regimes. The advantage …

Harmonization Or Homogenization? The Globalization Of Law And Legal Ethics--An Australian Viewpoint, Steven Mark

Vanderbilt Journal of Transnational Law

This Article examines the pressures of globalization on the practice of law and legal ethics from an Australian perspective. The Article first examines the positive aspects of globalization and then turns to the potentially disruptive and homogenizing aspects of globalization upon indigenous and non-Western societies. Next, the Article considers how globalization threatens to disrupt tradition and culture in Western societies, specifically focusing on the tradition of the law and legal practice. Finally, the Author discusses the response of the Australian legal profession to the demands of globalization. The Author examines changes that have been implemented to the legal practice and …

Comments Of A Commissioner, Peter D. Ehrenhaft

Vanderbilt Journal of Transnational Law

These comments are solely the views of Peter D. Ehrenhaft, one of the twelve members of the ABA Commission on Multijurisdictional Practice. They are not the official views of the Commission and, indeed, may be modified by the presenter based on the further information the Commission is now gathering from interested parties. These comments are intended to stimulate thought and discussion of the issues and to encourage all sectors of the profession to submit their views to the Commission. The final deadline for the submission of written materials for the Commission's consideration in the preparation of its Initial Draft Report …

Ethics Beyond The Horizon: Why Regulate The Global Practice Of Law?, Christopher J. Whelan

Vanderbilt Journal of Transnational Law

This Article explores whether global self-regulation of the legal profession is desirable. The Author explains that as global law practice has grown over the past decade, so has the desire to formulate global rules of professional responsibility. The Article focuses on large law firms offering transnational legal services in many countries. The Author addresses whether and for whom the aspiration to deliver core values at the global level is desirable. He does so by comparing the rhetoric of global self-regulation with the reality of global law practice. In reality, the global law practice has undermined the power of nation states …

The Legacy Of Geographical Morality And Colonialism: A Historical Assessment Of The Current Crusade Against Corruption, Padideh Ala'i

Vanderbilt Journal of Transnational Law

This Article examines the legacy of the rule of geographical morality--that is, the norm by which a citizen of a country in the North may engage in acts of corruption in any country in the South, including bribery and extortion, without the attachment of any moral condemnation to those acts. Part I of the Article begins by reviewing the impeachment trial of Warren Hastings, who served as the Governor of Bengal from 1772 until 1785, on charges of bribery and corruption. It was during that impeachment proceeding when the words "principle of geographical morality" were used to describe Hastings' defense. …

Legal Malpractice: The Profession's Dirty Little Secret, Manuel R. Ramos

Vanderbilt Law Review

Legal malpractice is a taboo subject. It has been ignored by the legal profession,' law schools, mandatory continuing legal education ("CLE") programs, and even by scholarly' and lay publications. Unfortunately, our perception of legal malpractice, up until now, has been highly distorted by secretive insurance companies, confidential settlement agreements, and a questionable American Bar Association ("ABA") Study. Nonetheless, sharply contrasting portraits of legal malpractice have emerged: either it is just a minor problem of "weeding out" a few "bad apples," or it is the tip of an "iceberg," ready to overwhelm the legal profession. The ABA Study has fostered the …

Exporting Cigarettes: Do Profits Trump Ethics And International Law?, Robbie D. Schwartz

Vanderbilt Journal of Transnational Law

In recent years, United States cigarette manufacturers have focused their efforts on foreign markets, especially Asia, Eastern Europe, and Third World states. This Note examines the impetus behind the manufacturers' strategy, as well as the ethical and legal conflicts it creates.

The increase in United States cigarette exports results from a decline in the United States market, favorable market conditions abroad, and United States legislation that encourages foreign trade. While cigarette manufacturers point to the positive impact tobacco has on the United States economy, others argue that increased exportation inevitably will result in catastrophic health consequences worldwide. This Note explores …

The Noblesse Oblige Tradition In The Practice Of Law, David Luban

Vanderbilt Law Review

In 1905 Louis D. Brandeis delivered a talk entitled The Opportunity in the Law to the Harvard Ethical Society.' It was delivered as a pep talk, what Harvard Law Professor Duncan Kennedy, seventy-six years later, would refer to as "the old address to the troops." Brandeis hoped to rally law students to his vision of the moral possibilities of legal practice-specifically, the elite corporate legal practice into which Brandeis could assume his audience would enter. Brandeis was concerned that elite lawyers were becoming thralls of robber-baron capitalists, that they were ignoring the possibilities of law practice as a kind of …

The Professional Responsibility Of The Law Professor: Three Neglected Questions, Monroe H. Freedman

Vanderbilt Law Review

Law professors have a great deal to say about the ethics of law practitioners. We write law review articles about lawyers' professional responsibilities, and we have participated in drafting codes of conduct for practicing lawyers.

