Trademark and unfair competition conflicts : historical-comparative, doctrinal, and economic perspectives / Tim W. Dornis.
2017
K7571 .D67 2017 (Map It)
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Author
Title
Trademark and unfair competition conflicts : historical-comparative, doctrinal, and economic perspectives / Tim W. Dornis.
Published
Cambridge, United Kingdom ; New York, NY, USA : Cambridge University Press, 2017.
Copyright
©2017
Call Number
K7571 .D67 2017
ISBN
9781107155060 hardcover
1107155061 hardcover
1107155061 hardcover
Description
lii, 644 pages ; 24 cm.
System Control No.
(OCoLC)953525420
Summary
"Both in Europe and the United States, a socioeconomic cataclysm of industrialization and market liberalization-including the invention of branding, mass advertising, and marketing psychology-was the driving force behind the construction of modern trademark and unfair competition laws. During the last two centuries, legal doctrine accordingly underwent partly groundbreaking transformations. Many of these account for today's transatlantic dichotomy, particularly in the field of trademark and unfair competition choice of law, or conflicts law. My analysis will focus on the most relevant characteristics of legal doctrine between the eighteenth and twenty-first centuries. I argue that a closer look at conceptual and structural differences, as well as commonalities between European and US law, provides the basis for a reconceptualization of the field"-- Provided by publisher.
Bibliography, etc. Note
Includes bibliographical references and index.
Record Appears in
Table of Contents
Acknowledgments
xv
List of Abbreviations
xvii
Table of Cases
xxviii
Introduction
1
1.
Civil Law History---Germany and Europe
6
Introduction
6
1.
Substantive Trademark and Unfair Competition Law
9
I.
Structure: State Regulation and Formal Privileges
9
A.
Criminal Law Beginnings
10
B.
From State Regulation to Individual Rights Protection
14
C.
Positivist Concept of Privilege Grants
17
II.
Substance: Personality Rights and Private Property
21
A.
Josef Kohler's Personality Rights Theory
21
B.
Statutory Introduction of Private Rights Protection
24
III.
Consequences: The Field's Dichotomies
27
A.
Trademark/Unfair Competition Dichotomy
27
B.
Privilege/Personality Right Dichotomy
32
IV.
Twentieth Century: A Triumph of Separatism
39
A.
Reichsgericht Sansibar and Pecose: A Shaky Hierarchy of Policies
40
B.
Eugen Ulmer: An Almost Reconciliation
42
C.
Europe: Rights Formalism and Individualization
46
D.
Final Blow: Propertization vs. Socialization
50
2.
Trademark and Unfair Competition Choice of Law
53
I.
From Universality to Territoriality
53
A.
Worldwide Scope of Personality Rights
53
B.
Alfred Hagens and the Territoriality of Trademarks
57
C.
Under the Surface: Fairness-Standard Universality
60
II.
From International Torts to International Economic Law?
64
A.
From Lex Loci Delicti Commissi to Nussbaum's Rule
64
B.
Silver Lining: The Kindersaugflaschen Doctrine
68
C.
Twenty-First Century: A Merger of Conflict Rules?
71
Conclusions
74
2.
Common Law History---United States
76
Introduction
76
1.
Substantive Trademark and Unfair Competition Law
77
I.
Early Straightjacket: Equity, Passing Off, and Universality
78
A.
Trademark Protection in the Distorting Mirror of Law and Equity
79
B.
Passing Off: "The Whole Law and the Prophets on the Subject"
84
C.
Kidd/Derringer. Trademark Universality "US Style"
90
II.
Right/Markets Connex: Materialization, Goodwill, and Trade Diversion
94
A.
Materialization of Trademark Rights
95
B.
Reverse Picture: Trade-Diversion Prevention
99
C.
Tea Rose/Rectanus: The Doctrine of Market-Based Rights
102
III.
Realist Attack: Much Ado about ... Quite Little
110
A.
Turn-of-the-Century Crisis
110
B.
Courts' Adherence to "Transcendental Nonsense"
112
C.
Frank I. Schechter: The Victory of Goodwill
117
IV.
Modern Theory and Practice: Economic Analysis and Repropertization
121
A.
1946 Lanham Act: Monopoly Phobia Well Cured
121
B.
Economization of US Trademark Law
123
C.
Modern Propertization and Repropertization
126
2.
Interstate Trademark and Unfair Competition Law
127
I.
"Market Universality" of Trademark Rights
128
A.
A. Bourjois & Co. v. Katzel: The One-Way Street of Trademark Extension
128
B.
Tea Rose/Rectanus: The Doctrine of Nonterritorial Rights
129
C.
Holmes Concurring: A "Passive Figurehead" of State Sovereignty
132
II.
Federal Common Law of Trademarks and the Erie Doctrine
134
A.
Traditional Hodgepodge of State and Federal Common Law
135
B.
Erie Impact: The "Passive Figurehead" of State Sovereignty Reloaded
138
III.
1946 Lanham Act: An Innovation of Almost Territorial Rights
141
A.
Common Law Foundation of Federal Statutory Rights
141
B.
Scholarly Distortions: A Mirage of "Territorial Extraterritoriality"
147
IV.
Summary: Nonformalism and the Nonterritoriality of Trademarks
149
3.
International Trademark and Unfair Competition Law
151
I.
Porosity of National Borders and International Goodwill Theory
152
A.
Well-Known Marks Doctrine: Transnational Goodwill Misappropriation
152
B.
Rudolf Callmann: A Theory of International Unitary Goodwill
156
II.
Trademarks' Extraterritorial Scope: Steele v. Bulova Watch Co. and Its Progeny
159
A.
Epicenter of Extraterritoriality: Steele v. Bulova Watch Co.
159
B.
Steele Progeny: A Motley Crew of Circuit Court Tests
161
III.
Doctrinal Analysis: Use-Based Rights and Commercial Effects
164
A.
Common Law Roots of Lanham Act Subject-Matter Jurisdiction
164
B.
Element of Modernity: The Effects-on-Commerce Factor
170
IV.
Bird's-Eye View: Taking Stock of Lanham Act Extraterritoriality
171
A.
Antitrust Gene: A Dominance of Effects
172
B.
Common Law Goodwill Protection: Tea Rose/Rectanus Goes Global
177
V.
Summary: An Era of International Trademark Propertization
185
Conclusions
186
3.
Ragged Landscape of Theories
190
Introduction
190
1.
Traditional Civil Law Trademark Conflicts
193
I.
Principle of Territoriality
193
II.
Analysis: The Curse of Formal Reasoning and Conduct Orientation
200
2.
Modern Civil Law Unfair Competition Conflicts
203
I.
Marketplace Principle, Determination of Effects, and the De Minimis Rule
203
A.
Collision-of-Interests and Substantive-Purpose Analysis
203
B.
Multistate Scenarios: Determination of Marketplace Effects and De Minimis Limitations
209
II.
Analysis: The Obsolescence of Tort Foundations
214
3.
New Paradigm---A Law of Market Regulation
220
I.
Antitrust Conflicts Reloaded: The Effects Principle
220
II.
Analysis: The Unboundedness of Unqualified Effects
223
4.
Modern Soft Law---WTPO Recommendation, ALI Principles, and Others
225
I.
Nonbinding Suggestions of Substantive Law and Conflicts Resolution
226
A.
Joint Recommendation Concerning Provisions on the Protection of Marks, and Other Industrial Property Rights in Signs, on the Internet
226
B.
ALI Principles, CLIP Principles, and the Japanese Transparency Proposal
228
II.
Analysis: "Chips off the Old Block"
232
A.
Joint Recommendation
233
B.
ALI Principles, CLIP Principles, and the Japanese Transparency Proposal
234
5.
American Scholarly Debate
236
I.
