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.

Law School News: Among The Trailblazers 12/02/2019, Michael M. Bowden

Life of the Law School (1993- )

No abstract provided.

To Kill A Mockingbird And Legal Ethics: On The Role Of Atticus Finch’S Attic Rhetoric In Fulfillment Of Duties To Client, To Court, To Society, And To Self, Michelle M. Kundmueller

Political Science & Geography Faculty Publications

Atticus Finch, protagonist of Harper Lee’s To Kill a Mockingbird and longtime hero of the American bar, is well known, but he is not well understood. This article unlocks the secret to his status as the most admired of fictional attorneys by demonstrating the role that his rhetoric plays in his exemplary fulfillment of the duties of an attorney to zealously represent clients, to serve as an officer of the court, and to act as a public citizen with a special responsibility for the quality of justice. Always using the simplest accurate wording, focusing on reason over emotion, and speaking …

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, …

International Arbitration And Attorney-Client Privilege — A Conflict Of Laws Approach, Susan Franck

Articles in Law Reviews & Other Academic Journals

Privilege determinations in international arbitration are currently the equivalent of the “wild west,” with minimal predictability and massive pockets of tribunal discretion. Yet protecting privilege in international arbitration — when the same document or communications with lawyers that is protected by United States law may receive no protection under another law — is fundamental to safeguarding attorney-client relationships within a global environment, incentivizing procedural integrity of dispute resolution, and ensuring that justice is done. As it is not clear what law applies to privilege and client confidentiality (let alone how the law is determine), this Essay begins to bridge the …

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 …

Personality Disruption As Mental Torture: The Cia, Interrogational Abuse, And The U.S. Torture Act, David Luban, Katherine S. Newell

Georgetown Law Faculty Publications and Other Works

This Article is a contribution to the torture debate. It argues that the abusive interrogation tactics used by the United States in what was then called the “global war on terrorism” are, unequivocally, torture under U.S. law. To some readers, this might sound like déjà vu all over again. Hasn’t this issue been picked over for nearly fifteen years? It has, but we think the legal analysis we offer has been mostly overlooked. We argue that the basic character of the CIA’s interrogation of so-called “high-value detainees” has been misunderstood: both lawyers and commentators have placed far too much emphasis …

Law School News: Aals Honors Barron With Major Pro Bono Award 11/14/2019, Michael M. Bowden

Life of the Law School (1993- )

No abstract provided.

The Lawyer As Accomplice: Cannabis, Uber, Airbnb, And The Ethics Of Advising “Disruptive” Businesses, Charles M. Yablon

Articles

This Article examines the legal and ethical problems of corporate lawyers who advise businesses that operate just beyond the edge of legality. These include manufacturers and sellers of cannabis products (a felony under federal law, even if ostensibly permitted by state statutes) as well as a substantial number of startup companies, like Uber and Airbnb, whose “disruptive” business models involve deliberately violating local laws and ordinances, many of which carry criminal penalties. Under the current Model Rules of Professional Conduct, a lawyer “shall not counsel a client to engage, or assist a client, in conduct that the lawyer knows is …

The Other Janus And The Future Of Labor’S Capital, David H. Webber

Faculty Scholarship

Two forms of labor’s capital—union funds and public pension funds—have profoundly reshaped the corporate world. They have successfully advocated for shareholder empowerment initiatives like proxy access, declassified boards, majority voting, say on pay, private fund registration, and the CEO-to-worker pay ratio. They have also served as lead plaintiffs in forty percent of federal securities fraud and Delaware deal class actions. Today, much-discussed reforms like revised shareholder proposal rules and mandatory arbitration threaten two of the main channels by which these shareholders have exercised power. But labor’s capital faces its greatest, even existential, threats from outside corporate law. This Essay addresses …

The Institute For The Future Of Law Practice: A New Narrative For Legal Education And The Legal Profession, William D. Henderson

Articles by Maurer Faculty

"The mission of IFLP is to produce more legal professionals who have strong legal knowledge plus foundational training in allied disciplines — in other words, “T-shaped” legal professionals."

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You look down at your smartphone and see that you just got a text from a close family relative. They are asking to schedule a phone call.

The next line reads, “I’m thinking about going to law school.”

Well, if you read PD Quarterly, you’re likely a logical person to seek out for advice. You’ve got some time to think about it. What are you going to say?

Whatever your counsel, …

Gatekeepers, Cultural Captives, Or Knaves? Corporate Lawyers Through Different Lenses, Donald C. Langevoort

Georgetown Law Faculty Publications and Other Works

Studying the behavior of high-status corporate lawyers is challenging. Much writing (including some of my own) addresses the risk of lawyer enabling of client misconduct by drawing from work in behavioral ethics suggesting that at least some apparent complicity is without full awareness of the impropriety. Is this naïve? The first part of this essay pushes harder on consciousness by looking more closely at the lengthy continuum—not a binary yes/no—in the awareness of wrongdoing risk as heavily influenced by the “slippery slope.” Looking at corporate lawyers’ professional responsibility through this lens has some interesting, and as far as I can …

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 …

Case Study 3: Movement Lawyers And Community Organizers In Litigation: Issues Of Finances And Collaboration, Paul R. Tremblay, Baher Azmy

Paul R. Tremblay

This essay represents one of several Case Studies published as the Movement Lawyering Roundtable Symposium by Hofstra Law Review. The Case Studies were developed within a roundtable of movement lawyers, community organizers, and legal ethics experts convened in March, 2018 by the Monroe H. Freedman Institute for the Study of Legal Ethics at Hofstra University’s Maurice A. Deane School of Law. This Case Study addresses the ethical tensions encountered by movement lawyers and community organizers engaged in public interest litigation. The Study consists of three topics, with resulting ethics analyses of the issues that arise in the differing settings. …

Undue Influence: A Prosecutor’S Role In Parole Proceedings, R. Michael Cassidy

R. Michael Cassidy

Professor Cassidy explores what it means for a prosecutor to act as a “minister of justice” in the context of parole proceedings. He argues that prosecutors should not perceive themselves as zealous advocates in what is essentially an administrative setting, and that prosecutors should not oppose release simply because they believe that the nature and circumstances of the crime warrant continued incarceration. Rather, Cassidy argues that prosecutors ordinarily should refrain from personally testifying at parole hearings, and should submit written comments to the parole board only in those rare situations where the prosecutor is in possession of otherwise unavailable information …

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 …

Ethics And Methods Of Human Rights Work: Exploring Both Theoretical And Practical Approaches, Shayna Plaut, Maritza Felices Luna, Christina Clark Kazak, Neil Bilotta, Lara Rosenoff Gauvin

Biennial Conference: The Social Practice of Human Rights

This workshop will explore both theoretical and practical approaches to methodologies and ethics as it relates to human rights work.

The goal of the workshop is to create a dynamic space that encourages participants to share and learn from our own experiences navigating the messiness of human rights ethics and methods. We specifically address formal education and systems and structures so that we may all design, do and teach research and practice related to human rights in a more critical and sustainable manner. We recognize the tensions of creating research, programs and advocacy that is seen as “legitimate” to educational …

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 …

The Virtue Of Vulnerability: Mindfulness And Well-Being In Law Schools And The Legal Profession, Nathalie Martin

Faculty Scholarship

This article examines the role of vulnerability in transforming individual relationships, particularly the attorney-client relationship. In this essay, Martin argues that broadening our expressions can improve our client relations and decrease the likelihood that when that inevitable mistake occurs, we will be sued for it. Also, based upon virtue ethics, that practicing vulnerability is also virtuous and thus worthwhile in and of itself.

This essay starts by describing the traits people look for in lawyers as well as evidence that clients often feel that their lawyers are less than human. Then examines how legal education contributes to this problem by …

More Uplifting Singapore Story Needed To Boost Baby Confidence, Tan K. B. Eugene

Research Collection Yong Pung How School Of Law

In a commentary, SMU Associate Professor of Law Eugene Tan discussed the reasons why Singaporean couples have consistently preferred to have few children since the 1970s. He opined that there is a need to have a discussion of how the prevailing traits and narrative of Singapore might have created a climate where young couples choose to have fewer children, and to have a more uplifting Singapore story as well as promote gender equality to boost baby confidence.

Online Legal Document Providers And The Public Interest: Using A Certification Approach To Balance Access To Justice And Public Protection, Susan Saab Fortney

Faculty Scholarship

The Internet and electronic communications have revolutionized how consumers obtain legal information and assistance. The availability of legal forms and services has developed at lightning speed and countless consumers are using these forms, rather than consulting attorneys. At the same time, many regulators of the legal profession appear to be frozen in time. Some take the position that the provision of interactive forms amounts to the unauthorized practice of law and others question arrangements that appear to involve the sharing of legal fees with non-lawyers. Even for those interested in regulating the provision of on-line services, one complication to doing …

Table Of Contents, Seattle University Law Review

Seattle University Law Review

No abstract provided.

The Academic Expert Before Congress: Observations And Lessons From Bill Van Alstyne's Testimony, Neal Devins

Neal E. Devins

No abstract provided.