Many of us bring to that task a significant perspective. We can be both informed about and detached from the pressures of daily practice. We are free of involvement or (worse yet) identification with particular clients. Indeed, in choosing to become law professors, we have made the choice to dissociate ourselves from contact with clients.

Not surprisingly, therefore, most law professors tend to minimize the …

Professional Competence And Social Responsibility: Fulfilling The Vanderbilt Vision, Sandra D. O'Connor

Vanderbilt Law Review

In our laudable attempt to train law students to "think like lawyers" by teaching them legal method, we must not lose sight of the fact that questions of professional responsibility cannot properly be resolved with the same legal framework of analysis. Rather,we must see that as professionals with almost exclusive access to our system of justice, we have moral responsibilities totally outside the scope of the legal rules, and not amenable to analysis in terms of legal method. It is time to return to consideration of the moral and spiritual foundations of our legal system. It is time to train …

Admission To The Bar: A Constitutional Analysis, Ben C. Adams, Edward H. Benton, David A. Beyer, Harrison L. Marshall, Jr., Carter R. Todd, Jane G. Allen Special Projects Editor

Vanderbilt Law Review

This Special Project examines and analyzes selected constitutional challenges to requirements for permanent and temporary admission to the bar. In the area of permanent admission, the Special Project looks at constitutional challenges to three qualifications typically required of bar applicants by states: demonstration of good moral character, successful completion of a bar examination, and residency. In the area of admission "pro hac vice", the Project examines constitutional challenges to the basis on which judges have denied temporary admission to an applicant.

Recent Publications, Journal Staff

Vanderbilt Law Review

Bakke, DeFunis, and Minority Admissions: The Quest for Equal Opportunity

By Allan P. Sindler.

Sindler describes the admissions programs at the Universities of Washington and California-Davis, and the respective experiences of Marco DeFunis and Allan Bakke that preceded their litigation. Then, documenting the disparity in academic qualifications between accepted minorities and rejected nonminorities, Sindler addresses the broad issue before the courts. Is the reservation of academic "places" for minorities an inherently two-track system, which operates as an illegal quota to exclude "better-qualified" applicants; or may a school utilize race as a basis for selection in order to fulfill other commitments …

Access To The Work Product Of An Attorney Disqualified For Opposing A Former Client: First Wisconsin Mortgage Trust, Edward S. Annunziato

Vanderbilt Law Review

The purposes of this Recent Development are to analyze the effect of the Seventh Circuit's work product decision on disqualification standards and to develop a consistent framework for determining whether access to the work product of an attorney disqualified for opposing a former client should be allowed. This Recent Development urges that in order to provide the effective guidance necessary for both voluntary compliance and judicial enforcement, the Code must incorporate those judicial standards that most closely reflect its standards in this area. Thus the Recent Development proposes an Ethical Consideration regarding access to work product that reflects the ethical …

Regulating Conflict Of Interest Of Public Officials: A Comparative Analysis, Ross F. Cranston

Vanderbilt Journal of Transnational Law

Conflicts between the public duties and private interests of government officials have received considerable attention and have produced a variety of legislative and executive actions. President Carter laid down high standards of behavior for his appointees; Congress tightened its financial disclosure requirements in 1977 and the Ethics in Government Act of 1978 embodies some of these measures in legislation. Britain established a register of Parliamentarians' interests in 1975 and a Royal Commission has made a report on the standards of behavior in public life. An Australian Joint Parliamentary Committee recommended a register of Parliamentarians' interests in 1975, and now a …

A Remedy For The Discharge Of Professional Employees Who Refuse To Perform Unethical Or Illegal Acts: A Proposal In Aid Of Professional Ethics, Jon P. Christiansen

