港口犹太人贸易网络与犹太社会的现代转型
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摘要
在近代早期世界的诸多港口城市,活跃着一批频繁开展跨地区交往的塞法尔迪犹太人及其后裔,这些港口犹太人参与到殖民扩张和跨大西洋贸易中,形成了连接地中海、大西洋、印度洋乃至太平洋的全球性贸易网络。港口犹太人由于其商业地位而赢得了主体社会的认可,进而获得了许多前所未有的公民权利,该群体蕴含着现代商业社会的诸多特征:空前的流动性与亲族关系网络、"全球族"的跨文化群体属性、商业价值的主导地位、现代经营手段与信用工具的运用、对传统宗教权威的挑战、法律与社会地位的提升,等等。存在达三个世纪之久的港口犹太人及其贸易网络有着重要的历史意义,不仅推动了近代早期全球经济联系的扩展,而且促进了犹太社会的现代转型,代表着犹太社会内部孕育现代性的另一条路径。
In the early modern time,many Sephardi Jews and their descendants carried on trans-regional business at many port cities.These Jews in port cities involved in colonial expansion and trans-Atlantics trade,which formed global trade networks connecting Mediterranean,the Atlantics,the Indian Ocean,and the Pacific Ocean.They gained recognition from mainstream society due to their commercial status,and gained unprecedented civil rights.This group bore many characteristics of modern commercial society:unparalleled fluidity and kinship networks,global trans-cultural attribute,the dominance of commercial value,modern means of management and the usage of modern creditability,confrontation to the traditional religious authorities,and the raising of legal and social position.This group of Jews who were active for more than three centuries and their trade networks are of great significance.They had not only contributed to the expansion of global economic connections in early modern,but also promoted the modern transition of the Jewish society,and stand for another path of modernity within the Jewish society.
In the early modern time,many Sephardi Jews and their descendants carried on trans-regional business at many port cities.These Jews in port cities involved in colonial expansion and trans-Atlantics trade,which formed global trade networks connecting Mediterranean,the Atlantics,the Indian Ocean,and the Pacific Ocean.They gained recognition from mainstream society due to their commercial status,and gained unprecedented civil rights.This group bore many characteristics of modern commercial society:unparalleled fluidity and kinship networks,global trans-cultural attribute,the dominance of commercial value,modern means of management and the usage of modern creditability,confrontation to the traditional religious authorities,and the raising of legal and social position.This group of Jews who were active for more than three centuries and their trade networks are of great significance.They had not only contributed to the expansion of global economic connections in early modern,but also promoted the modern transition of the Jewish society,and stand for another path of modernity within the Jewish society.
引文
(1)Chad Alan Goldberg,Modernity and the Jews in Western Social Thought,Chicago:The University of Chicago Press,2017,p.104.
(2)Jacob Katz,ed.,Toward Modernity:The European Jewish Model,New Brunswick,N.J.:Transaction Books,1987.
(1)“塞法尔迪人”(Sephardim)一词源自希伯来语“Sefarad”,原意为“富庶之岛”,《圣经》中以该词指称物产丰富的伊比利亚半岛。塞法尔迪人和阿什肯纳兹人(Ashkenazim)共同构成中古与近代早期犹太世界内部的两大主要群体。与主要分布在中东欧地区的阿什肯纳兹人不同,塞法尔迪人一开始集中在伊比利亚半岛,1492年西班牙大驱逐后分散开来,主要分布在地中海、大西洋、印度洋等地的港口地区。
(2)Yosef Kaplan,An Alternative Path to Modernity:The Sephardi Diaspora in Western Europe,Leiden:Brill,2000.
(3)罗伯特·塞尔茨:《犹太的思想》,赵立行、冯玮译,上海:上海三联书店,1994年,第507页。
(4)Cecil Roth,A History of the Marranos,Philadelphia:Jewish Publication Society of America,1932.
(5)会后结集出版了同名论文集,参见Paolo Bernardini and Norman Fiering,eds.,The Jews and the Expansion of Europe to the West,1450to 1800,New York:Berghahn Books,2001.
(1)参见Jonathan I.Israel,Diasporas within a Diaspora:Jews,Crypto-Jews,and the World Maritime Empires(1540-1740),Leiden:Brill,2002;Daviken StudnickiGizbert,A Nation upon the Ocean Sea:Portugal's Atlantic Diaspora and the Crisis of the Spanish Empire,1492-1640,Oxford:Oxford University Press,2007.
(2)例如,Esther Benbassa and Aron Rodrigue,Sephardi Jewry:A History of the JudeoSpanish Comm unity,14th-20th Centuries,Berkeley:University of California Press,2000;Daniel M.Swetchinski,Reluctant Cosmopolitans:The Portuguese Jews of Seventeenth-Century Amsterdam,London:The Littman Library of Jewish Civilization,2000;Mordechai Arbell,The Jewish Nation of the Caribbean:The SpanishPortuguese Jewish Settlements in the Caribbean and the Guianas,Jerusalem:Gefen Publishing House,2002;Francesca Trivellato,The Familiarity of Strangers:The Sephardic Diaspora,Livorno,and Cross-Cultural Trade in the Early Modern Period,New Haven:Yale University Press,2009;Jessica V.Roitman,The Same But Different?Inter-Cultural Trade and the Sephardim,1595-1640,Leiden:Brill,2011.仅有的例外是,约瑟夫·卡普兰以西欧的塞法尔迪群体为例,探讨了塞法尔迪人与犹太社会通向现代的另一条道路之间的关系,参见Yosef Kaplan,An Alternative Path to Modernity:The Sephardi Diaspora in Western Europe.实际上,这些现代特征不仅限于西欧的塞法尔迪人,而在整个塞法尔迪流散地(尤其是在地中海、大西洋、印度洋的诸多港口城市)都有不同程度的呈现。
(3)B.S.Hoyle and D.A.Pinder,European Port Cities in Transition,London:Belhaven Press,1992,p.1.
