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Unit 2: Ethics in Advising Small Businesses (Open-access book Entrepreneurship Law: Company Creation) 第二单元:为小企业提供咨询的道德规范(开放获取书籍《创业法:公司创建》)
Pub Date : 2021-04-28 DOI: 10.2139/ssrn.3836162
Samantha J. Prince
Unit 2 covers the following topics:
• Which bodies of law cover ethical considerations when representing small businesses?
• Who is the client?
• Creating the attorney-client relationship
• Accepting ownership interests in the client or client’s business
• Business advice vs. Legal advice
• Serving as a director of the client
• How the attorney’s competence and capacity impact representation
第2单元涵盖以下主题:•代表小企业时,哪些法律体系涵盖道德考虑?•谁是客户?•建立律师-客户关系•接受客户或客户业务的所有权权益•商业建议与法律建议•担任客户董事•律师的能力和能力如何影响代理
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引用次数: 0
Straw Person Jurisprudence 稻草人法理学
Pub Date : 2019-07-28 DOI: 10.2139/ssrn.3431951
Wolfgang P. Hirczy de Mino
Under the Standards for Appellate Conduct, Texas attorneys are admonished not to attribute to opposing counsel a position not taken. See Lawyers' Duties to Lawyers, ¶9. (“Counsel will neither ascribe to another counsel or party a position that counsel or the party has not taken.”).

But what if an appellate justice does this herself? -- Imputes upon a represented appellant a position not taken, and then knocks it down and resolves the appeal against that party? Or puts her stamp of approval on her law clerk’s strawman-whacking handiwork? Is that a violation of professional standards, given that both the authoring justice and the law clerk are Texas attorneys? Is it merely a matter of setting a bad example? Or does it, perhaps, establish a new precedent for the legitimate use of strawman-type reasoning as a justificatory stratagem in the disposition of appeals, in which the higher court must render an opinion explaining the reasons for its decision?

Rather than venturing an answer at this point of the appellate game, this commentator urges by way of amicus letter brief that Kem Thompson Frost, Chief Justice of the Court of Appeals for the 14th Appellate District of Texas, revisit her panel’s opinion, and reconsider the rationale belabored to affirm the judgment for American Express Bank, FSB, a federal savings bank that incidentally no longer even exists, as it has been merged into American Express National Bank.

Case cite: SAMEERA ARSHAD and ALMORFA, LLC, v. AMERICAN EXPRESS BANK, FSB, No. 14-17-00676-CV (Tex.App.-Houston [14th Dist.] July 25, 2019, no pet. h.).
根据《上诉行为标准》,德克萨斯州的律师被告诫不要将未采取的立场归咎于对方律师。参见律师对律师的责任,¶9。(“律师不得将律师或当事人未采取的立场归于另一律师或当事人。”)。但如果上诉法官自己做呢?—将未采取的立场归咎于被代理的上诉人,然后将其推翻并解决针对该方的上诉?或者在她的法律助理的稻草人手工艺品上盖章?考虑到撰写法官和法律助理都是德克萨斯州的律师,这是否违反了职业标准?这仅仅是树立坏榜样的问题吗?或者,它是否可能建立一个新的先例,在处理上诉时合法地使用稻草人式推理作为一种辩护策略,在这种策略中,高等法院必须提出解释其决定原因的意见?与其冒险在上诉游戏的这一点上给出答案,本评论员通过法庭之友信函的方式敦促Kem Thompson Frost,德克萨斯州第14上诉区上诉法院的首席大法官,重新审视她的小组的意见,并重新考虑对美国运通银行(FSB)的判决的理由,FSB是一家联邦储蓄银行,顺便说一下,它已经不复存在了,因为它已被合并为美国运通国家银行。案例引用:SAMEERA ARSHAD and ALMORFA, LLC诉美国运通银行案,FSB, No. 14-17-00676-CV (text . app)。-休斯顿[第14区]2019年7月25日,无宠物。h)。
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引用次数: 0
Self-Selection into Corrupt Judiciaries 自我选择成为腐败的司法机构
Pub Date : 2019-05-30 DOI: 10.2139/ssrn.3651425
J. Gans-Morse
Drawing on experimental games and a survey conducted with university students at an elite legal academy in Ukraine, this study compares the behavioral, attitudinal, and demographic traits of students aspiring to public sector legal careers as judges, prosecutors, and investigators with their counterparts aiming to pursue private sector legal careers as defense attorneys and commercial lawyers. I find evidence that students pursuing public sector legal careers display more willingness to cheat or bribe in experimental games as well as lower levels of altruism. These findings indicate that corruption in some societies may persist in part from the self-selection into government institutions of citizens with a higher propensity to seek profit from illicit activities. Moreover, the findings suggest that such corrupt self-selection can infect a country’s judicial and law enforcement apparatus, with potentially dire implications for the rule of law.
