Legal Ethics and Professional Responsibility Commons^™

Virtuous Billing, Randy D. Gordon, Nancy B. Rapoport

Faculty Scholarship

Aristotle tells us, in his Nicomachean Ethics, that we become ethical by building good habits and we become unethical by building bad habits: “excellence of character results from habit, whence it has acquired its name (êthikê) by a slight modification of the word ethos (habit).” Excellence of character comes from following the right habits. Thinking of ethics as habit-forming may sound unusual to the modern mind, but not to Aristotle or the medieval thinkers who grew up in his long shadow. “Habit” in Greek is “ethos,” from which we get our modern word, “ethical.” In Latin, habits are moralis, which …

The Codification Of Professionalism: Can You Sanction Lawyers Into Being Nice?, Debra M. Curtis

Faculty Scholarship

On October 31, 2013, the Florida Supreme Court in The Florida Bar v. Norkin made it clear that "it wants the trend of escalating incivility among lawyers to stop." With that decision, in which a lawyer was suspended and publicly reprimanded for his behavior, the court urged that "[m]embers of The Florida Bar, law professors, and law students should study" this case "as a glaring example of unprofessional behavior." This article heeds the court's directive to do so, but also places it in the context of the movement to enhance professionalism statewide.

The Rise And Fall Of Bad Judge: Lady Justice Is No Tramp, Taylor Simpson-Wood

Faculty Scholarship

No abstract provided.

The Lutheran Lawyer: Some Reflections On The Ethics Contributions Of Susan Martyn, Marie Failinger

Faculty Scholarship

Recently, Professor Susan Martyn, who is honored in this tribute issue, contributed to a forthcoming volume on Lutheran theological views of secular law of which I am co-editor. Ever the professional, Professor Martyn expressed initial uncertainty about her ability to make a contribution to this volume without more theological expertise. Not to worry, Professor Martyn's prodigious work ethic and creative lawyering produced an insightful chapter entitled, "Can Luther Help Modem Lawyers Understand Fiduciary Duty?" As it turns out, she argued, Martin Luther can help modem lawyers because he understood the ancient roots of fiduciary law that lie at the foundation …

When The Lawyer Screws Up: A Portrait Of Legal Malpractice Claims And Their Resolution, Herbert M. Kritzer, Neil Vidmar

Faculty Scholarship

No abstract provided.

Setting Your Compass: Some Thoughts From A (Former) Djag, Charles J. Dunlap Jr.

Faculty Scholarship

No abstract provided.

Class Counsel As Litigation Funders, Morris A. Ratner

Faculty Scholarship

No abstract provided.

High Court Pretense, Lower Court Candor: Judicial Impartiality After Capterton V. Massey Coal Co., Lynne H. Rambo

Faculty Scholarship

Apolitical, impartial judging has always been our judicial ideal. In the last twenty years, however, special interest groups have sought power over (and through) judges by pouring millions into judicial elections, and the Court has recognized their first amendment right to do so. In the midst of this politicization of judicial elections, the Court five years ago reinforced the impartiality ideal, holding very broadly in Caperton v. Massey Coal Co. that it violates due process for a judge to sit whenever there is a “probability of bias,” i.e., whenever the average judge is unlikely to be neutral. Caperton involved a …

Promoting Public Protection Through An “Attorney Integrity” System: Lessons From The Australian Experience With Proactive Regulation Of Lawyers, Susan Saab Fortney

Faculty Scholarship

This essay uses the Australian proactive approach to regulating attorneys as a springboard to discussing the role of proactive regulation of lawyers in advancing public protection. The essay provides information on the genesis and implementation of “proactive management-based regulation, the system in Australia. The essay reviews key research findings from empirical studies on the impact of the new system on complaints registered against lawyers and the conduct of lawyers in firms. The essay suggests possibilities for using management-based principles to improve lawyer regulation and conduct in the United States and other jurisdictions. The author concludes with a challenge for regulators …

Monroe Freedman: Servant Leader, Bridge Builder, Susan Saab Fortney

Faculty Scholarship

Without question, Monroe was dedicated to serving others, wholeheartedly committed to helping clients and community members achieve their potential. As many have attested, Monroe epitomized the servant leader who freely gives time and support to others. I hope that the many people whom Monroe touched will continue to be sustained by Monroe’s ethic of service.