(1)很大程度上,“港口犹太人”的概念是相对于宫廷犹太人(Court Jews)而言的。在德文中,宫廷犹太人为“Hofjuden”,而港口犹太人为“Hafenjuden”。宫廷犹太人主要活跃在绝对主义时期(17、18世纪)的中欧君主制国家,以从事金融、承包等经济活动著称。参见Selma Stern,TheCourtJewA Contributiontothe Historyofthe PeriodofAbsolutisminCentralEurope,trans.Ralph Weiman,Philadelphia:Jewish Publication Society of America,1950.
(2)Lois C.Dubin,The Port Jews of Habsburg Trieste:Absolutist Politics and Enlightenment Culture,Stanford,Calif.:Stanford University Press,1999;David Sorkin,"The Port Jew:Notes Toward a Social Type,"Journal of Jewish Studies,vol.50,no.1(Spring 1999),pp.87-97.
(3)2001-2005年,南安普顿大学帕克斯研究所启动“港口犹太人研究项目”(Port Jews research project);2001年与2003年,围绕这一主题先后在南安普顿大学和开普敦大学举行了两次大型学术研讨会,并在会后出版了论文集。有关这两次学术会议的论文集,参见David Cesarani,ed.,Port Jews:Jewish Comm unities in Cosmopolitan Maritime Trading Centres,1550-1950,London:Frank Cass,2002;David Cesarani and Gemma Romain,eds.,Jews and Port Cities 1590-1990:Comm erce,Comm unity and Cosmopolitanism,London:Vallentine Mitchell,2006.
(4)1391年从塞维利亚开始的伊比利亚半岛强制改宗浪潮,致使大批犹太人皈依基督教,这群规模浩大的改宗者随后被称为“新基督徒”(cristiano nuevo);而不少改宗者虽对外宣称为基督徒但私下仍秘密遵守犹太教的生活方式,这些秘密犹太人被基督徒贬称作“马兰诺”(Marranos)。
(5)为了从根本上解决马兰诺问题、切断其与犹太人的联系,1492年3月31日,西班牙国王费迪南德与伊萨贝拉联合签发驱逐犹太人的法令(Alhambra Decree),限令王国领地上的所有犹太人必须在4个月之内离开,是为“1492年大驱逐”事件(The Expulsion of 1492)。据估计,此次大驱逐导致大约20万犹太人被迫离开西班牙,其中约有12万人进入邻近的葡萄牙王国。
(1)参见Dean Phillip Bell,Jews in the Early Modern World,Plymouth:Rowman&Littlefield,2008,p.36.
(2)David Cesarani,"Port Jews:Concepts,Cases and Questions,"Jewish Culture and History,vol.4,no.2,2001,p.5.
(3)随着欧洲殖民势力向东扩张,19世纪中期至20世纪初,一些塞法尔迪商人将其贸易网络扩展至远东地区,因而这一时期新加坡、马尼拉、香港、上海等港口的犹太人通常也被纳入港口犹太人的范畴。参见Jonathan Goldstein,"The Sorkin and Golab Theses and Their Applicability to South,Southeast,and East Asian Port Jewry,"Jewish Culture and History,vol.4,no.2,2001,pp.179-196.
(1)Lois Dubin,"Introduction:Port Jews in the Atlantic World'Jewish History',"Jewish History,vol.20,no.2,2006,pp.118,125.
(2)Alfred W.Crosby,The Columbian Exchange:Biological and Cultural Consequences of 1492,Westport,Conn.:Greenwood Publishing Co.,1972.
(3)转引自Cecil Roth,A History of the Marranos,p.271.
(4)参见Meyer Kayserling,Christopher Columbus and the Participation of the Jews in the Spanish and Portuguese Discoveries,New York:Longmans,Green,&Co.,1894.
(1)近代早期的西方殖民扩张通常分为两大体系---以西班牙、葡萄牙为主的伊比利亚体系(Iberian system)和以荷兰、英国、法国为主的西北欧体系(Northwest European system)。参见Pieter Emmer,"The Two Expansion Systems in the Atlantic,"Itinerario,vol.15,no.1,1991,pp.21-27.
(2)Daviken Studnicki-Gizbert,A Nation upon the Ocean Sea:Portugal's Atlantic Diaspora and the Crisis of the Spanish Empire,1492-1640,p.94.
(1)Mordechai Arbell,The Portuguese Jews of Jamaica,Kingston:Canoe Press University of the West Indies,2000,p.48.
(2)Harry A.Ezratty,500Years in the Jewish Caribbean:The Spanish and Portuguese Jews in the West Indies,Baltimore,MD:Omni Arts,1997,p.59.
(3)Mordechai Arbell,"Jewish Settlements in the French Colonies in the Caribbean(Martinique,Guadeloupe,Haiti,Cayenne)and the'Black Code',"in Paolo Bernardini and Norman Fiering,eds.,The Jews and the Expansion of Europe to the West,1450to 1800,p.291.
(4)参见Edward Kritzler,Jewish Pirates of the Caribbean,New York:Doubleday,2008.
(5)17世纪的阿姆斯特丹也是欧洲乃至世界塞法尔迪人的中心和“母亲社团”(mother community),被誉为“荷兰的耶路撒冷”(Dutch Jerusalem)。
(6)Arnold Wiznitzer,"The Number of Jews in Dutch Brazil(1630-1654),"Jewish Social Studies,vol.16,no.2(April 1954),p.111.
(7)Isaac S.Emmanuel and Suzanne A.Emmanuel,A History of the Jews of the Netherlands Antilles,vol.1,Cincinnati:American Jewish Archives,1970,p.681.
(8)Wim Klooster,"The Jews in Suriname and Cura9ao,"in Paolo Bernardini and Norman Fiering,eds.,The Jews and the Expansion of Europe to the West,1450to 1800,p.356.
(1)港口犹太人在早期北美犹太社团中占据主要地位,几乎每个有组织的犹太社团---萨凡纳、查尔斯顿、费城、纽约与纽波特的犹太社团---都是在港口城市中发展起来的。
(2)Walter J.Fischel,"The Indian Archives:A Source for the History of the Jews of Asia(From the Sixteenth Century on),"The Jewish Quarterly Review,vol.57,1967,p.195.