通过实验游戏和对乌克兰一所精英法律学院的大学生进行的调查,本研究比较了渴望在公共部门从事法官、检察官和调查员等法律职业的学生与希望在私营部门从事辩护律师和商业律师等法律职业的学生的行为、态度和人口特征。我发现有证据表明,从事公共部门法律职业的学生在实验游戏中更愿意作弊或贿赂,而且利他主义水平较低。这些发现表明,在一些社会中,腐败可能会持续存在,部分原因是那些更倾向于从非法活动中寻求利益的公民自我选择进入政府机构。此外,研究结果表明,这种腐败的自我选择可能会影响一个国家的司法和执法机构,对法治产生潜在的可怕影响。
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引用次数: 3
Disclosing the Danger: State Attorney Ethics Rules Meet Climate Change 揭露危险:州检察官道德规则应对气候变化
Pub Date : 2019-02-22 DOI: 10.2139/ssrn.3340130
V. Flatt
This article suggests a novel concept in climate change law and attorney ethics law by proposing that many states’ attorney ethics laws could be interpreted to require, or at least permit, attorneys to disclose client activity relating to greenhouse gas emissions. Every state has some form of ABA Model Rule 1.6(b), either requiring or allowing attorneys to disclose client activities that result in death or substantial bodily harm. This article asserts that prior precedent surrounding this disclosure rule indicates that it could be applicable to greenhouse gas emissions. Attorney disclosures in turn, could impact a wide swath of greenhouse gas emission activity, making it more transparent, and in certain cases requiring attorneys to counsel cessation of such activities or withdraw from representation. Because there is growing climate activism seeking to use all legal tools to slow or stop greenhouse gas emissions, this attorney ethics issue could be a strategic tool to try and control greenhouse gas emissions activities. Thus attorneys from the private sector to government should be aware of the potential ethical issues they face in handling greenhouse gas related legal work.
本文提出了气候变化法和律师道德法中的一个新概念,提出许多州的律师道德法可以解释为要求或至少允许律师披露与温室气体排放有关的客户活动。每个州都有某种形式的美国律师协会示范规则1.6(b),要求或允许律师披露导致客户死亡或实质性身体伤害的活动。本文断言,围绕这一披露规则的先前先例表明,它可以适用于温室气体排放。律师的信息披露反过来可能会影响大量温室气体排放活动,使其更加透明,并在某些情况下要求律师建议停止此类活动或退出代理。因为越来越多的气候行动主义寻求使用所有法律工具来减缓或阻止温室气体排放,这个律师道德问题可能是一个战略工具,试图控制温室气体排放活动。因此,从私营部门到政府的律师都应该意识到他们在处理与温室气体有关的法律工作时面临的潜在道德问题。
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引用次数: 0
Criminal Lawyers - Not the Defense Kind: The Strange Case of Shawn Andrea Little 刑事律师——不是辩护律师:肖恩·安德里亚·利特尔的奇怪案件
Pub Date : 2018-02-19 DOI: 10.2139/ssrn.3126465
T. Ealey
Shaw Andrea Little was a licensed attorney in the State of Ohio. She specialized in personal injury litigation. Over a period of years she converted at least $364,907 of client settlement funds to her personal use and/or to cover prior thefts. Ms. Little was subject to disciplinary proceedings and was eventually disbarred. Ms. Little has NOT been prosecuted for stealing $364,907.
肖·安德里亚·利特尔是俄亥俄州的执业律师。她专门从事人身伤害诉讼。在几年的时间里,她将至少364,907美元的客户和解基金转为个人使用和/或用于弥补之前的盗窃。利特尔受到纪律处分,最终被取消律师资格。利特尔没有因盗窃364,907美元而被起诉。
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引用次数: 0
Policy Proposal for the Regulation of Legal Defense Funds Under New York City Laws 纽约市法律下法律辩护基金监管的政策建议
Pub Date : 2017-07-06 DOI: 10.2139/ssrn.3150381
M. Halberstam, S. Lerner, Daniel Myerson
This policy brief discusses common issues that arise with Legal Defense Funds, examines regulatory responses to these issues by other jurisdictions, and makes a recommendation for legislation to govern LDFs under New York City laws.
