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Legal Ethics and Professional Responsibility

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Full-Text Articles in Law

Beyond “Hard” Skills: Teaching Outward- And Inward-Facing Character-Based Skills To 1ls In Light Of Aba Standard 303(B)(3)’S Professional Identity Requirement, Marni Goldstein Caputo, Kathleen Luz May 2024

Beyond “Hard” Skills: Teaching Outward- And Inward-Facing Character-Based Skills To 1ls In Light Of Aba Standard 303(B)(3)’S Professional Identity Requirement, Marni Goldstein Caputo, Kathleen Luz

Brooklyn Law Review

Newly adopted American Bar Association Standard 303(b)(3) requires law schools to provide “substantial opportunities to students for . . . the development of professional identity” throughout their three-year legal education. For 1Ls, the ideal place to start this process is in their lawyering skills classrooms, which is our domain at Boston University School of Law. Professional identity exploration necessarily requires students to look inward and outward to reflect upon their own role in the legal system and how they interact with others. In our classrooms, we divide what have been referred to as “soft” skills into two distinct categories—outward-facing and …


Background Noise: Lessons About Media Influence, Mitigation Measures, And Mens Rea From Argentine And Us Criminal Cases, Agustina Mitre, Matthew P. Cavedon Dec 2023

Background Noise: Lessons About Media Influence, Mitigation Measures, And Mens Rea From Argentine And Us Criminal Cases, Agustina Mitre, Matthew P. Cavedon

Brooklyn Journal of International Law

This Article reflects on the influence that intense media coverage can have on high-profile criminal cases and considers ways to reconcile defendants’ right to a fair trial with press freedom, comparing approaches and cases from Argentina and the US. The Article begins by discussing the tension between journalists’ and defendants’ rights (Part I). It then surveys how the US seeks to mitigate media influence (Part II). After this, it notes two recent Argentine mitigation measures (Part III). Next, it conducts a legal analysis of the Fernando Báez Sosa case, blaming media pressure for errors in the judgment and then proposing …


Prosecutorial Mutiny, Cynthia Godsoe, Maybell Romero Oct 2023

Prosecutorial Mutiny, Cynthia Godsoe, Maybell Romero

Faculty Scholarship

No abstract provided.


Can You Be A Legal Ethics Scholar And Have Guts?, Cynthia Godsoe, Abbe Smith, Ellen Yaroshefsky Jul 2022

Can You Be A Legal Ethics Scholar And Have Guts?, Cynthia Godsoe, Abbe Smith, Ellen Yaroshefsky

Faculty Scholarship

No abstract provided.


United States V. Donziger: How The Mere Appearance Of Judicial Impropriety Harms Us All, Jackie Kushner Jun 2022

United States V. Donziger: How The Mere Appearance Of Judicial Impropriety Harms Us All, Jackie Kushner

Journal of Law and Policy

In 2011, environmentalist lawyer Steven Donziger was sued in a retaliatory lawsuit by the oil company Chevron, following his securement of a multibillion-dollar award against the company for its environmental harms in Ecuador. In a case rife with judicial impropriety, Donziger was ultimately charged with criminal contempt of court and his charges were prosecuted by a private attorney. These suits exemplify the growing problem of powerful corporations using legal tactics to retaliate against activists and undermine the legitimacy of the legal system. Federal judges contribute to the problem by misusing the extensive power they hold in distinguishing criminal from civil …


Roberta Karmel And The "Brooklyn School", Edward J. Janger Dec 2021

Roberta Karmel And The "Brooklyn School", Edward J. Janger

Brooklyn Journal of Corporate, Financial & Commercial Law

In this contribution, Professor Janger describes Roberta Karmel’s extraordinary contributions to the intellectual, scholarly, and institutional life of Brooklyn Law School.


Karmel’S Dissent: The Sec’S Use And Occasional Misuse Of Section 21(A) Reports Of Investigation, James J. Park Dec 2021

Karmel’S Dissent: The Sec’S Use And Occasional Misuse Of Section 21(A) Reports Of Investigation, James J. Park

Brooklyn Journal of Corporate, Financial & Commercial Law

Section 21(a) of the Securities Exchange Act gives the SEC the option of publishing a report of its findings after conducting an investigation. Typically, the SEC issues such reports about once a year to highlight major compliance and enforcement issues. This Article examines the SEC’s use of Section 21(a) investigative reports with special attention to its 1979 report in Spartek, where Commissioner Roberta Karmel filed a famous dissent. In that opinion, she argued that the report effectively sanctioned conduct over which the SEC did not have jurisdiction and that Spartek did not have sufficient notice of its regulatory obligations. While …