(3)Kenneth X.Robbins,"Jews,New Christians,and the Portuguese on the South Malabar Coast,"in Kenneth X.Robbins and Marvin Tokayer,eds.,Western Jews in India:From the Fifteenth Century to the Present,New Delhi:Manohar,2013,p.98.
(4)Cecil Roth,The Sassoon Dynasty,London:Robert Hale,1941,p.11.
(5)有学者强调港口犹太人与荷兰商业霸权之间的密切联系:“塞法尔迪人在西欧处于支配地位的时期与荷兰在17世纪的活力相一致并部分地依赖于后者。一个世纪以后,欧洲贸易模式转移导致荷兰霸权的结束,将荷兰变成二流强国,而阿姆斯特丹的塞法尔迪显赫商人家族也随之衰落,正如相互联系的波尔多、汉堡、威尼斯与伦敦塞法尔迪社团一样。塞法尔迪人因而沦为不断趋于边缘的地位。”参见Jane S.Gerber,The Jews of Spain:A History of the Sephardic Experience,New York:The Free Press,1992,pp.181-182.
(1)Jonathan I.Israel,Diasporas within a Diaspora:Jews,Crypto-Jews,and the World Maritime Empires(1540-1740),pp.38-39.
(2)Noah L.Gelfand,"A People Within and Without:International Jewish Commerce and Community in the Seventeenth and Eighteenth Centuries Dutch Atlantic World,"Ph.D.Dissertation,New York:New York University,2008,p.6.历史资料证明,港口犹太人直接和间接地充当了殖民扩张活动的先驱者和代理人角色,积极参与了以奴隶贸易和海盗贸易等为代表的殖民活动,这些殖民掠夺行为给所到之处带来的负面影响与破坏作用是不可否认的。但正是通过这些活动,犹太人扩展了自身的国际商业联系,其社团内部的商业特性也得以进一步成长。
(3)Jonathan I.Israel,Diasporas within a Diaspora:Jews,Crypto-Jews,and the World Maritime Empires(1540-1740),p.1.
(1)David Sorkin,"The Port Jew:Notes Toward a Social Type,"p.97.
(2)Daniel M.Swetchinski,"Kinship and Commerce:The Foundations of Portuguese Jewish Life in Seventeenth-Century Holland,"Studia Rosenthaliana,vol.15,no.1(March 1981),p.73.
(3)费尔南·布罗代尔:《地中海与菲利普二世时代的地中海世界》第2卷,吴模信译,北京:商务印书馆,2013年,第250页。
(4)Sam N.Lehman-Wilzig,"The House of Rothschild:Prototype of the Transnational Organization,"Jewish Social Studies,vol.40,no.3/4(Summer-Autumn 1978),pp.251-270.
(1)Cecil Roth,A History of the Marranos,p.233.
(2)Yosef H.Yerushalmi,"Between Amsterdam and New Amsterdam:The Place of Cura9ao and the Caribbean in Early Modern Jewish History,"American Jewish History,vol.72,no.2(December 1982),pp.177-178.
(3)乔尔·科特金:《全球族:新全球经济中的种族、宗教与文化认同》,王旭等译,北京:社会科学文献出版社,2010年,“序言”,第2、4页。
(4)Seymour Liebman,New World Jewry,1493-1825,New York:Ktav Publishing House,1982,p.189.
(1)许多塞法尔迪人从事翻译、代理人、顾问和航海向导等职业。例如,哥伦布远航舰队的翻译路易斯·德·托雷斯、达伽马远航舰队的翻译兼航海向导加斯帕尔(Gaspar)、葡萄牙王室在尼德兰联省的代理人达·科斯塔家族、摩洛哥王室的欧洲代理人兼顾问撒母耳·帕拉赫(Samuel Pallache)、英属东印度公司外交代表亚伯拉罕·纳瓦罗(Abraham Navarro),等等。
(2)Dejanirah Couto,"The Role of Jewish and New Christian Interpreters,or Linguas,in the Portuguese Empire During the 16th Century,"e-Journal of Portuguese History,vol.1,no.2(Winter 2003),p.4.
(3)Adam Sutcliffe,"Sephardic Amsterdam and the Myths of Jewish Modernity,"The Jewish Quarterly Review,vol.97,no.3(Summer 2007),p.419.
(1)Jonathan I.Israel,European Jewry in the Age of Mercantilism,1550-1750,London:The Littman Library of Jewish Civilization,1998,p.93.
(2)桑巴特:《犹太人与现代资本主义》,艾仁贵译,上海:上海三联书店,2015年,第127页。
(3)M.Kayserling,"The Jews in Jamaica and Daniel Israel Lopez Laguna,"The Jewish Quarterly Review,vol.12,no.4(July 1900),p.710.
(4)Oscar Reiss,The Jews in Colonial America,Jefferson,N.C.:McFarland&Co.,2004,p.155.
(5)对犹太人的大驱逐运动是导致西班牙王国走向衰落的重要原因,当时就有人意识到犹太人之于西班牙经济的重要作用,安东尼奥修士发出警告说:“(驱犹运动)将不仅使这个王国失去人口,而且将使之贫困,因为他们(犹太人)通过其财富使我们的敌人富裕起来。”参见Michael Alpert,Crypto-Judaism and the Spanish Inquisition,London:Palgrave,2001,p.57.
(6)Fernand Braudel,Civilization and Capitalism,15th-18th Century,trans.Sian Reynolds,vol.3,Berkeley:University of California Press,1992,p.187.
(1)参见桑巴特:《犹太人与现代资本主义》,第9页。
(2)参见桑巴特:《犹太人与现代资本主义》,第10-11页。
(3)Shelomo D.Gotein,A Mediterranean Society:The Jewish Comm unities of the Arab World as Portrayed in the Documents of the Cairo Geniza,vol.1:Economic Foundations,Berkeley,Calif.:University of California Press,1967,p.166.
