Legal Ethics and Professional Responsibility Commons^™

Chipping Away At Compliance: How Compliance Programs Lose Legitimacy And Its Impact On Unethical Behavior, David Hess

Brooklyn Journal of Corporate, Financial & Commercial Law

Employee perceptions of an organization’s compliance program are critical. A program that has lost legitimacy with its employees is not just ineffective, but it creates more harm than good by leading to more unethical behavior. This Article identifies ways in which compliance programs can start to lose legitimacy, explains how that lost legitimacy leads to increased wrongdoing, and then concludes by setting out some basic reforms focused on helping stop this downward spiral and protecting the legitimacy of the compliance function.

Compliance Officers: Personal Liability, Protections, And Posture, Jennifer M. Pacella

Brooklyn Journal of Corporate, Financial & Commercial Law

This Symposium Article will explore the evolving nature of the regulatory and enforcement landscape as it pertains to compliance officers, specifically regarding their susceptibility to personal liability. It will examine the posture of compliance officers in three contexts: i) as a possible target for enforcement activity by regulators; ii) as a quasi-professional subject to a current regime of “non-regulation”; and iii) as an employee in need of ample whistleblower protections, each of which create implications for a compliance officer’s risk of personal liability and protections as a constituent of the organization monitored. After considering the current guidance surrounding enforcement activity …

Social Responsibility Regulation And Its Challenges To Corporate Compliance, Stephen Kim Park

Brooklyn Journal of Corporate, Financial & Commercial Law

This Article addresses the intersection of corporate social responsibility and corporate compliance. In this context, the focus of this Article is on regulation that seeks to enhance socially responsible corporate conduct and its implications for the compliance function. Social responsibility regulation raises operational concerns for companies, including problems associated with assessing social performance, the proliferation and fragmentation of legal obligations, and the contested nature of the social issues that it addresses. As laws mandating socially responsible corporate conduct continue to grow in number and expand in scope, corporations will increasingly need to acknowledge and respond to these challenges.

Implementing Ethics Into Artificial Intelligence: A Contribution, From A Legal Perspective, To The Development Of An Ai Governance Regime, Axel Walz, Kay Firth-Butterfield

Duke Law & Technology Review

The increasing use of AI and autonomous systems will have revolutionary impacts on society. Despite many benefits, AI and autonomous systems involve considerable risks that need to be managed. Minimizing these risks will emphasize the respective benefits while at the same time protecting the ethical values defined by fundamental rights and basic constitutional principles, thereby preserving a human centric society. This Article advocates for the need to conduct in-depth risk-benefit-assessments with regard to the use of AI and autonomous systems. This Article points out major concerns in relation to AI and autonomous systems such as likely job losses, causation of …

Bioethics, Law, And The Opioid Crisis: Revisiting The Concept Of Incarceration Versus Rehabilitation, Zachary J. Krauss

Bioethics in Faith and Practice

The opioid crisis has taken America by storm and is causing more deaths each year than ever originally anticipated. Our current approach to addressing the opioid crisis involves two separate approaches, one from the medical/rehabilitation side of the problem, and one from the criminal justice side. This article serves as a revisiting of the discussion of the intricate balance that must be reached between rehabilitation and incarceration in order to adequately address the problem.

Spiritual-Moral Environment And Its Basic Indicators, Matlyuba Qaxxarova, Hamida Tuychieva

The Light of Islam

The article considers the problems of the spiritual and moral environment of society as a socio-historical phenomenon, the features of its development in a civil society and the laws of its development. The main attention is paid to ethical principles and means, ways to meet the needs of the individual, the importance of moral ideal, as well as objective conditions and subjective factors of the spiritual and moral environment.

In order to comprehensively improve the spiritual and moral climate in society, a philosophical approach to the question of the beliefs and beliefs of the individual was made in order to …

Centering Race At The Medical-Legal Partnership In Hawai’I, Dina Shek

University of Miami Race & Social Justice Law Review

No abstract provided.

Combating Judicial Misconduct: A Stoic Approach, Michael D. Cicchini

Buffalo Law Review

Judicial ethics rules require criminal court judges to be competent, even-tempered, and impartial. In reality, however, many judges are grossly ignorant of the law, incredibly hostile toward the defense, and outright biased in favor of the state. Such acts of judicial misconduct pose serious problems for the criminal defense lawyer and violate many of the defendant’s statutory and constitutional rights.