Lost In The Weeds Of Pot Law: The Role Of Ethics In The Movement To Legalize Marijuana, Helia Garrido Hull

Faculty Scholarship

No abstract provided.

The Role Of Ethics Audits In Improving Management Systems And Practices: An Empirical Examination Of Management-Based Regulation Of Law Firms, Susan Saab Fortney

Faculty Scholarship

For decades, legal malpractice experts have urged lawyers to implement risk management measures. To assist law firms in doing so, legal malpractice insurers have provided audit services and self-audit materials. Under the Australian regulatory regime, incorporated legal practices are required to complete a self-assessment process and to report on the firm's compliance with ten objectives of sound law practice. Using management-based principles, this Article discusses steps to take to encourage ethics audits "to merge good ethics and good business" in the U.S.

Crowdsourcing Public Health Experiments: A Response To Jonathan Darrow's Crowdsourcing Clinical Trials, Ameet Sarpatwari, Christopher Robertson, David Yokum, Keith Joiner

Faculty Scholarship

We are pleased to have this opportunity to respond to Jonathan Darrow's article, Crowdsourcing Clinical Trials (CCT).' We seek to highlight its important contributions and to commence debate over some of its arguments. In particular, we qualify the ethical arguments that characterize early clinical use of drugs as if they were research, and suggest instead that, in either domain, the ethical (and legal) analysis should remain focused on whether all material information is provided so patients may make informed decisions. We also highlight the limits of what can be gleaned from the observational data collection efforts envisioned by CCT.

Ultimately, …

Finding Fault?: Exploring Legal Duties To Return Incidental Findings In Genomic Research, Elizabeth R. Pike, Karen H. Rothenberg, Benjamin E. Berkman

Faculty Scholarship

The use of whole genome sequencing in biomedical research is expected to produce dramatic advances in human health. The increasing use of this powerful, data-rich new technology in research, however, will inevitably give rise to incidental findings (IFs), findings with individual health or reproductive significance that are beyond the aims of the particular research, and the related questions of whether and to what extent researchers have an ethical obligation to return IFs. Many have concluded that researchers have an ethical obligation to return some findings in some circumstances, but have provided vague or context-dependent approaches to determining which IFs must …

When Counsel Abandonment Forecloses Post-Conviction Relief: An Argument For Applying The Doctrine Of Cause And Prejudice To The Aedpa Statute Of Limitations, Katherine I. Puzone

Faculty Scholarship

No abstract provided.

Prosecutors’ Disclosure Obligations In The U.S., Bruce A. Green, Peter A. Joy

Faculty Scholarship

The article offers information on the prosecutor's discovery disclosure obligation in the U.S. Topics discussed include efforts of defense attorney in the prosecutor's disclosure obligation, efforts beyond the professional discipline, and legal enforcement to promote and support the approach of prosecutor's disclosure obligation, and collection of material used as evidence in the civil or criminal litigation.

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

Faculty Scholarship

No abstract provided.

Nationalization And Necessity: Takings And A Doctrine Of Economic Emergency, Nestor M. Davidson

Faculty Scholarship

Serious economic crises have recurred with regularity throughout our history. So too have government takeovers of failing private companies in response, and the downturn of the last decade was no exception. At the height of the crisis, the federal government nationalized several of the country’s largest private enterprises. Recently, shareholders in these firms have sued the federal government, arguing that the takeovers constituted a taking of their property without just compensation in violation of the Fifth Amendment. This Essay argues that for the owners of companies whose failure would raise acute economic spillovers, nationalization without the obligation to pay just …

Onlookers Tell An Extraordinary Entity What To Do, Anita Bernstein

Faculty Scholarship

No abstract provided.

Profit For Costs, Morris A. Ratner, William B. Rubenstein

Faculty Scholarship

No abstract provided.

