Thursday, November 14, 2013

Judges and the ethics and compliance community

Sent: 11/14/2013 7:46:08 A.M. Central Standard Time
Subj: Judges and the corporate ethics and compliance community
Dear Sir,
I have previously contacted your (and other) judges organizations about certain citizen's concerns I have related to deterring corporate wrongdoing.
The upshot has been that your respective organizations have other priorities; and my concerns, however important they may be and however significant the role of judges may be related to the same, are not something you have resources for.
Nonetheless, I am continuing my work. One goal in my effort has been to arouse the corporate ethics and compliance community about the matter (because their goal is to lessen corporate wrongdoing as well) and to enlist that community to publicize their views in a way that judges, among others, would hear.
Notwithstanding the lack of priority for your organizations, I wish to report that I have been unable to budge the ethics and compliance community, and I cannot get that community to investigate and develop a position on entity level liability versus officer and employee liability as a means to deter corporate wrongdoing, and they are not putting forth their position to other relevant parties, such as legislators, prosecutors, regulators, attorneys general, and judges.
That the ethics and compliance community cannot be persuaded in the foregoing regard is unhelpful in my work.
Individual judges (e.g., Judges Rakoff, Marrero and Stein in the SDNY; see this this article) have raised this matter in a way that has gotten into the news.
While I am not getting help from the corporate ethics and compliance community, I will continue to press on relevant fronts.
If your judges organization does not have any resources available for this matter, can you recommend any other venue in which I can communicate with judges about this?
Thank you.
Rob Shattuck

No comments: