Legal Ethics and Professional Responsibility Commons^™

Internal Corporate Investigations: Legal Ethics, Professionalism And The Employee Interview, Sarah Helene Duggin

Scholarly Articles

This article addresses key ethical issues pertaining to the conduct of employee interviews in the course of internal corporate investigations. The discussion focuses on business corporations, but it is equally applicable to other for-profit and not-for-profit organizations." Part II provides background information on developments in organizational criminal liability over the past two decades, the importance of the United States Sentencing Commission's Organizational Sentencing Guidelines, and the concomitant emergence of the internal investigation as an integral part of modern corporate legal practice. Part III examines law enforcement authorities' growing insistence on corporate "cooperation" as a prerequisite to participation in voluntary disclosure …

Law As Social Work, Jane H. Aiken, Stephen Wizner

Georgetown Law Faculty Publications and Other Works

In our work as lawyers for low income clients and as clinical teachers, we are sometimes told by our professional counterparts in private practice - especially those who work in large corporate firms - that what we do "isn't law, it's social work." Similarly, our students sometimes complain that the work they do on behalf of low income clients "isn't law, it's social work." In the past we have tended to respond to this "social worker" charge defensively. We insisted that what we and our students do is "law," that it is really no different from what private practitioners do …

Sarbanes-Oxley And The Oklahoma Rules Of Professional Conduct Recent Developments In Oklahoma, Drew L. Kershen

Faculty Articles

No abstract provided.

Rogue Science, Maxwell Gregg Bloche

Georgetown Law Faculty Publications and Other Works

This review essay considers the tension between the evidence-driven vision of science's mission and the fears of malicious use and terrible consequences that have come to the fore since the terrorist attacks of September 11, 2001. These fears have led some to call for government restrictions on the substance of scientific research and communication. In general, this approach is likely to do far more harm than good. But scientists need to take the problem of social consequences more seriously than they have so far. The author argues in this essay that in some circumstances, when rogue use of science can …

Broad Prohibition, Thin Rationale: The Acquisition Of An Interest And Financial Assistance In Litigation Rules, James E. Moliterno

Faculty Publications

No abstract provided.

Equality And The Forms Of Justice, Susan Sturm

Faculty Scholarship

Justice and equality are simultaneously noble and messy aspirations for law. They inspire and demand collective striving toward principle, through the unflinching comparison of the "is" and the "ought." Yet, law operates in the world of the practical, tethered to the realities of dispute processing and implementation. The work of many great legal scholars and activists occupies this unstable space between principle and practice. Owen Fiss is one such scholar, attempting to straddle the world of the here-and-now and the imagined and then deliberately constructed future, the contours of which have been established during the founding moments of our constitutional …

Unpatriotic Acts: An Introduction, Sadiq Reza

Faculty Scholarship

John Walker Lindh. Zacarias Moussaoui. Jose Padilla. Richard Reid. Who reading these lines does not instantly recognize the names of these men? Or at least their assigned noms de guerre: American Taliban, 20th hijacker, dirty bomber, shoe bomber. For two and a half years these names and others have flitted through our daily copies of The New York Times like shadow characters in a play, along with black-and-white photographs underneath which black-and-white text tells us of their alleged (and sometimes proven) wrongdoing and the latest developments in their tribulations (and sometimes trials) with our government. But the men themselves are …

Corporate Fraud: See, Lawyers, Susan P. Koniak

Faculty Scholarship

The accounting profession must bear a good deal of responsibility for the current wave of corporate scandals, as must those CEOs whose watchword was greed, lackadaisical directors, projections-for-hire investment analysts, banks selling methods designed to deceive, and institutional investors asleep at the switch. One set of villains, however, have managed thus far to float beneath the radar screen and thus escape the lion-sized portion of blame that should rightly be laid at their door: lawyers.

The Attorney As Gatekeeper: An Agenda For The Sec, John C. Coffee Jr.