“The Eu Challenge To The Sec”: A View From 2021, Howell E. Jackson Dec 2021

“The Eu Challenge To The Sec”: A View From 2021, Howell E. Jackson

Brooklyn Journal of Corporate, Financial & Commercial Law

This essay offers a retrospective appreciation of Professor Roberta Karmel’s scholarship exploring the influence of securities regulation in the United States on developments in European capital markets regulation in the late 1990’s and early 2000’s. Professor Karmel’s writings document a fascinating evolution in this trans-Atlantic relationship as the Securities and Exchange Commission transitioned from the world’s dominant capital market regulator throughout most of the post-World War II era into a more collaborative posture by the end of the first decade of the Millennium. The essay concludes by suggesting that the trends that Professor Karmel chronicled in her scholarship have persisted …


Autonomous Weapons Systems And The Procedural Accounta- Bility Gap, Afonso Seixas-Nunes Dec 2021

Autonomous Weapons Systems And The Procedural Accounta- Bility Gap, Afonso Seixas-Nunes

Brooklyn Journal of International Law

The development and well-established principles of Internationla Humanitarian Law have been progressively establishing limits to the means and methods of warfare. Those principles and rules are necessarily applicable to future autonomous weapon systems (AWS), but questions regarding liability for violations of IHL caused by AWS have been looming the international debate. This article has two parts. The first part aims to identify a technical dimension of AWS that has been neglected by international lawyers: States responsibility for IHL violations caused by errors in AWS’ software. This article argues that “errors” can neither be identified with “malfunctions” nor attributed to human …


The Debate Over Disclosure In Third-Party Litigation Finance: Balancing The Need For Transparency With Efficiency, Alec J. Manfre Sep 2021

The Debate Over Disclosure In Third-Party Litigation Finance: Balancing The Need For Transparency With Efficiency, Alec J. Manfre

Brooklyn Law Review

The market for third-party litigation financing (TPLF) in the United States is facing unprecedented growth and popularity. The ever-increasing complexity and cost of legal disputes, especially in the commercial context, has made third-party financing an invaluable resource for both litigants in need of capital and investors seeking to diversify their portfolios with nontraditional assets. However, as the market continues to boom, so does the risk that TPLF will be used unethically. Critics of the industry are calling on regulators at both the state and federal levels to implement comprehensive disclosure requirements for TPLF at the outset of all civil litigation …


A Firm Pillar Of Local Justice: The Failures Of The New York Town And Village Justice Courts Supporting Statewide Adoption Of The District Court Model, Noah Sexton Jun 2021

A Firm Pillar Of Local Justice: The Failures Of The New York Town And Village Justice Courts Supporting Statewide Adoption Of The District Court Model, Noah Sexton

Journal of Law and Policy

Town and village justice courts have been the center of municipal law, both civil and criminal, since the mid-nineteenth century. However, in the modern world, they have become corrupt, poorly managed institutions, creating issues involving procedural integrity and civil rights. In order to remedy these failures and modernize the New York State Unified Court System, state legislators must look to the district court model as it currently exists in Nassau and Eastern Suffolk Counties. The district court model offers several benefits, including the imposition of educational and experiential requirements for judges, the creation of internal and external oversight institutions, the …


Telling The Story On Your Timesheets: A Fee Examiner's Tips For Creditors' Lawyers And Bankruptcy Estate Professionals, Nancy B. Rapoport May 2021

Telling The Story On Your Timesheets: A Fee Examiner's Tips For Creditors' Lawyers And Bankruptcy Estate Professionals, Nancy B. Rapoport

Brooklyn Journal of Corporate, Financial & Commercial Law

This short (approx. 5,000 words) essay, which forms the basis of a keynote address to the Federal Bar Association that I’m doing next month, discusses how much of a lawyer’s embedded assumptions and cognitive errors can come across in something as simple as a time entry on a bill. So much can be revealed about how a lawyer views himself or herself in society and about the lawyer’s relationship with the client that it’s worth examining what we can find when we look at legal bills. One note, though: my writing style is informal and distinctive in that regard (especially …


Limited Scope Lottery: Playing The Odds On Your Ability To Withdraw, Lianne S. Pinchuk Jun 2020

Limited Scope Lottery: Playing The Odds On Your Ability To Withdraw, Lianne S. Pinchuk

Brooklyn Law Review

Limited scope representation, also called unbundled representation, has become widespread and widely used over the past three decades. While the American Bar Association has amended its model rules to expressly permit such representation, it failed to amend its model rules governing withdrawal. Some states have been more proactive than others in confronting potential withdrawal issues in limited scope representation. Those states that have attempted to remedy the withdrawal/termination issues have created specific rules governing limited scope engagements allowing for easier withdrawal by attorneys in such matters. Neither New York nor the American Bar Association have promulgated rules (or model rules) …


Towards A More Ethical Ll.M. Degree: Let's Give International Lawyers The Value They Deserve, Carrie Teitcher, Kathleen Darvil Jan 2020

Towards A More Ethical Ll.M. Degree: Let's Give International Lawyers The Value They Deserve, Carrie Teitcher, Kathleen Darvil

Faculty Scholarship

No abstract provided.