(1)Aryeh Shmuelevitz,The Jews of the Ottoman Empire in the Late Fifteenth and the Sixteenth Centuries:Administrative,Economic,Legal and Social Relations as Reflected in the Responsa,Leiden:Brill,1984,pp.143-144.
(2)Daniel Jütte,"The Jewish Consuls in the Mediterranean and the Holy Roman Empire during the Early Modern Period:A Study in Economic and Diplomatic Networks(1500-1800),"in Andreas Gestrich and Margrit Schulte Beerbühl,eds.,Cosmopolitan Networks in Comm erce and Society,1660-1914,London:German Historical Institute,2011,pp.153-186.
(3)Francesca Trivellato,The Familiarity of Strangers:The Sephardic Diaspora,Livorno,and Cross-Cultural Trade in the Early Modern Period,p.194.
(4)“埃斯卡”(iska)最初出现在《巴比伦塔木德》中,意为“半贷款与半信任”(semiloan and semi-trust)。它将借贷关系转换成隐名合伙关系(silent partnership),从而允许在犹太人中间进行以取利为基础的贷款而不违反《托拉》有关不得在犹太人中间开展借贷活动的禁令。参见Ahmad Kaleem and Mervyn K.Lewis,"Non-Interest Financing Arrangements in Three Abrahamic Religions,"in Mervyn K.Lewis,Mohamed Ariff and Shamsher Mohamad,eds.,Risk and Regulation of Islamic Banking,Cheltenham,UK:Edward Elgar Publishing Ltd.,2014,p.158.
(5)“康曼达”(commenda),也称合伙制,是自12、13世纪开始在基督徒商人中间广泛使用的合伙制商业模式。参见John H.Pryor,"The Origins of the Commenda Contract,"Speculum,vol.52,no.1(January 1977),pp.5-37.
(6)J.David Bleich,"Hetter Iska,the Permissible Venture:A Device to Avoid the Prohibition against Interest-Bearing Loans,"in Aaron Levine,ed.,The Oxford Handbook of Judaism and Economics,New York:Oxford University Press,2010,p.198.
(1)Abraham L.Udovitch,"At the Origins of the Western Commenda:Islam,Israel,Byzantium?"Speculum,vol.37,no.2(April 1962),p.199.
(2)海上保险源于古希腊罗马的“海事贷款”(sea loans),通过保险单的方式对船舶、货物以及相关利益(如租金、运费)等进行保险,以补偿因自然灾害或其他意外事故造成的海上运输损失。
(3)James Franklin,The Science of Conjecture:Evidence and Probability Before Pascal,Baltimore:Johns Hopkins University Press,2001,pp.274-277.
(4)Benjamin Arbel,"Jews,the Rise of Capitalism and Cambio:Commercial Credit and Maritime Insurance in the Early Modern Mediterranean World,"Zion,vol.69,no.2,2004,pp.157-159.
(5)学者桑巴特对犹太人在汇票、证券、纸币、公债等信用工具中的作用进行了系统分析,强调“作为国际贸易的中间人,犹太人大规模使用了外汇机制,它传统上流行于地中海国家,后来又扩展至其他地区”。参见桑巴特:《犹太人与现代资本主义》,第44页。
(1)David Kaufmann,"Die Vertreibung der Marranen aus Venedig im Jahre 1550,"The Jewish Quarterly Review,vol.13,no.3(April 1901),p.530.
(2)Yirmiyahu Yovel,Spinoza and Other Heretics,vol.1:The Marrano of Reason,Princeton:Princeton University Press,1989,p.66.
(3)H.H.Ben-Sasson,ed.,A History of the Jewish People,Cambridge,Mass.:Harvard University Press,1976,p.719.
(1)Richard Popkin,"Epicureanism and Scepticism in the Early 17th Century,"in R.B.Palmey and R.Hamerton-Kelly,eds.,Philomathes,The Hague:Nijhoff,1971,p.348.
(2)参见Daniel B.Schwartz,The First Modern Jew:Spinoza and the History of an Image,Princeton:Princeton University Press,2012.
(3)Adam Sutcliffe,"Sephardic Amsterdam and the Myths of Jewish Modernity,"The Jewish Quarterly Review,vol.97,no.3(Summer 2007),pp.417-437.
(4)Jonathan I.Israel,"Was There a Pre-1740Sephardic Jewish Enlightenment?"Arquivos de Centro Cultural Calouste Gulbenkian,vol.48,2004,p.19.
(5)Jonathan I.Israel,Radical Enlightenment:Philosophy and the Making of Modernity,1650-1750,Oxford:Oxford University Press,2001.
(1)Lois C.Dubin,The Port Jews of Habsburg Trieste:Absolutist Politics and Enlightenment Culture,p.223.
(2)David Sorkin,"Merchant Colonies:Resettlement in Italy,France,Holland,and England,1550-1700,"in Brian M.Smollett and Christian Wiese,eds.,Reappraisals and New Studies of the Modern Jewish Experience:Essays in Honor of Robert M.Seltzer,Leiden:Brill,2015,pp.128-134.
(3)Francesca Trivellato,The Familiarity of Strangers:The Sephardic Diaspora,Livorno,and Cross-Cultural Trade in the Early Modern Period,p.76;Frances Malino,The Sephardic Jews of Bordeaux:Assimilation and Emancipation in Revolutionary and Napoleonic France,Alabama:The University of Alabama Press,1978,p.9.
(4)Daniel M.Swetchinski,Reluctant Cosmopolitans:The Portuguese Jews of Seventeenth-Century Amsterdam,pp.8-25.
(5)David Katz,The Jews in the History of England,1485-1850,Oxford:Oxford University Press,1994,pp.142-143.
(1)Arnold Wiznitzer,"Jewish Soldiers in Dutch Brazil(1630-1654),"Publications of the American Jewish Historical Society,vol.46,no.1(September 1956),pp.40-50.
(2)Harry A.Ezratty,500Years in the Jewish Caribbean:The Spanish and Portuguese Jews in the West Indies,p.viii.
(3)“商业社会”(commercial society)的概念最初出自亚当·斯密的《国富论》:“所有人都依赖交换而生活,或在一定程度上所有人都成为商人,而社会本身,严格地说,也成长为商业社会。”Adam Smith,An Inquiry into the Nature and Causes of the Wealth of Nations,Oxford:Oxford University Press,1976,p.37.有关亚当·斯密的商业社会理论,可参见Dennis C.Rasmussen,The Problems and Promise of Comm ercial Society:Adam Smith's Response to Rousseau,University Park:Pennsylvania State University Press,2008.
(1)Yuri Slezkine,The Jewish Century,Princeton:Princeton University Press,2004,p.1.
(2)Salo W.Baron,A Social and Religious History of the Jews,New York:Columbia University Press,vol.2,1937,pp.207,210.
(3)莱奥内·埃布里奥(Leone Ebreo,1465-1521),即犹大·阿布拉瓦内尔,16世纪初意大利塞法尔迪犹太社团领袖。
(1)Salo W.Baron,A Social and Religious History of the Jews,vol.3,p.139,note 13.
(2)Scott B.MacDonald and Albert L.Gastmann,A History of Credit and Power in the Western World,New Brunswick,NJ:Transaction Publishers,2004,chapter 4.
(2)Jacob Katz,ed.,Toward Modernity:The European Jewish Model,New Brunswick,N.J.:Transaction Books,1987.
(1)“塞法尔迪人”(Sephardim)一词源自希伯来语“Sefarad”,原意为“富庶之岛”,《圣经》中以该词指称物产丰富的伊比利亚半岛。塞法尔迪人和阿什肯纳兹人(Ashkenazim)共同构成中古与近代早期犹太世界内部的两大主要群体。与主要分布在中东欧地区的阿什肯纳兹人不同,塞法尔迪人一开始集中在伊比利亚半岛,1492年西班牙大驱逐后分散开来,主要分布在地中海、大西洋、印度洋等地的港口地区。
(2)Yosef Kaplan,An Alternative Path to Modernity:The Sephardi Diaspora in Western Europe,Leiden:Brill,2000.
(3)罗伯特·塞尔茨:《犹太的思想》,赵立行、冯玮译,上海:上海三联书店,1994年,第507页。
(4)Cecil Roth,A History of the Marranos,Philadelphia:Jewish Publication Society of America,1932.
(5)会后结集出版了同名论文集,参见Paolo Bernardini and Norman Fiering,eds.,The Jews and the Expansion of Europe to the West,1450to 1800,New York:Berghahn Books,2001.
(1)参见Jonathan I.Israel,Diasporas within a Diaspora:Jews,Crypto-Jews,and the World Maritime Empires(1540-1740),Leiden:Brill,2002;Daviken StudnickiGizbert,A Nation upon the Ocean Sea:Portugal's Atlantic Diaspora and the Crisis of the Spanish Empire,1492-1640,Oxford:Oxford University Press,2007.
(2)例如,Esther Benbassa and Aron Rodrigue,Sephardi Jewry:A History of the JudeoSpanish Comm unity,14th-20th Centuries,Berkeley:University of California Press,2000;Daniel M.Swetchinski,Reluctant Cosmopolitans:The Portuguese Jews of Seventeenth-Century Amsterdam,London:The Littman Library of Jewish Civilization,2000;Mordechai Arbell,The Jewish Nation of the Caribbean:The SpanishPortuguese Jewish Settlements in the Caribbean and the Guianas,Jerusalem:Gefen Publishing House,2002;Francesca Trivellato,The Familiarity of Strangers:The Sephardic Diaspora,Livorno,and Cross-Cultural Trade in the Early Modern Period,New Haven:Yale University Press,2009;Jessica V.Roitman,The Same But Different?Inter-Cultural Trade and the Sephardim,1595-1640,Leiden:Brill,2011.仅有的例外是,约瑟夫·卡普兰以西欧的塞法尔迪群体为例,探讨了塞法尔迪人与犹太社会通向现代的另一条道路之间的关系,参见Yosef Kaplan,An Alternative Path to Modernity:The Sephardi Diaspora in Western Europe.实际上,这些现代特征不仅限于西欧的塞法尔迪人,而在整个塞法尔迪流散地(尤其是在地中海、大西洋、印度洋的诸多港口城市)都有不同程度的呈现。
(3)B.S.Hoyle and D.A.Pinder,European Port Cities in Transition,London:Belhaven Press,1992,p.1.
(1)很大程度上,“港口犹太人”的概念是相对于宫廷犹太人(Court Jews)而言的。在德文中,宫廷犹太人为“Hofjuden”,而港口犹太人为“Hafenjuden”。宫廷犹太人主要活跃在绝对主义时期(17、18世纪)的中欧君主制国家,以从事金融、承包等经济活动著称。参见Selma Stern,TheCourtJewA Contributiontothe Historyofthe PeriodofAbsolutisminCentralEurope,trans.Ralph Weiman,Philadelphia:Jewish Publication Society of America,1950.
(2)Lois C.Dubin,The Port Jews of Habsburg Trieste:Absolutist Politics and Enlightenment Culture,Stanford,Calif.:Stanford University Press,1999;David Sorkin,"The Port Jew:Notes Toward a Social Type,"Journal of Jewish Studies,vol.50,no.1(Spring 1999),pp.87-97.
(3)2001-2005年,南安普顿大学帕克斯研究所启动“港口犹太人研究项目”(Port Jews research project);2001年与2003年,围绕这一主题先后在南安普顿大学和开普敦大学举行了两次大型学术研讨会,并在会后出版了论文集。有关这两次学术会议的论文集,参见David Cesarani,ed.,Port Jews:Jewish Comm unities in Cosmopolitan Maritime Trading Centres,1550-1950,London:Frank Cass,2002;David Cesarani and Gemma Romain,eds.,Jews and Port Cities 1590-1990:Comm erce,Comm unity and Cosmopolitanism,London:Vallentine Mitchell,2006.