Vanderbilt Law Review

This note will discuss first the duties demanded of a professional in the proper exercise of his ethical responsibilities, including conduct demanded both by criminal statutes and by professional codes of conduct. Secondly, an examination will be made of three alternatives for the enforcement of professional ethics without the necessity of a right to recovery in the discharged employee. Thirdly,the limitations of traditional master-servant theory will be discussed as they relate to a possible cause of action for an "abusive discharge." Finally, this cause of action will be proposed and a consideration will be made of the elements of the …

Book Review, W. Leslie Peat

Vanderbilt Law Review

The Ethical Investor is, despite its flaws, as thorough and comprehensive a treatment of the problems of universities and corporate responsibility as might be desired. It should be required reading for university trustees, and it offers many valuable insights to the general reader. Although it may appear that student and faculty interest has diminished somewhat during the past two years, it is nearly a certainty that this has been more the result of an intelligent and sincere response by university administrators and trustees than of any profound change in the climate of opinion. If the universities continue to respond in …

Elliott E. Cheatham: His Contributions To A Developing Sense Of Professional Responsibility, Robert E. Mathews

Vanderbilt Law Review

It may not, after all, be difficult to be a nunc pro tunc prophet, but it takes real imagination to think of it. Hindsight is quite another matter; all of us are constantly explaining how a better decision years ago would have made for a happier world today. But to think in 1947 of assuming oneself to have been prophesying in 1897 as to what would be the state of affairs fifty years thence reveals an imaginative gift of some magnitude. Not only does it offer a sure-fire guaranty of accuracy of prediction, but also it dramatizes the fallibility of …

Book Reviews, Henry N. Wieman, Jerome Hall

Vanderbilt Law Review

The problem discussed by Professor Stumpf in his book Morality and the Law can be summarized by these questions: Do we have two kinds of prescribed conduct, one prescribed by morality independent of the government, the other prescribed by government independent of morality? Or is prescription by government necessarily moral because government is necessarily moral by reason of being the government? If not, under what conditions, if any, does prescription by government become a moral prescription? Under what conditions, if any, is government, by law, a matter of expedience, not to be confused with morality?

reviewer: Henry Nelson Wieman

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Class Gifts Of Future Interests: When Is Survival Required?, Herman L. Trautman

Vanderbilt Law Review

Because of recent significant developments, this article will under-take to deal with the requirement of survival in class gifts of future interests both with respect to the responsibility of a lawyer who plans an estate and with the problem confronting the courts in the many cases where either holographic wills are allowed or lawyers fail to discharge their professional responsibility concerning this litigious issue. By way of introduction, it will first stress the importance of a proper training for professional responsibility in this area. It will then attempt to provide a proper perspective for the courts to deal with the …

Legislation, Law Review Staff

Vanderbilt Law Review

Federal Diversity Jurisdiction--Citizenship for Unincorporated Associations

In 1889 the United States Supreme Court ruled in Chapman v.Barney' that a New York joint stock company was not to be considered a "citizen" for purposes of federal diversity jurisdiction. This decision provided the basis for the rule that unincorporated associations are not considered juridical persons, and that the citizenship of their individual members is determinative of federal diversity.

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Protecting the Client When His Lawyer Dies

The problems which arise when a practicing attorney suddenly diestake many shapes. Those which face the law firm are of both an ethical nature, involving the …

The Ethical Foundation For The Pragmatic Conception Of Justice, Anton Donoso

Vanderbilt Law Review

Since the death of John Dewey ten years ago, his thought has been the subject of a number of works, some of the most significant of which deal with his philosophy of law and of justice. The question of his conception of justice arises out of his general effort to show that the resolution of moral conflicts between various claimants is possible by the use of the scientific method, by which is meant intelligent examination justified by reliable public test through reference to consequences. This entails the formulation of a norm of justice that is both valid (true) and morally …

Book Note, Law Review Staff

Vanderbilt Law Review

Donald K. Carroll, Judge of the District Court of Appeal, First District of Florida, has presented in this book a treasure house of materials useful to every judge. Included in it are writings from a multitude of sources, published both in this country and Europe. The book's primary purpose is to provide an anthology of inspirational and helpful literary gems for use by judges in their work; its secondary purpose is to give source materials for preparing speeches or writings on judicial subjects.