Chipping Away At Compliance: How Compliance Programs Lose Legitimacy And Its Impact On Unethical Behavior, David Hess Dec 2019

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 Dec 2019

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 Dec 2019

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.


Why Does The Sec Hate Lawyers And Will The Bitterness Ever Go Away: A Review Of The Reasons For The Current State Of This Relationship And A Proposed Path Forward, Ernest Edward Badway, Joshua Horn, Christie Mcguinness May 2019

Why Does The Sec Hate Lawyers And Will The Bitterness Ever Go Away: A Review Of The Reasons For The Current State Of This Relationship And A Proposed Path Forward, Ernest Edward Badway, Joshua Horn, Christie Mcguinness

Brooklyn Journal of Corporate, Financial & Commercial Law

The United States Securities and Exchange Commission (“SEC” or “Commission”) and its staff (“Staff”) have brought numerous actions against lawyers in a variety of contexts over the last several years. These enforcement actions have arguably prevented zealous advocacy as well as potentially leaving lawyers reluctant to make certain arguments on behalf of their clients so as to avoid potential disciplinary actions against them. While it is important for the Commission and its Staff to ensure that lawyers do not engage in violative conduct, this Article notes that the SEC and its Staff’s actions should be limited to only those occasions …


Transparency In Corporate Groups, Jay Lawrence Westbrook Oct 2018

Transparency In Corporate Groups, Jay Lawrence Westbrook

Brooklyn Journal of Corporate, Financial & Commercial Law

This Article addresses a remarkable blind spot in American law: the failure to apply the well-established principles of secured credit to prevent inefficiency, confusion, and fraud in the manipulation of the webs of subsidiaries within corporate groups. In particular, “asset partitioning” has been a fashionable subject in which the central problem of non-transparency has been often mentioned but little addressed. This Article offers a concept for a new system of corporate disclosure for the benefit of creditors and other stakeholders. It would require disclosure of corporate structures and allocations of assets among affiliates to the extent the affiliates are to …


Reconceptualizing The Whistleblower's Dilemma, Miriam Baer Jun 2017

Reconceptualizing The Whistleblower's Dilemma, Miriam Baer

Faculty Scholarship

No abstract provided.


Reevaluating Attorney-Client Privilege In The Age Of Hackers, Anne E. Conroy Jan 2017

Reevaluating Attorney-Client Privilege In The Age Of Hackers, Anne E. Conroy

Brooklyn Law Review

The news story is now familiar: hackers breach a security system and post internal, confidential information online for anyone with an Internet connection to comb through. This digital version of whistleblowing, called “hacktivism,” is attractive to the media, which has leaned on broad First Amendment protections to widely cover the confidential communications revealed by hackers. These hacks also provide attorneys with enticing opportunities to look through previously confidential files. But as ethics and evidentiary rules stand, it is not clear if an attorney may view the files, let alone use them as evidence in litigation. That companies are hacked is …


The Death Of Private Practice: How The Rising Cost Of Healthcare Is Destroying Physician Autonomy, Oliver Owaid Jan 2017

The Death Of Private Practice: How The Rising Cost Of Healthcare Is Destroying Physician Autonomy, Oliver Owaid

Brooklyn Journal of Corporate, Financial & Commercial Law

Over the past two decades, the number of physicians in private practice has dropped dramatically. This trend is the result of the financial pressure imposed by the federal government in response to the skyrocketing cost of healthcare. Physicians, frustrated by stagnant reimbursement rates in conjunction with increased administrative costs and overhead, are choosing hospital staff employment in favor of private practice. This trend is to the detriment of the physician, the taxpayers, and, most importantly, the patients. Patients treated in hospital outpatient settings have worse outcomes than those treated in private practice. In addition, hospital procedures cost both the government …


Social Capital Of Directors And Corporate Governance: A Social Network Analysis, Zihan Niu, Christopher Chen Jan 2017

Social Capital Of Directors And Corporate Governance: A Social Network Analysis, Zihan Niu, Christopher Chen

Brooklyn Journal of Corporate, Financial & Commercial Law

This Article examines how a director’s social capital might affect his or her behavior, the board’s performance, and corporate governance, as well as the potential normative implications of the director’s social network. We argue that the quality of board performance could be improved where the social network closure within the board is high and there are many non-redundant contacts beyond the board. Network closure can improve trust and collaboration within a board, while external contacts may benefit a company with more diverse sources of information. Moreover, different network positioning leads to the inequality of social capital for directors. With more …