(4)1391年从塞维利亚开始的伊比利亚半岛强制改宗浪潮,致使大批犹太人皈依基督教,这群规模浩大的改宗者随后被称为“新基督徒”(cristiano nuevo);而不少改宗者虽对外宣称为基督徒但私下仍秘密遵守犹太教的生活方式,这些秘密犹太人被基督徒贬称作“马兰诺”(Marranos)。
(5)为了从根本上解决马兰诺问题、切断其与犹太人的联系,1492年3月31日,西班牙国王费迪南德与伊萨贝拉联合签发驱逐犹太人的法令(Alhambra Decree),限令王国领地上的所有犹太人必须在4个月之内离开,是为“1492年大驱逐”事件(The Expulsion of 1492)。据估计,此次大驱逐导致大约20万犹太人被迫离开西班牙,其中约有12万人进入邻近的葡萄牙王国。
(1)参见Dean Phillip Bell,Jews in the Early Modern World,Plymouth:Rowman&Littlefield,2008,p.36.
(2)David Cesarani,"Port Jews:Concepts,Cases and Questions,"Jewish Culture and History,vol.4,no.2,2001,p.5.
(3)随着欧洲殖民势力向东扩张,19世纪中期至20世纪初,一些塞法尔迪商人将其贸易网络扩展至远东地区,因而这一时期新加坡、马尼拉、香港、上海等港口的犹太人通常也被纳入港口犹太人的范畴。参见Jonathan Goldstein,"The Sorkin and Golab Theses and Their Applicability to South,Southeast,and East Asian Port Jewry,"Jewish Culture and History,vol.4,no.2,2001,pp.179-196.
(1)Lois Dubin,"Introduction:Port Jews in the Atlantic World'Jewish History',"Jewish History,vol.20,no.2,2006,pp.118,125.
(2)Alfred W.Crosby,The Columbian Exchange:Biological and Cultural Consequences of 1492,Westport,Conn.:Greenwood Publishing Co.,1972.
(3)转引自Cecil Roth,A History of the Marranos,p.271.
(4)参见Meyer Kayserling,Christopher Columbus and the Participation of the Jews in the Spanish and Portuguese Discoveries,New York:Longmans,Green,&Co.,1894.
(1)近代早期的西方殖民扩张通常分为两大体系---以西班牙、葡萄牙为主的伊比利亚体系(Iberian system)和以荷兰、英国、法国为主的西北欧体系(Northwest European system)。参见Pieter Emmer,"The Two Expansion Systems in the Atlantic,"Itinerario,vol.15,no.1,1991,pp.21-27.
(2)Daviken Studnicki-Gizbert,A Nation upon the Ocean Sea:Portugal's Atlantic Diaspora and the Crisis of the Spanish Empire,1492-1640,p.94.
(1)Mordechai Arbell,The Portuguese Jews of Jamaica,Kingston:Canoe Press University of the West Indies,2000,p.48.
(2)Harry A.Ezratty,500Years in the Jewish Caribbean:The Spanish and Portuguese Jews in the West Indies,Baltimore,MD:Omni Arts,1997,p.59.
(3)Mordechai Arbell,"Jewish Settlements in the French Colonies in the Caribbean(Martinique,Guadeloupe,Haiti,Cayenne)and the'Black Code',"in Paolo Bernardini and Norman Fiering,eds.,The Jews and the Expansion of Europe to the West,1450to 1800,p.291.
(4)参见Edward Kritzler,Jewish Pirates of the Caribbean,New York:Doubleday,2008.
(5)17世纪的阿姆斯特丹也是欧洲乃至世界塞法尔迪人的中心和“母亲社团”(mother community),被誉为“荷兰的耶路撒冷”(Dutch Jerusalem)。
(6)Arnold Wiznitzer,"The Number of Jews in Dutch Brazil(1630-1654),"Jewish Social Studies,vol.16,no.2(April 1954),p.111.
(7)Isaac S.Emmanuel and Suzanne A.Emmanuel,A History of the Jews of the Netherlands Antilles,vol.1,Cincinnati:American Jewish Archives,1970,p.681.
(8)Wim Klooster,"The Jews in Suriname and Cura9ao,"in Paolo Bernardini and Norman Fiering,eds.,The Jews and the Expansion of Europe to the West,1450to 1800,p.356.
(1)港口犹太人在早期北美犹太社团中占据主要地位,几乎每个有组织的犹太社团---萨凡纳、查尔斯顿、费城、纽约与纽波特的犹太社团---都是在港口城市中发展起来的。
(2)Walter J.Fischel,"The Indian Archives:A Source for the History of the Jews of Asia(From the Sixteenth Century on),"The Jewish Quarterly Review,vol.57,1967,p.195.
(3)Kenneth X.Robbins,"Jews,New Christians,and the Portuguese on the South Malabar Coast,"in Kenneth X.Robbins and Marvin Tokayer,eds.,Western Jews in India:From the Fifteenth Century to the Present,New Delhi:Manohar,2013,p.98.
(4)Cecil Roth,The Sassoon Dynasty,London:Robert Hale,1941,p.11.
(5)有学者强调港口犹太人与荷兰商业霸权之间的密切联系:“塞法尔迪人在西欧处于支配地位的时期与荷兰在17世纪的活力相一致并部分地依赖于后者。一个世纪以后,欧洲贸易模式转移导致荷兰霸权的结束,将荷兰变成二流强国,而阿姆斯特丹的塞法尔迪显赫商人家族也随之衰落,正如相互联系的波尔多、汉堡、威尼斯与伦敦塞法尔迪社团一样。塞法尔迪人因而沦为不断趋于边缘的地位。”参见Jane S.Gerber,The Jews of Spain:A History of the Sephardic Experience,New York:The Free Press,1992,pp.181-182.
(1)Jonathan I.Israel,Diasporas within a Diaspora:Jews,Crypto-Jews,and the World Maritime Empires(1540-1740),pp.38-39.