This Article presents a framework for the defense lawyer to use in combating judicial misconduct. The approach is rooted in a principle of Stoic philosophy called “negative visualization.” That is, the lawyer should anticipate and visualize judicial incompetence, hostility, and …

The Role Of “Coordinating Discovery Attorneys” In Multidefendant Federal Criminal Cases, Hannah Silverman

Fordham Law Review

The twenty-first century’s technological revolution has shifted the practice of law, including litigation, from being primarily paper-based to paperless. To manage the increasingly complex organization and review of evidence in civil and criminal cases, attorneys outsource legal tasks, work on teams, and use discovery coordinators. This Note examines the development of court-appointed coordinating discovery attorneys and their role in multidefendant federal criminal trials involving voluminous discovery. With a background in criminal defense and electronic discovery, these lawyers provide hands-on assistance as a way to cut costs, help overburdened and underfunded defense counsel, and improve representation of criminal defendants. In 2014, …

How Countries Seek To Strengthen Anti-Money Laundering Laws In Response To The Panama Papers, And The Ethical Implications Of Incentivizing Whistleblowers, Carmina Franchesca S. Del Mundo

Northwestern Journal of International Law & Business

The Panama Papers is currently the world’s largest whistleblower case that involved 11.5 million leaked documents and over 214,000 offshore entities. It all linked back to one Panamanian law firm, Mossack Fonseca. In 2016, over 400 investigative journalists collaboratively and simultaneously published stories that exposed the money laundering and tax-evading schemes committed by the rich and powerful. This included political figures and heads of states, celebrities, sports figures, criminal organizations, and terrorist groups.

This article aims to dissect the innerworkings of Mossack Fonseca’s asset-shielding strategy and investigate how the Panamanian law firm was able to circumvent the tax and anti-money …

At Your Service: Lawyer Discretion To Assist Clients In Unlawful Conduct, Paul R. Tremblay

Florida Law Review

The common, shared vision of lawyers’ ethics holds that lawyers ought not collaborate with clients in wrongdoing. Ethics scholars caution that lawyers “may not participate in or assist illegal conduct,” or “giv[e] legal services to clients who are going to engage in unlawful behavior with the attorney as their accomplice.” That sentiment resonates comfortably with the profession’s commitment to honor legal obligations and duties, and to remain faithful to the law. The problem with that sentiment, this Article shows, is that it is not an accurate statement of the prevailing substantive law. The American Bar Association’s (ABA) model standards governing …

A Rebuttal To Kinsler's And To Anderson And Muller's Studies On The Purported Relationship Between Bar Passage Rates And Attorney Discipline, William Wesley Patton

St. John's Law Review

(Excerpt)

Because of the escalating cost of legal education and the recent decline in bar passage rates among ABA approved law schools, some analysts have reasonably attempted to determine the social costs of legal education. Many have attempted to place the blame on segments of the legal education marketplace. The complicated relationships among the policies of providing more access to justice, increasing minority representation in the bar, and protecting the public from shoddy law practice have recently inflamed academic debate. In the rush for assessing blame, some analysts have published empirically flawed reports that have received a great deal of …

Arbitration And The Federal Balance, Alyssa King

Indiana Law Journal

Mandatory arbitration of statutory rights in contracts between parties of unequal bargaining power has drawn political attention at both the federal and state level. The importance of such reforms has only been heightened by the Supreme Court’s expansion of preemption under the FAA and of arbitral authority. This case law creates incentives for courts at all levels to prefer expansive readings of an arbitration clause. As attempts at federal regulation have stalled, state legislatures and regulatory agencies can expect to be subject to renewed focus. If state legislatures cannot easily limit arbitrability, an alternative is to try reforms that seek …

Table Of Contents, Seattle University Law Review

Seattle University Law Review

No abstract provided.

Attorney-Client Privilege: Expanding The Crime-Fraud Exception To Intentional Torts, Stacy Kochanowski

Buffalo Law Review

No abstract provided.

Mandatory Legal Malpractice Insurance: Exposing Lawyers' Blind Spots, Susan S. Fortney

St. Mary's Journal on Legal Malpractice & Ethics

The legal landscape for lawyers’ professional liability in the United States is changing. In 2018, Idaho implemented a new rule requiring that lawyers carry legal malpractice insurance. The adoption of the Idaho rule was the first move in forty years by a state to require legal malpractice insurance since Oregon mandated lawyer participation in a malpractice insurance regime. Over the last two years, a few states have considered whether their jurisdictions should join Oregon and Idaho in requiring malpractice insurance for lawyers in private practice. To help inform the discussion, the article examines different positions taken in the debate on …

Judicial Ethics: A New Paradigm For A New Era, Charles G. Geyh

St. Mary's Journal on Legal Malpractice & Ethics

As the preamble to the Model Code of Judicial Conduct indicates, traditional notions of judicial ethics operate within a rule of law paradigm, which posits that the “three I’s” of judicial ethics—independence, impartiality, and integrity—enable judges to uphold the law. In recent decades, however, social science, public opinion, and political commentary suggest that appointed judges abuse their independence by disregarding the law and issuing rulings in accord with their biases and other extralegal impulses, while elected judges disregard the law and issue rulings popular with voters, all of which calls the future of the three I’s and judicial ethics itself …

“The More Things Change, The More They Remain The Same:” Lawyer Ethics In The 21st Century, Gregory C. Sisk

St. Mary's Journal on Legal Malpractice & Ethics

At an accelerating pace since the recession, our legal profession has been undergoing structural changes in the delivery of many legal services. At the same time, longstanding principles of ethics continue to govern the day-to-day lives of practicing lawyers.