本政策简报讨论了法律辩护基金出现的常见问题,审查了其他司法管辖区对这些问题的监管反应,并就根据纽约市法律管理最不发达基金的立法提出建议。
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引用次数: 0
Ethics Rules Lawyers Should Remember 律师应该牢记的道德准则
Pub Date : 2017-05-25 DOI: 10.2139/SSRN.2874398
Herrick K. Lidstone
This paper discusses the Colorado Rules of Professional Conduct as applicable to business, transactional, real estate, and title lawyers in Colorado. This paper also discusses comparable rules of professional conduct and interpretations from a number of other states and the ABA's Model Rules of Professional Conduct, including newly adopted Model Rule 8.4(g) and its potential negative impact on practicing lawyers, notwithstanding the good intentions of the rule. This paper addresses many of the 2018 and earlier interpretations, including regarding waiver of attorney-client privilege and work-product through incautious use of modern communications technologies and electronic file storage. It also discusses practical and ethical aspects of an attorney accepting cryptocurrency for legal fees or as a retainer, new developments relating to multi-party representation, and the application of recent interpretations of a prosecutor's duties under Rule 3.8 to subpoenas issued by grand juries to lawyers.
本文讨论了适用于科罗拉多州商业、交易、房地产和产权律师的科罗拉多州职业行为规则。本文还讨论了其他一些州和美国律师协会职业行为示范规则的可比较规则和解释,包括新采用的示范规则8.4(g)及其对执业律师的潜在负面影响,尽管该规则的初衷是好的。本文讨论了2018年和更早的许多解释,包括通过不谨慎使用现代通信技术和电子文件存储而放弃律师-客户特权和工作产品。它还讨论了律师接受加密货币作为法律费用或作为保留金的实际和道德方面,与多党制代表有关的新发展,以及最近对规则3.8下检察官职责的解释在大陪审团向律师发出传票中的应用。
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引用次数: 0
Mutually Assured Protection Among Large U.S. Law Firms 美国大型律师事务所之间的相互保证保护
Pub Date : 2017-02-19 DOI: 10.2139/ssrn.2820654
T. Baker, Rick Swedloff
Large law firms in the U.S. rely heavily on lawyers-only mutual insurers to manage their malpractice risks. Yet, under classic economic theory, mutual insurers should not be able to compete with stock insurers, at least absent a market failure. Mutuals have less access to capital and thus less ability to spread risk. Also, mutuals demand much more law firm partner time. Our research into the lawyers’ professional liability (LPL) insurance market makes three contributions. First, while we find evidence consistent with the traditional explanations for mutual insurance — market failures related to moral hazard and adverse selection and a problem with long-term contracting, we also provide a new autonomy explanation. Many lawyers, and presumably other professionals, perceive that mutual insurance promotes professional independence in the face of the social control imposed by liability and insurance. Second, we crack open the windows on a secretive aspect of law firm risk management, revealing the variable, hybrid nature of LPL mutual insurance arrangements. Third, we reframe the scholarly understanding of the relationship between organizational forms. The corporate law and insurance literature typically views mutual and stock insurers solely as competitors. We show that they also play complementary roles, as all of these mutual insurers engage extensively with commercial insurers through reinsurance or excess insurance. At least in this context, mutual insurance is not an alternative to stock insurance, but rather a way to manage access to the powerful risk distributing potential of stock insurance. Indeed, the availability of mutual insurance may favorably affect the behavior of stock insurance companies even outside of their relationships with the mutual insurers. Accordingly, our research suggests that lawyers’ participation in their mutual insurers provides benefits not only to their firms, but also to the legal profession.