Common Law Tradition and Transnational Market Protection
237
A.
General Tendency of Equitable Rights Limitlessness
238
B.
Nintendo Transformation: From Act-of-State-Doctrine to Substantive Dichotomy
241
C.
Revival of Territoriality: A Quasi Continental Choice-of-Law Approach
244
D.
"Domestic Extraterritoriality" of Statutory Trademark Rights
246
E.
Tea Rose/Rectanus "Transnationalized": The Common Law Cross-Border Crusade
247
F.
Shift to Effects Testing: An Idea of Transnational Market Regulation
249
II.
Analysis: Common Law Tradition Meets Extraterritorial Market Regulation
251
6.
Substantivism and Transnational Uniform Law
256
I.
Overview
256
A.
Foundations
256
B.
Modern Concepts of Substantivism in Intellectual Property Law
258
C.
Nonterritorial Concepts: "Cyberlaw" and the "Collision of Rights"
262
II.
Analysis: The Fata Morgana of Universal Policy
265
7.
Rediscovery of International Comity
268
I.
Comitas Approach
268
II.
Analysis: A "Quadrature of the Circle"
269
Conclusions
270
4.
Substantive Policy---Convergent Foundations
273
Introduction
273
1.
Foundations---The Market Mechanism
275
I.
Concept of "Economic Competition"
275
A.
Legal Framework
275
B.
Rediscovery of Chaos
276
C.
Dynamics of Competition
280
1.
Tradition of Competitor Protection
280
2.
Advent of (Consumer) Decision Making
281
3.
Complementary Spheres of Transactional Freedom
283
II.
"Triangular" Structure of the Market Mechanism
285
III.
Stages of Consumer Decision Making and Transacting
287
A.
Information Transmission
288
B.
Information Processing
290
C.
Implementation of the Consumer's Decision
291
D.
Caveat: Limitations of Consumer Decision Making
293
IV.
Summary
294
2.
Implementation---Substantive Law
295
I.
Tort and Unfair Competition Law
295
A.
Mirage of Practical and Formal Differences
296
B.
Relativity of Protection Levels
300
1.
Early Starting Point: Claims "against the World at Large"
300
2.
United States: From Property to Policy and Back Again
301
3.
Germany: The Eternal Dichotomy of Rights and Competition
305
C.
Heterogeneity of Policies: Vertical and Horizontal Competition
309
1.
Two Types of Unfair Competition Cases and Regulatory Policies
310
2.
Clarification: The Horizontality of Neminem Laedere
313
D.
Summary
314
II.
Antitrust and Unfair Competition Law
315
III.
Intellectual Property Dichotomy: Innovation vs. Competition
317
A.
Mistaken Concept of Intellectual Property Uniformity
318
1.
Historical Remnants: The "Immaterialization" of Trademarks
318
2.
Current Doctrine: Intellectual Property Homogeneity
319
B.
Rectification: A Grounded Intangibility of Trademarks
321
1.
Difference in Intellectual Property Incentive Structures
321
2.
Apparent Exception: The Trademark Register
323
C.
Summary
325
IV.
Trademark and Unfair Competition Law: Framing the Information Infrastructure
325
A.
Illusion of a Formal Divergence
326
1.
Recapitulation: Trademark Property vs. Consumer Protection
326
2.
Cracks in the Foundation: A Remerger of the Fields
328
(a).
Statutory Framework: Unfair Commercial Practices Directive
328
(b).
Consolidation of Interests: Depropertization and Desocialization
329
(c).
Practical Picture: A Subtle Recapture
331
(d).
Relicts of Antiquity: Pockets of Resistance
333
(e).
Myth of the Public Samaritan
337
3.
Summary
338
B.
Structural Congruency of Trademark and Unfair Competition Law
339
1.
Common Core: Information Economization
339
2.
Beyond Confusion: Alternative Theories of Trademark Protection
341
3.
Two Sides of the Coin: Law and Equity in Market Communication
344
C.