(2)Noah L.Gelfand,"A People Within and Without:International Jewish Commerce and Community in the Seventeenth and Eighteenth Centuries Dutch Atlantic World,"Ph.D.Dissertation,New York:New York University,2008,p.6.历史资料证明,港口犹太人直接和间接地充当了殖民扩张活动的先驱者和代理人角色,积极参与了以奴隶贸易和海盗贸易等为代表的殖民活动,这些殖民掠夺行为给所到之处带来的负面影响与破坏作用是不可否认的。但正是通过这些活动,犹太人扩展了自身的国际商业联系,其社团内部的商业特性也得以进一步成长。
(3)Jonathan I.Israel,Diasporas within a Diaspora:Jews,Crypto-Jews,and the World Maritime Empires(1540-1740),p.1.
(1)David Sorkin,"The Port Jew:Notes Toward a Social Type,"p.97.
(2)Daniel M.Swetchinski,"Kinship and Commerce:The Foundations of Portuguese Jewish Life in Seventeenth-Century Holland,"Studia Rosenthaliana,vol.15,no.1(March 1981),p.73.
(3)费尔南·布罗代尔:《地中海与菲利普二世时代的地中海世界》第2卷,吴模信译,北京:商务印书馆,2013年,第250页。
(4)Sam N.Lehman-Wilzig,"The House of Rothschild:Prototype of the Transnational Organization,"Jewish Social Studies,vol.40,no.3/4(Summer-Autumn 1978),pp.251-270.
(1)Cecil Roth,A History of the Marranos,p.233.
(2)Yosef H.Yerushalmi,"Between Amsterdam and New Amsterdam:The Place of Cura9ao and the Caribbean in Early Modern Jewish History,"American Jewish History,vol.72,no.2(December 1982),pp.177-178.
(3)乔尔·科特金:《全球族:新全球经济中的种族、宗教与文化认同》,王旭等译,北京:社会科学文献出版社,2010年,“序言”,第2、4页。
(4)Seymour Liebman,New World Jewry,1493-1825,New York:Ktav Publishing House,1982,p.189.
(1)许多塞法尔迪人从事翻译、代理人、顾问和航海向导等职业。例如,哥伦布远航舰队的翻译路易斯·德·托雷斯、达伽马远航舰队的翻译兼航海向导加斯帕尔(Gaspar)、葡萄牙王室在尼德兰联省的代理人达·科斯塔家族、摩洛哥王室的欧洲代理人兼顾问撒母耳·帕拉赫(Samuel Pallache)、英属东印度公司外交代表亚伯拉罕·纳瓦罗(Abraham Navarro),等等。
(2)Dejanirah Couto,"The Role of Jewish and New Christian Interpreters,or Linguas,in the Portuguese Empire During the 16th Century,"e-Journal of Portuguese History,vol.1,no.2(Winter 2003),p.4.
(3)Adam Sutcliffe,"Sephardic Amsterdam and the Myths of Jewish Modernity,"The Jewish Quarterly Review,vol.97,no.3(Summer 2007),p.419.
(1)Jonathan I.Israel,European Jewry in the Age of Mercantilism,1550-1750,London:The Littman Library of Jewish Civilization,1998,p.93.
(2)桑巴特:《犹太人与现代资本主义》,艾仁贵译,上海:上海三联书店,2015年,第127页。
(3)M.Kayserling,"The Jews in Jamaica and Daniel Israel Lopez Laguna,"The Jewish Quarterly Review,vol.12,no.4(July 1900),p.710.
(4)Oscar Reiss,The Jews in Colonial America,Jefferson,N.C.:McFarland&Co.,2004,p.155.
(5)对犹太人的大驱逐运动是导致西班牙王国走向衰落的重要原因,当时就有人意识到犹太人之于西班牙经济的重要作用,安东尼奥修士发出警告说:“(驱犹运动)将不仅使这个王国失去人口,而且将使之贫困,因为他们(犹太人)通过其财富使我们的敌人富裕起来。”参见Michael Alpert,Crypto-Judaism and the Spanish Inquisition,London:Palgrave,2001,p.57.
(6)Fernand Braudel,Civilization and Capitalism,15th-18th Century,trans.Sian Reynolds,vol.3,Berkeley:University of California Press,1992,p.187.
(1)参见桑巴特:《犹太人与现代资本主义》,第9页。
(2)参见桑巴特:《犹太人与现代资本主义》,第10-11页。
(3)Shelomo D.Gotein,A Mediterranean Society:The Jewish Comm unities of the Arab World as Portrayed in the Documents of the Cairo Geniza,vol.1:Economic Foundations,Berkeley,Calif.:University of California Press,1967,p.166.
(1)Aryeh Shmuelevitz,The Jews of the Ottoman Empire in the Late Fifteenth and the Sixteenth Centuries:Administrative,Economic,Legal and Social Relations as Reflected in the Responsa,Leiden:Brill,1984,pp.143-144.
(2)Daniel Jütte,"The Jewish Consuls in the Mediterranean and the Holy Roman Empire during the Early Modern Period:A Study in Economic and Diplomatic Networks(1500-1800),"in Andreas Gestrich and Margrit Schulte Beerbühl,eds.,Cosmopolitan Networks in Comm erce and Society,1660-1914,London:German Historical Institute,2011,pp.153-186.
(3)Francesca Trivellato,The Familiarity of Strangers:The Sephardic Diaspora,Livorno,and Cross-Cultural Trade in the Early Modern Period,p.194.
(4)“埃斯卡”(iska)最初出现在《巴比伦塔木德》中,意为“半贷款与半信任”(semiloan and semi-trust)。它将借贷关系转换成隐名合伙关系(silent partnership),从而允许在犹太人中间进行以取利为基础的贷款而不违反《托拉》有关不得在犹太人中间开展借贷活动的禁令。参见Ahmad Kaleem and Mervyn K.Lewis,"Non-Interest Financing Arrangements in Three Abrahamic Religions,"in Mervyn K.Lewis,Mohamed Ariff and Shamsher Mohamad,eds.,Risk and Regulation of Islamic Banking,Cheltenham,UK:Edward Elgar Publishing Ltd.,2014,p.158.