美国的大型律师事务所严重依赖律师互助保险公司来管理他们的医疗事故风险。然而,根据经典的经济理论,互助保险公司不应该能够与股票保险公司竞争,至少在没有市场失灵的情况下是这样。互助银行获得资金的渠道较少,因此分散风险的能力也较差。此外,互助协议要求更多的律师事务所合伙人时间。我们对律师职业责任保险市场的研究有三个贡献。首先,我们找到了与道德风险、逆向选择和长期契约问题相关的相互保险市场失灵的传统解释相一致的证据,同时我们也提供了一种新的自主性解释。许多律师(想必还有其他专业人士)认为,面对责任和保险强加的社会控制,相互保险促进了职业独立性。其次,我们打开了律师事务所风险管理的秘密方面的窗口,揭示了LPL相互保险安排的可变和混合性质。第三,我们重新构建了对组织形式之间关系的学术理解。公司法和保险文献通常将共同保险公司和股票保险公司单独视为竞争对手。我们表明,它们还发挥着互补作用,因为所有这些相互保险公司都通过再保险或超额保险与商业保险公司广泛合作。至少在这种情况下,互助保险不是股票保险的替代品,而是一种管理股票保险强大的风险分配潜力的途径。事实上,相互保险的可获得性可能会对股票保险公司的行为产生有利的影响,甚至在它们与相互保险公司的关系之外。因此,我们的研究表明,律师参与他们的共同保险公司不仅给他们的公司带来了好处,也给法律职业带来了好处。
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引用次数: 0
Corporate Lawyer-Client Relationships: Bankers, Lawyers, Clients and Enduring Relationships 公司律师与客户关系:银行家、律师、客户和持久关系
Pub Date : 2016-06-04 DOI: 10.2139/SSRN.962725
J. Flood
(Revised May 2009) The relationship between law firms and banks has a long history. Bankers and lawyers constantly work together on transactions so that their relationships are deep and enduring. Through the use of ethnography and interviews this paper examines this relationship and that of the lawyer and client. Because of the unusually tight relationship between bankers and lawyers, the lawyer-client relationship needs to be reconstituted. It is not possible to perceive it as merely a dyadic relationship; it is now multi-polar. Even though clients may be sophisticated repeat players, clients are caught up in a relationship where they will always be secondary to the primary relationship of banker and lawyer.
(2009年5月修订)律师事务所与银行的关系源远流长。银行家和律师经常在交易中合作,因此他们的关系深厚而持久。通过使用民族志和访谈,本文考察了这种关系以及律师和客户的关系。由于银行家与律师之间异常紧密的关系,律师与客户之间的关系需要重构。我们不可能仅仅把它看作一种二元关系;它现在是多极的。尽管客户可能是老练的重复玩家,但客户陷入了一种关系,在这种关系中,他们将永远处于银行家和律师的主要关系之下。
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引用次数: 0
Norwegian Lawyers and Political Mobilization: 1623-2015 挪威律师与政治动员:1623-2015
Pub Date : 2016-06-03 DOI: 10.2139/ssrn.2789729
M. Langford
Do Norwegian lawyers mobilize only to enhance their privileges and prestige? Or do they also engage in collective action for more noble ends? Contrary to materialist approaches, the theory of the ‘legal complex’ predicts that the legal profession will struggle as an entity for ‘political liberalism’ – a moderate state with basic civil rights and freedoms. This presents a paradox for the Nordic countries. Lawyers are not especially visible in the public sphere yet political liberalism is more deeply entrenched than elsewhere. If correct, this suggests either a case of Nordic exceptionalism or a problematic theory. This paper focuses on Norway. Beginning with the emergence of lawyers in the 1600s, it traces the legal profession’s engagement with the development and defense of political liberalism. This is complemented by a quantitative content analysis of interventions by the Advokatforeningen (law society). The paper argues that the results should prompt us to rethink legal complex theory more generally. The legal profession will only mobilize broadly for political liberalism when: (1) committed individual lawyers are able to overcome collective action dilemmas in the profession and (2) lawyer-centric forms of mobilization are viewed as less costly or more appropriate than the alternatives.
挪威律师动员起来只是为了提高他们的特权和声望吗?或者他们也会为了更崇高的目标而参与集体行动?与唯物主义的方法相反,“法律情结”理论预测,法律职业将作为一个实体为“政治自由主义”——一个拥有基本公民权利和自由的温和国家——而斗争。这给北欧国家带来了一个悖论。律师在公共领域并不特别显眼,但政治自由主义比其他地方更根深蒂固。如果这是正确的,这表明要么是北欧例外论,要么是一个有问题的理论。本文以挪威为研究对象。本书从17世纪律师的出现开始,追溯了法律职业与政治自由主义的发展和捍卫的关系。此外,律师协会还对干预措施进行了定量内容分析。本文认为,这些结果应该促使我们更普遍地重新思考法律复杂性理论。法律职业只有在以下情况下才会为政治自由主义进行广泛的动员:(1)坚定的律师个人能够克服行业中的集体行动困境;(2)以律师为中心的动员形式被认为比其他形式成本更低或更合适。
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引用次数: 1
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Legal Ethics & Professional Responsibility eJournal
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