Jeremy Ben Merkelson

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In an April 24th ruling that will have widespread impact among financial institutions, the FINRA Board of Governors held that a broker-dealer violated FINRA rules by including a mandatory class action waiver in its customer account agreements. The Board decision reverses in part and affirms in part an earlier decision by a FINRA Hearing Panel which held that, while the firm’s customer class action waiver violated FINRA rules, those rules were unenforceable because they were…
The Internet and, in particular, social media have changed the landscape of federal and state jury instructions, which now prohibit jurors from conducting independent research on the Internet, from sending emails, texts, Facebook postings, tweets or other electronic communications conveying developments in a trial or in deliberations, and from using mobile cameras to record courtroom proceedings.  Recently, the New York County Lawyers Association (NYCLA) Committee on Professional Ethics (“Committee”) weighed in on a new area…