Faculty Scholarship

Section 307 of the Sarbanes-Oxley Act authorizes the SEC to prescribe "minimum standards of professional conduct" for attorneys "appearing or practicing" before it. Although the initial debate has focused on issues of confidentiality, this terse statutory provision frames and seemingly federalizes a much larger question: What is the role of the corporate attorney in public securities transactions? Is the attorney's role that of (a) an advocate, (b) a transaction cost engineer, or, more broadly, (c) a gatekeeper – that is, a reputational intermediary with some responsibility to monitor the accuracy of corporate disclosures? Skeptics of any gatekeeper role for attorneys …

Whom (Or What) Does The Organization's Lawyer Represent?: An Anatomy Of Intraclient Conflict, William H. Simon

Faculty Scholarship

Professional responsibility issues involving organizational clients are distinctively difficult because organizations consist of constituents with conflicting interests. Legal doctrine has only recently begun to address the effect of internal conflict on a lawyer's responsibilities to an organizational client. Under current doctrine, the lawyer's responsibilities differ strongly depending on whether the representation is characterized as 'joint" representation of the organization 's constituents or "entity" representation. This Article argues that the choice between the two characterizations often has been arbitrary and that the underlying differences between them have been misunderstood. With respect to entity representation, it criticizes a prominent tendency in the …

A Comparative Review Of A College Education's Effect On Law Enforcement Officers Relating To Internal Affairs Complaints, Bill Griffin

Graduate Student Dissertations, Theses, Capstones, and Portfolios

The purpose of this research is to determine if a relationship exists between higher education levels and misconduct allegations for Deputy Sheriffs. Official documentation from 128 internal affairs reports were collected from the Palm Beach County Sheriff's Office. Significant relationships were found to exist between higher education levels and the misconduct allegations. While some college exposure may be beneficial for job performance, a four-year degree may not yield the desired results.

The Effect Of 8 U. S. C. 1324(D) In Transporting Prosecutions: Does The Confrontation Clause Still Apply To Alien Defendants., Donna F. Coltharp

St. Mary's Law Journal

Cases prosecuted under 8 U.S.C. §1324 present special challenges for the Government and for defendants. Under §1324, it is a crime to transport or smuggle aliens into the United States. Prosecuting transporters or smugglers may present a challenge if a witness is unavailable. Even though transporting or smuggling always has witnesses—the alien(s) who hired the smuggler or transporter—not all witnesses have prolonged detentions, and some are returned to their native country. The transporter or smuggler may then assert their Sixth Amendment right. The Sixth Amendment’s Confrontation Clause requires that in all criminal prosecutions, the accused shall enjoy the right to …

Terrorism, Grand Juries, And The Federal Material Witness Statute., Roberto Iraola

St. Mary's Law Journal

Abstract Forthcoming.

When Parents And Educators Clash: Are Special Education Students Entitled To A Cadillac Education., Judith Deberry

St. Mary's Law Journal

Due to the ambiguous language of the Individuals with Disabilities Education Act (IDEA), there is uncertainty concerning IDEA’s requirements. IDEA mandates that all school districts receiving federal education monies provide for the education of disabled students. According to IDEA, each state must provide disabled children with “free appropriate public education” (FAPE) that emphasizes special education and related services designed to meet the student’s unique needs and prepare him or her for employment and independent living. Parents have argued that IDEA requires school districts to compensate them for commercial programs and private school costs. Courts have held that an individual education …

The Toxic Mold Terrifying Texas: Mold's Hold On The Insurance Industry., Sylvia Pena-Alfaro

St. Mary's Law Journal

It is imperative that more scientific research concerning the effects of mold be conducted to better understand the consequences of long-term exposure to mold. Because of home and building modifications to conserve energy, mold has been able to thrive. Reports of illnesses allegedly caused by mold exposure have increased. No scientific evidence, however, exists that conclusively links the illnesses to the effects of mold. Only a limited number of scientific studies exist showing just how harmful toxic mold can be, but there is disagreement as to whether the harmful effects of toxic mold can compromise the immune system to such …