(5)“康曼达”(commenda),也称合伙制,是自12、13世纪开始在基督徒商人中间广泛使用的合伙制商业模式。参见John H.Pryor,"The Origins of the Commenda Contract,"Speculum,vol.52,no.1(January 1977),pp.5-37.
(6)J.David Bleich,"Hetter Iska,the Permissible Venture:A Device to Avoid the Prohibition against Interest-Bearing Loans,"in Aaron Levine,ed.,The Oxford Handbook of Judaism and Economics,New York:Oxford University Press,2010,p.198.
(1)Abraham L.Udovitch,"At the Origins of the Western Commenda:Islam,Israel,Byzantium?"Speculum,vol.37,no.2(April 1962),p.199.
(2)海上保险源于古希腊罗马的“海事贷款”(sea loans),通过保险单的方式对船舶、货物以及相关利益(如租金、运费)等进行保险,以补偿因自然灾害或其他意外事故造成的海上运输损失。
(3)James Franklin,The Science of Conjecture:Evidence and Probability Before Pascal,Baltimore:Johns Hopkins University Press,2001,pp.274-277.
(4)Benjamin Arbel,"Jews,the Rise of Capitalism and Cambio:Commercial Credit and Maritime Insurance in the Early Modern Mediterranean World,"Zion,vol.69,no.2,2004,pp.157-159.
(5)学者桑巴特对犹太人在汇票、证券、纸币、公债等信用工具中的作用进行了系统分析,强调“作为国际贸易的中间人,犹太人大规模使用了外汇机制,它传统上流行于地中海国家,后来又扩展至其他地区”。参见桑巴特:《犹太人与现代资本主义》,第44页。
(1)David Kaufmann,"Die Vertreibung der Marranen aus Venedig im Jahre 1550,"The Jewish Quarterly Review,vol.13,no.3(April 1901),p.530.
(2)Yirmiyahu Yovel,Spinoza and Other Heretics,vol.1:The Marrano of Reason,Princeton:Princeton University Press,1989,p.66.
(3)H.H.Ben-Sasson,ed.,A History of the Jewish People,Cambridge,Mass.:Harvard University Press,1976,p.719.
(1)Richard Popkin,"Epicureanism and Scepticism in the Early 17th Century,"in R.B.Palmey and R.Hamerton-Kelly,eds.,Philomathes,The Hague:Nijhoff,1971,p.348.
(2)参见Daniel B.Schwartz,The First Modern Jew:Spinoza and the History of an Image,Princeton:Princeton University Press,2012.
(3)Adam Sutcliffe,"Sephardic Amsterdam and the Myths of Jewish Modernity,"The Jewish Quarterly Review,vol.97,no.3(Summer 2007),pp.417-437.
(4)Jonathan I.Israel,"Was There a Pre-1740Sephardic Jewish Enlightenment?"Arquivos de Centro Cultural Calouste Gulbenkian,vol.48,2004,p.19.
(5)Jonathan I.Israel,Radical Enlightenment:Philosophy and the Making of Modernity,1650-1750,Oxford:Oxford University Press,2001.
(1)Lois C.Dubin,The Port Jews of Habsburg Trieste:Absolutist Politics and Enlightenment Culture,p.223.
(2)David Sorkin,"Merchant Colonies:Resettlement in Italy,France,Holland,and England,1550-1700,"in Brian M.Smollett and Christian Wiese,eds.,Reappraisals and New Studies of the Modern Jewish Experience:Essays in Honor of Robert M.Seltzer,Leiden:Brill,2015,pp.128-134.
(3)Francesca Trivellato,The Familiarity of Strangers:The Sephardic Diaspora,Livorno,and Cross-Cultural Trade in the Early Modern Period,p.76;Frances Malino,The Sephardic Jews of Bordeaux:Assimilation and Emancipation in Revolutionary and Napoleonic France,Alabama:The University of Alabama Press,1978,p.9.
(4)Daniel M.Swetchinski,Reluctant Cosmopolitans:The Portuguese Jews of Seventeenth-Century Amsterdam,pp.8-25.
(5)David Katz,The Jews in the History of England,1485-1850,Oxford:Oxford University Press,1994,pp.142-143.
(1)Arnold Wiznitzer,"Jewish Soldiers in Dutch Brazil(1630-1654),"Publications of the American Jewish Historical Society,vol.46,no.1(September 1956),pp.40-50.
(2)Harry A.Ezratty,500Years in the Jewish Caribbean:The Spanish and Portuguese Jews in the West Indies,p.viii.
(3)“商业社会”(commercial society)的概念最初出自亚当·斯密的《国富论》:“所有人都依赖交换而生活,或在一定程度上所有人都成为商人,而社会本身,严格地说,也成长为商业社会。”Adam Smith,An Inquiry into the Nature and Causes of the Wealth of Nations,Oxford:Oxford University Press,1976,p.37.有关亚当·斯密的商业社会理论,可参见Dennis C.Rasmussen,The Problems and Promise of Comm ercial Society:Adam Smith's Response to Rousseau,University Park:Pennsylvania State University Press,2008.
(1)Yuri Slezkine,The Jewish Century,Princeton:Princeton University Press,2004,p.1.
(2)Salo W.Baron,A Social and Religious History of the Jews,New York:Columbia University Press,vol.2,1937,pp.207,210.
(3)莱奥内·埃布里奥(Leone Ebreo,1465-1521),即犹大·阿布拉瓦内尔,16世纪初意大利塞法尔迪犹太社团领袖。
(1)Salo W.Baron,A Social and Religious History of the Jews,vol.3,p.139,note 13.
(2)Scott B.MacDonald and Albert L.Gastmann,A History of Credit and Power in the Western World,New Brunswick,NJ:Transaction Publishers,2004,chapter 4.