Summary
347
3.
Application---Functional Structures in Trademark and Unfair Competition Doctrine
348
I.
Trademark Protection
349
A.
Navigation Goodwill: Confusion-Based Infringement Theory
349
B.
Surplus Goodwill: Non-Confusion-Based and Time-Shifted Infringement Theories
350
1.
Antidilution Doctrine
350
2.
Temporal Extensions of Goodwill Protection
353
(a).
Postsale Confusion
353
(b).
Initial-Interest Confusion
357
3.
Common Denominator
358
II.
Unfair Competition Prevention
359
A.
Recapitulation: Stages of Decision Making and Policy Differences
360
B.
Integrated Model of Unfair Competition Law (Including Passing Off)
361
C.
Amalgam of Policies: Harassment, Privacy, and Decision Making
366
D.
Beware of the Consumer's "Economic Personality Right"
367
E.
Quasi IP Rights: The Gray Zone of Product Imitation
370
F.
Continental Dark Horse: Breach of Statutory Duties as Unfair Competition
374
III.
Hybrid Category: Geographical Indications
375
Conclusions
378
5.
International Comity---A Doctrine of Self-Restraint
381
Introduction
381
1.
From Comitas Gentium to Transnational Law
383
I.
Status Quo: A Publicization of Private International Law
384
A.
(Non)Historical Dichotomy: Private and Public International Law
385
B.
Duality of Methods
388
C.
Blurring of Boundaries
391
II.
In the Shadows: The Creeping Deformation of Comity
395
A.
Transnationalization: A Resurrection of the Ius Cosmopoliticum
396
B.
Historical Leitmotif: Convenience of International Transacting
398
1.
Joseph Story: The Consensual Administration of Conflicts
400
2.
Friedrich Carl von Savigny: A Legal Community In Statu Nascendi
402
3.
Ernst Zitelmann: The Weltrecht of Uniform Policy
406
4.
Summary
407
C.
Modernity of Transnational Law: An Apotheosis of Substantive Uniformity
408
1.
Philip C. Jessup: The Hybridity and Universality of Transnational Law
409
2.
Twentieth Century: Conflicts Doctrine Internationalized
410
(a).
Maritime Internationalism: The Lauritzen Doctrine
411
(b).
Savigny Diluted: A Theory of Separate Attachment
413
(c).
Public International Law Osmosis: The Ordre Public International
415
3.
Turn of the Century: The Unearthly Detachment of Transnationalization
417
(a).
Odyssey of Interest Analysis: Currie's Game-Theoretical Return to Savigny
418
(b).
Law and Economics: The Super-Value of Welfare Maximization
421
(c).
Global Legal Pluralism: Fragmentation, Functionality, and Universality
425
III.
Summary
431
2.
Transnationalization Exhausted
432
I.
International Antitrust: A History of Effects, Public International Law, and Comity
433
A.
Lotus Isolationism: A Lacuna of Nation-State Sovereignty
434
B.
General Principles: The Droit Ideal of Public International Law
435
C.
Practical Proxy: Interest Balancing
437
1.
Theoretical Approaches
438
2.
Practice: Timberlane and Mannington Mills
440
3.
Rule of Reason
442
D.
Effects Principle: From Unboundedness to Self-Restraint
445
1.
Europe: A Theory of Public International Law Limitations
446
2.
Alcoa to Hartford Fire: From Unlimited to Substantial Effects
448
3.
Empagran: The About-Face toward Comity
453
4.
Empagran Critique: Capitulation, Isolationism, and Imperialism
456
5.
Comity of Self-Defense: Ostracizing the Private Attorney General
457
E.
Summary
463
II.
Zenith of Transnationalization: A Story of Alien Tort Statute Contraction
464
A.
"Legal Lohengrin": From Comity to Settled International Law
464
B.
Sosa Transnationalization: Hybridity, Universality, and Specificity
466
C.
Pandora's Box: Politics and Economics
469
D.
Kiobel v. Royal Dutch Petroleum Co.: The Swan Song of Transnationalization?
474
III.
Summary
478
3.
Shadowy Existence of Trademark and Unfair Competition Conflicts
480
I.
Mirage of Extraterritorial Enforcement Efficiency
481
II.
Reality of International Trademark Rights Protection
483
A.
International Intellectual Property Rights Segmentation
484
B.
International Vacuum of Nation-State Capacities
486
C.
Trademark Extraterritoriality: Individual Propertization and Overall Taxation
487
III.
Summary
488
Conclusions
489
6.
Reconceptualization, Reinterpretation, and Typology
491
Introduction
491
1.
New Conflicts Resolution Structure
492
I.
Trademark/Unfair Competition Uniformity: Core Policies
493
II.
Quality of Effects: A Rule of Alternatives
494
III.
Quantity of Effects: Jurisdictional Self-Restraint
497
A.
Word in Advance: Practical Relativity
498
B.
Objective Foreseeability
501
1.
Party Expectations and the International Private Law Order
501
2.
Technique and Factors of Market Analysis
504
3.
Clarification: Defendant's Intent and Actual Effects
505
C.
International Comity
507
1.
Current De Minimis Standards
508
(a).
Paradigm of "Shields" and "Swords"
508
(b).
Analysis: An Ad Hoc Rule of "International-Individual Equity"
510
2.
Reconceptualization
512
(a).
Structural Underpinning and Relevant Interests
513
(b).
Practical Rules and Presumptions
515
(i).
Starting Point: Fact-Based Crafting of Remedies
515
(ii).
Prima Facie "Effects Sufficiency": Defendant's Intent
517
(iii).
Caveat: "Effects Unavoidability"
518
IV.
Summary
520
2.
Reinterpretation of Steele and Rome II
521
I.
US Lanham Act Subject-Matter Jurisdiction
521
A.
Modification: A Qualitative Reformulation of "Effects on US Commerce"
522
B.
Reinterpretation: Dusting Off "Nationality" and "Conflicts with Foreign Law"
525
1.
Nationality, Citizenship, and What Else---or Nothing at All?
525
2.
Conflicts with Foreign Law: Another Shell of Formalities
528
3.
New Paradigm
529
(a).
Neutralization of Nationality and Citizenship
529
(b).
Deformalization and Depropertization of "Conflicts with Foreign Law"
531
II.
European Trademark and Unfair Competition Choice of Law
533
A.
Clarification: Characterization of Trademark and Unfair Competition Conflicts
533
B.
Foundation: Marketplace Effects Rule and the Lex Loci Protectionis
538
C.
Application: Marketplace Effects and the Gran Canaria Conundrum
539
1.
Recapitulation: The Gran Canaria Scenario
539
2.
Problem: Economic Concepts and Legal Terminology
541
3.
Analysis: The Chronology of Consumer Decision Making
542
4.
Implementation: Alternative Transactions and the Merger of Markets
545
5.
Conclusion
548
3.
Typology of Trademark and Unfair Competition Conflicts
548
I.
Consumer Decision Making: Protecting the Market Information Infrastructure
549
A.
Common Core of Trademark and Unfair Competition Policies
549
1.
Advertising Communication: A General "Rule of Alternatives"
549
2.
No Exceptions: Trademarks, Trade Names, Geographical Indications, and Designations of Origin
551
B.
Implementation of Decision-Making Results: Transacting
553
1.
Core Policy
553
2.
Policies Beyond
555
II.
Theories of Misappropriation and Other Impact on Competition
556
A.
Modern Extensions of Trademark-Infringement Theory
556
B.
Product Imitation
560
C.
Antitrust Concurrence
563
D.
Breach of Statutory Duties as Unfair Competition
565
III.
Competitor-Related and Bilateral Commercial Torts
566
Appendix A
572
Appendix B
576
Bibliography
583
Index
637