In Re V.L.K. V. Troxel: Is The Best Interest Standard In A Motion To Modify The Sole Managing Conservator Subject To A Due Process Or Course Challenge., David F. Johnson

St. Mary's Law Journal

Texas Family Code section 156.101 is unconstitutional. In In re V.L.K, the Texas Supreme Court held that the Texas Legislature removed the injurious retention element from section 156.101 and no longer required a finding that the natural parent be injurious to the welfare of the child. The Texas Supreme Court’s ruling is contradictory to the United States Supreme Court’s ruling in Troxel v. Granville. In Troxel, the Supreme Court struck down a state statute that effectively permitted any third party to file a motion to challenge custody. Under Texas law, any affected party, not limited to parties named in the …

Telemedicine In Texas: Solving The Problems Of Licensure, Privacy, And Reimbursement., Gilbert Eric Deleon

St. Mary's Law Journal

Abstract Forthcoming.

Introduction To The Second Annual Symposium On Legal Malpractice & (And) Professional Responsibility The Second Annual Symposium On Legal Malpractice & Professional Responsibility., Adam Boland

St. Mary's Law Journal

Abstract Forthcoming.

Absolute And Perfect Candor To Clients The Second Annual Symposium On Legal Malpractice & Professional Responsibility., Vincent R. Johnson

St. Mary's Law Journal

The fiduciary duty owed to clients by attorneys is defined by the reasonable-care standard of negligence as opposed to the all-encompassing “absolute and perfect candor” rhetoric frequently used to describe the duty owed. Words have meanings and, though the use of “absolute and perfect candor” serves a beneficial purpose, reminding attorneys of the special duty owed to their clients, the fiduciary duty owed to clients is not so all encompassing and impractical. Modern case law fails to establish that a broadly applicable duty of “absolute and perfect” candor applies to the attorney-client relationship, except in a limited number of situations. …

The Legal Profession At The Crossroads: Who Will Write The Future Rules Governing The Conduct Of Lawyers Representing Public Corporations The Second Annual Symposium On Legal Malpractice & Professional Responsibility., David J. Beck

St. Mary's Law Journal

Abstract Forthcoming.

The Liability Of Lawyers For Fraud Under The Federal And State Securities Laws The Second Annual Symposium On Legal Malpractice & Professional Responsibility., Kathy Patrick

St. Mary's Law Journal

Abstract Forthcoming.

The Cost Of Humanitarian Assistance: Ethical Rules And The First Amendment The Second Annual Symposium On Legal Malpractice & Professional Responsibility., Jack P. Sahl

St. Mary's Law Journal

Abstract Forthcoming.

Tactical Considerations In Defending Assigned Legal Malpractice Claims Essay., William D. Cobb Jr.

St. Mary's Law Journal

Every Texas lawyer with a legal malpractice defense docket should be aware of the Zuniga rule and its possible exceptions. Although the general rule in Texas is that causes of action are freely assignable, because of the ruling in Zuniga v. Groce, Locke & Hebdon, legal malpractice causes of action are unassignable. The Texas Supreme Court declined to hear the case with the notation “writ refused” essentially adopting the lower court’s opinion as its own. Nonetheless, the decision in Zuniga did not resolve the problem of the insolvent judgment debtor, nor did Zuniga purport to invalidate all agreements that dispose …

Insurance Companies Use Of Captive Or In-House Counsel To Represent Insured Constitutes The Unauthorized Practice Of Law: Is American Home The Right Decision For Texas Comment., Daniel M. Martinez

St. Mary's Law Journal

Insurance companies should not be allowed to continue the practice of hiring in-house or captive counsel to defend against a claim covered by their insurance policy. Under a typical liability insurance policy, the insurer has a duty to defend. When legal counsel is retained, the insurer pays for the representation and has a contractual right to control the defense. This places defense counsel in a precarious situation because he or she has to balance the contractual obligations to the insurer against his or her ethical responsibilities to the insured. The defense counsel may be exposed to a malpractice claim by …