This article lays out four examples of how meaningful change in lawyer practice has been accomplished since the turn-of-the-century with continued adherence to bedrock professional concepts. First, the rules now embrace the multi-jurisdictional practice of law, while the disciplinary authority of each jurisdiction is emphatically confirmed and strengthened. Second, rules on lawyer advertising are streamlined to grant largely open-ended permission for …

The Fiduciary Obligations Of Public Officials, Vincent R. Johnson

St. Mary's Journal on Legal Malpractice & Ethics

At various levels of government, the conduct of public officials is often regulated by ethical standards laid down by legislative enactments, such as federal or state statutes or municipal ordinances. These rules of government ethics are important landmarks in the field of law that defines the legal and ethical obligations of public officials. Such provisions can form the basis for the kinds of government ethics training that helps to minimize wrongful conduct by public servants and reduces the risk that the performance of official duties will be clouded by appearances of impropriety. Codified government ethics rules also frequently provide mechanisms …

Joaquin Ávila: America At Its Best, Luis Ricardo Fraga

Seattle Journal for Social Justice

No abstract provided.

Making The Modern American Legal Profession, 1969–Present, Michael Ariens

St. Mary's Law Journal

The American legal profession has changed dramatically over the past half-century greatly due to the solution and problem of “scale.” This was most noticeable after the American Bar Association’s adoption of the Code of Professional Responsibility. The reputation of lawyers and the legal community would continue to evolve in the eyes of the public. As such, the demand for lawyers and large law firms who had the capacity and means to handle such vast and varied issues would present itself. The increasing demand from large law firms over the years led to unprecedented growth and impact to the way in …

Turning Points In The History Of St. Mary’S University School Of Law (1980–1988), Vincent R. Johnson

St. Mary's Law Journal

St. Mary’s University School of Law in San Antonio, Texas has existed for nearly a century. Thus far, there have been seven important written histories of St. Mary’s University School of Law, but no one has yet attempted to write a comprehensive history of the law school, nor have any members of the faculty published autobiographies. Having taught law at St. Mary’s since 1982, Professor of Law Vincent R. Johnson shares his first-hand account about the life of the law school during most of the 1980s (specifically 1980 to 1988). That period encompasses the bulk of the deanship of James …

The Practitioner’S Guide To Properly Responding To Requests For Disclosure Under The Texas Discovery Rules, Robert K. Wise, Kennon L. Wooten

St. Mary's Law Journal

Discovery, a pretrial procedure used to obtain information relating to the litigation, generally is the largest cost of civil litigation. By its very nature, discovery also is intrusive and invasive. Many practitioners are quick to dispute discovery requests, slow to produce information requested, and all too-eager to object at every stage of the discovery process.

This article relates to one of the most common types of written discovery—Texas Rule of Civil Procedure 194 disclosure requests, the responses to which are often incomplete and inadequate. Disclosure requests provide inexpensive, basic discovery without the delay relating to objections or work-product assertions. This …

Extra Law Prices: Why Mrpc 5.4 Continues To Needlessly Burden Access To Civil Justice For Low- To Moderate-Income Clients, R. Matthew Black

Washington and Lee Journal of Civil Rights and Social Justice

Whether alternative business structures might improve access to justice for low- to moderate-income clients remains a contentious matter.8 Because alternative business structures are generally unavailable, lawyers rely on 501(c)(3) non-profit status and sliding-scale fee structures to reach an underserved market of low-to moderate-income clientele. Nevertheless, use of a sliding- scale fee structure is rare—perhaps because it fails to maximize law firm profits. A sliding-scale fee structure also does not assist clients who need legal services, but do not qualify for LSC-funded programs and are unable to pay even a portion of subsidized legal fees.

This Note addresses why using a …

State Bar Of California, Ashley Kearney, Bridget Fogarty Gramme

California Regulatory Law Reporter

No abstract provided.

Committee Of Bar Examiners, Samantha Steed, Bridget Fogarty Gramme

California Regulatory Law Reporter

No abstract provided.

Double Jeopardy

Touro Law Review

No abstract provided.

Double Jeopardy Supreme Court Appellate Division Second Department

Touro Law Review

No abstract provided.

Double Jeopardy

Touro Law Review

No abstract provided.

Democracy, Rule-Of-Law, And Legal Ethics Education: Directing Lawyers To Support Democratization In Myanmar, Jonathan Liljeblad

Georgia Journal of International & Comparative Law

No abstract provided.