Accountability In Corporate Governance In China And The Impact Of Guanxi As A Double-Edged Sword, Andrew Keay, Jingchen Zhao Jan 2017

Accountability In Corporate Governance In China And The Impact Of Guanxi As A Double-Edged Sword, Andrew Keay, Jingchen Zhao

Brooklyn Journal of Corporate, Financial & Commercial Law

Accountability is an essential aspect of corporate governance and it has been argued that the “wenze” system of accountability in China comes very close to the accountability systems developed in Anglo-American corporate governance. This Article examines the role of cultural factors, namely guanxi and its derivatives, in corporate governance in China to determine what effect, if any, these cultural factors have on the operation and development of the “wenze” system in large listed companies. The Article specifically considers whether the cultural elements affect accountability, and if so, how and to what extent. It also explores whether these cultural factors are …


The Cybersecurity Threat: Compliance And The Role Of Whistleblowers, Jennifer M. Pacella Dec 2016

The Cybersecurity Threat: Compliance And The Role Of Whistleblowers, Jennifer M. Pacella

Brooklyn Journal of Corporate, Financial & Commercial Law

In today’s technologically dependent world, concerns about cybersecurity, data breaches, and compromised personal information infiltrate the news almost daily. The Securities and Exchange Commission (SEC) has recently emerged as a regulator that is keenly focused on cybersecurity, specifically with respect to encouraging disclosures in this arena by regulated entities. Although the SEC has issued non-binding “guidance” to help companies navigate their reporting obligations in this sector, the agency lacks binding cybersecurity disclosure regulations as they pertain generally to public companies. Given that the SEC has already relied on such guidance in threatening enforcement actions, reporting companies are increasingly pressured for …


Compliance, Technology, And Modern Finance, Tom C.W. Lin Dec 2016

Compliance, Technology, And Modern Finance, Tom C.W. Lin

Brooklyn Journal of Corporate, Financial & Commercial Law

An important transformation is happening in the financial industry. The rise of new technology and compliance has dramatically altered many of the key functions and functionaries of modern finance. Artificial intelligence, algorithmic programs, and supercomputers, instead of human actors, now constitute the core of many financial operations. Compliance officers have become just as critical to financial institutions as traders, bankers, and analysts. Finance as we knew it has changed and continues to change. This symposium Article offers a studied commentary on these unfolding changes, the crosscutting developments in compliance, technology, and modern finance. It examines the concurrent and intersecting ascents …


Bankruptcy: Where Attorneys Can Lose Big Even If They Win Big, Stanislav Veyber Dec 2016

Bankruptcy: Where Attorneys Can Lose Big Even If They Win Big, Stanislav Veyber

Brooklyn Journal of Corporate, Financial & Commercial Law

Historically, bankruptcy attorneys received the short end of the stick and were paid less for their services than attorneys in other fields of law. With the Bankruptcy Reform Act of 1978, Congress attempted to reduce the discrepancy in compensation. However, after the Supreme Court’s decision in Baker Botts v. ASARCO; L.L.C., the playing field remains unequal for bankruptcy attorneys. Following this decision, if a debtor disputes their attorney’s fee application, attorneys are at a disadvantage and cannot recover fees for defending their fee application. As a result, bankruptcy attorneys take an effective pay cut if they are faced with a …


New Rules Of War In The Battle Of The Experts: Amending The Expert Witness Disqualification Test For Conflicts Of Interest, Nina A. Vershuta Jan 2016

New Rules Of War In The Battle Of The Experts: Amending The Expert Witness Disqualification Test For Conflicts Of Interest, Nina A. Vershuta

Brooklyn Law Review

In civil litigation, the big business of retaining experts has raised concerns about the integrity of the adversarial process and undermined the role that expert testimony plays at trial. Due to a rising demand for expert testimony, it is common for the same expert to testify for opposing clients. When a client hires an expert who has been previously retained by that client’s adversary, a conflict of interest arises. Such experts may share confidential information with their new client to the detriment of the former client—triggering the expert disqualification test for conflicts of interest. Most state and federal courts do …


Confronting The Two Faces Of Corporate Fraud, Miriam H. Baer Jan 2014

Confronting The Two Faces Of Corporate Fraud, Miriam H. Baer

Faculty Scholarship

No abstract provided.


Onlookers Tell An Extraordinary Entity What To Do, Anita Bernstein Jan 2014

Onlookers Tell An Extraordinary Entity What To Do, Anita Bernstein

Faculty Scholarship

No abstract provided.