Jury Patriotism: The Jury System Should Be Improved For Texans Called To Serve., K. B. Battaglini, Mark A. Behrens, Cary Silverman

St. Mary's Law Journal

Many citizens seem to embrace the jury system, so long as they do not have to participate. The reason for this is not that most citizens are “un-American” but rather the burden jury duty imposes on potential jurors. Texans, in general, continue to overwhelmingly support the jury system. Yet, many citizens fail to appear for jury duty when summoned or strive to get out of jury duty after entering the courthouse. Most of these individuals do not lack a sense of civic duty. Rather, they are discouraged from jury service due to the hardship and headache imposed by an antiquated …

Punitive Damages In Texas: Examining The Need For A Split-Recovery Statute., Meredith Matheson Thoms

St. Mary's Law Journal

As a result of the increasing number and amounts of punitive damage awards, a call for reform is much warranted. Reformers and legislators continue to seek out measures to effectively limit excessive punitive damage awards and deter unnecessary and frivolous litigation. But they must consider not only the effects of the statutes but also the purposes they will serve. Split-recovery statutes can become valuable reform tool which will continue to serve the goals of punishment and retribution attached to punitive damages as well as deterrence. Split-recovery statutes arguably enlarge government, but they also serve a valuable purpose in furthering the …

Foreword: Symposium--Ethics 2000 And Beyond: Reform Or Professional Responsibility As Usual, Lonnie T. Brown, Jr.

Scholarly Works

The topic of this Symposium -- Ethics 2000 and Beyond: Reform or Professional Responsibility as Usual? -- is one that likely does not immediately resonate with many other than professional responsibility teachers and scholars. It is, however, a subject of critical importance to all existing and future members of the legal profession. This was true at the time that the Symposium was conducted in the spring of 2002, and it is even truer today in light of ever-growing concerns with regard to the ethical duties of lawyers, particularly those who represent corporate clients believed or known to be involved in …

Lawyers And Biblical Prophets, Thomas L. Shaffer

Journal Articles

This is part of a broader exploration of the suggestion that the biblical prophets-Moses, Isaiah, Jeremiah, Amos, Nathan, and the others-are sources of ethical reflection and moral example for modern American lawyers. The suggestion appears to be unusual; I am not sure why.

The Prophets were, more than anything else, lawyers-as their successors, the Rabbis of the Talmud, were. They were neither teachers nor bureaucrats, not elected officials or priests or preachers. And the comparison is not an ancient curiosity:

Much of what admirable lawyer-heroes have done in modern America has been prophetic in the biblical sense-that is, what they …

Symposium: Client Counseling And Moral Responsibility, Thomas L. Shaffer, Deborah L. Rhode, Paul R. Tremblay, Robert F. Cochran

Journal Articles

One of the most important challenges to lawyers and clients is addressing issues that are not controlled by law. Will the client take steps (legal steps) that will harm other people? Will the officers of a corporation consider the effects of its actions on workers, on consumers, on the community, on the environment? In a divorce, will the client take actions that will harm a child or spouse? What role should the lawyer play regarding these questions? The way lawyers address such issues may do more to determine whether their practice is socially useful or socially harmful than any rule …

Lawyers As Prophets, Thomas L. Shaffer

Journal Articles

Legal ethics is about injustice. My effort here is part of the broad, modern academic enterprise, and of the broad, modern professional enterprise now usually called professional responsibility. Both date from the Watergate scandal in the administration of President Richard M. Nixon, and the rejection, by legal academics and practicing lawyers, of the behavior of the President and other lawyers in that affair. Our modern enterprise, like the biblical Exodus, was born in outrage at the abuse of legal power.

In university law schools such as this one, legal ethics is now a discipline characterized by schools of thought on …