Systematically Thinking About Law Firm Ethics: Conference On The Ethical Infrastructure And Culture Of Law Firms, Susan Saab Fortney

Faculty Scholarship

To advance the discourse related to law firm ethics and the impact of formal controls and informal influences on lawyer conduct, we convened on April 5, 2013 the Conference on the Ethical Infrastructure and Culture of Law Firms ("Conference" or "Symposium"). The Conference, conducted under the auspices of the Hofstra Law Review and the Maurice A. Deane School of Law at Hofstra University's Institute for the Study of Legal Ethics, was funded in part by the Abraham J. Gross '78 Conference and Lecture Fund at the Maurice A. Deane School of Law at Hofstra University. Experts who have studied issues …

Legally Blind: The Therapeutic Illusion In The Support Study Of Extremely Premature Infants, George J. Annas, Catherine L. Annas

Faculty Scholarship

Physician-researchers follow a protocol to generate generalizable knowledge; physicians have a duty to treat patients in ways they and their patients think best. In both activities, research and treatment, physicians often see themselves simply as physicians, practicing medicine. Sick people have similar perception difficulties, and prefer to think of their physician-researcher simply as their physician, even when their treatment is ² determined by a protocol or the flip of a coin. Almost 20 years ago, in this Journal, one of us suggested that at least some researchers use language "to obscure; to blur or eliminate the distinctions between research …

In Good Company: How Corporate Social Responsibility Can Protect Rights And Aid Efforts To End Child Sex Trafficking And Modern Slavery, Erika George, Scarlet R. Smith

Faculty Scholarship

The principal contribution of this Article is to show that, in many cases, the private sector, in cooperation with law enforcement, can initiate and implement policies that help increase the likelihood that buyers and traffickers are caught ultimately making access to child sex workers more difficult. Most commentary regarding child sex trafficking focuses on the failures of local law enforcement to find a solution. However, this Article argues that the private business sector can effectively supplement the efforts of law enforcement, nongovernmental organizations, and international human rights initiatives to protect exploited children. In Part I, this Article first introduces the …

Ethical Issues In Mass Tort Plaintiffs' Representation: Beyond The Aggregate Settlement Rule, Nancy J. Moore

Faculty Scholarship

Those who have addressed ethics issues for plaintiffs’ lawyers in mass tort litigation have focused on possible reform of the aggregate settlement rule to facilitate global settlements. This Article addresses a broader range of ethical issues, including (1) application of the general conflicts of interest rule to both client-client and client-lawyer conflicts; (2) unresolved issues concerning the interpretation of the current aggregate settlement rule, including the need to disclose client names and the applicability of the rule to court-approved settlements and formula or matrix allocations; and (3) the ability of lawyers to voluntarily withdraw from representing plaintiffs who reject an …

Why Cant We Be Friends Preserving Public Confidence In The Judiciary Through Limited Use Of Social Networking, Helia Garrido Hull

Faculty Scholarship

No abstract provided.

Lawyers In The Shadows: The Transactional Lawyer In A World Of Shadow Banking, Steven L. Schwarcz

Faculty Scholarship

This article examines how the role of transactional lawyers should change in the new world of shadow banking. Although transactional lawyers should consider the potential systemic consequences of their client's actions, their actions should be tempered by their primary duties to the client and by their responsibilities to the l,egal system more broadly.

Internal Compliance Officers In Jeopardy?, Deborah A. Demott

Faculty Scholarship

No abstract provided.

The Crucial But (Potentially) Precarious Position Of The Chief Compliance Officer, Deborah A. Demott

Faculty Scholarship

This Article, written for a symposium on compliance issues in financial-services firms, focuses on the role of the chief compliance officer (“CCO”). Contrasting the position with that held by a firm’s general counsel or Chief Legal Officer (CLO), the article argues that a CCO’s position holds distinct challenges. Additionally, although internal compliance systems and personnel may be characterized as functional substitutes for external regulation, assessing the strengths and weaknesses of internal compliance requires a willingness to look deep within firms. The article argues that the law and regulation may enhance firms’ incentives to invest in effective internal compliance but may …

Achieving Procedural Goals Through Indirection: The Use Of Ethics Doctrine To Justify Contingency Fee Caps In Mdl Aggregate Settlements, Morris A. Ratner

Faculty Scholarship

No abstract provided.

Unregulated Corporate Internal Investigations: Achieving Fairness For Corporate Constituents, Bruce A. Green, Ellen S. Progdor

Faculty Scholarship

This article focuses on the relationship between corporations and their employee constituents in the context of corporate internal investigations, an unregulated multi-million dollar business. The classic approach provided in the 1981 Supreme Court opinion, Upjohn v. United States, is contrasted with the reality of modern-day internal investigations that may exploit individuals to achieve a corporate benefit with the government. Attorney-client privilege becomes an issue as corporate constituents perceive that corporate counsel is representing their interests, when in fact these internal investigators are obtaining information for the corporation to barter with the government. Legal precedent and ethics rules provide little relief …