Scarinci Hollenbeck, LLC, LLCScarinci Hollenbeck, LLC, LLC
Contact us

Writings by Dan Brecher

Dan Brecher's experience ranges from general counsel of New York Stock Exchange and NASD/FINRA member brokerage firms to representation of companies in hundreds of public and private securities offerings and advising institutional and high net worth investors.
Client Alert industry

Client Alert

Library
Scarinci Hollenbeck remains committed not only to providing top-tier legal services but also to regularly providing information and resources to our client base and internet following. Client Alerts provided by our attorneys supply businesses, municipalities, and more with the latest and relevant legal updates that may impact them and how they might be able to proceed.
109-120 of 307
Tips for Succeeding at the Indemnification Dance post image

Tips for Succeeding at the Indemnification Dance

Businesses Should Never Overlook The Importance of Clearly Drafted Indemnification Provisions While sometimes mistakenly dismissed as “boilerplate,” businesses should never overlook the importance of clearly drafted indemnification provisions. In interpreting your contracts, you should be aware that an indemnification clause is to be desired if you are being indemnified, and to be avoided, if possible, […]

Author: Dan Brecher

Link to post with title - "Tips for Succeeding at the Indemnification Dance"
Could a “Finder” Aid Your Startup Funding? post image

Could a “Finder” Aid Your Startup Funding?

Legal Issues Can Arise When a Start-up Uses Own Employees or Third-Party Finders To Aid in Startup Funding Legal issues can arise when a start-up company or private investment fund uses its own employees or other third party “finders” to identify and solicit investors to provide capital via a private securities offering. In many cases, […]

Author: Dan Brecher

Link to post with title - "Could a “Finder” Aid Your Startup Funding?"
Investor Recourse for Initial Coin Offering Fraud post image

Investor Recourse for Initial Coin Offering Fraud

Investor Recourse for Initial Coin Offering Fraud With the price of Bitcoin rising and blockchain technology gaining increasing legitimacy, Initial Coin Offerings (ICOS) are gaining popularity with investors. However, as highlighted by two recent SEC enforcement actions, ICOs are extremely risky investments and in some cases, may be completely fraudulent. In such cases, private investors […]

Author: Dan Brecher

Link to post with title - "Investor Recourse for Initial Coin Offering Fraud"
Treasury Report Proposes Measures to Promote Access to Capital post image

Treasury Report Proposes Measures to Promote Access to Capital

Recent US Department of Treasury Report Calls For Changes To Federal Financial Regulations The U.S. Department of Treasury recently published a report calling for widespread changes to the country’s federal financial regulations. The overhaul is intended to promote growth by loosening market restraints put in place after the financial crisis. In good news for startups […]

Author: Dan Brecher

Link to post with title - "Treasury Report Proposes Measures to Promote Access to Capital"
The Basics of a Special Purpose Acquisition Company post image

The Basics of a Special Purpose Acquisition Company

Understanding the Basics of a Special Purpose Acquisition Company A special purpose acquisition company (SPAC) is created for the sole purpose of raising capital, usually through an IPO, and using those funds to acquire or merge with an existing private company. The unique business structure essentially allows investors to pool their money together to acquire […]

Author: Dan Brecher

Link to post with title - "The Basics of a Special Purpose Acquisition Company"
Initial Coin Offerings Revolve Around Key Question - What Is a Security? post image

Initial Coin Offerings Revolve Around Key Question - What Is a Security?

Initial Coin Offerings Revolve Around Key Question – What Is a Security? Businesses are increasingly relying on initial coin offerings (ICOs) to raise capital. However, as with many other new high-tech financial transactions, the law has largely failed to keep pace. As we have discussed previously, virtual coins are created and disseminated using distributed ledger […]

Author: Dan Brecher

Link to post with title - "Initial Coin Offerings Revolve Around Key Question - What Is a Security?"
SEC “Bad Actors” Bill Would Limit Agency’s Use of Waivers post image

SEC “Bad Actors” Bill Would Limit Agency’s Use of Waivers

Bad Actor Disqualification Act of 2017 To Protect Investors From Bad Actors Bi-partisan legislation working its way through Congress would restrict the Securities and Exchange Commission’s (SEC) ability to grant waivers to financial firms that have violated the law. Rep. Maxine Waters, the ranking member of the House Financial Services Committee, introduced the Bad Actor […]

Author: Dan Brecher

Link to post with title - "SEC “Bad Actors” Bill Would Limit Agency’s Use of Waivers"
Traps to Avoid When Selling a Business post image

Traps to Avoid When Selling a Business

Traps to Avoid When Selling a Business: Indemnification Provisions Sellers often do not carefully consider how the indemnification provisions in a purchase agreement may impact them after the sale of their business. To avoid this and other traps, it is imperative to have an experienced business lawyer (not just your broker) review the purchase and […]

Author: Dan Brecher

Link to post with title - "Traps to Avoid When Selling a Business"
Are You The "Alter Ego" Of Your New York Corporation? post image

Are You The "Alter Ego" Of Your New York Corporation?

Don’t Be the “Alter Ego” of Your New York Corporation Limited liability is one of the greatest advantages of establishing a corporation or limited liability corporation (LLC) because it shields New York business owners from personal liability for business debts. However, limited liability is not unconditional. Therefore, start-ups and other New York businesses should be […]

Author: Dan Brecher

Link to post with title - "Are You The "Alter Ego" Of Your New York Corporation?"
How Can Older Investors Avoid Financial Fraud? post image

How Can Older Investors Avoid Financial Fraud?

Protecting Older Investors from Predatory Financial Advisors Because they have amassed large retirement savings, older investors are frequent targets of investment fraud. After all, that’s where the money is. The cognitive decline that often accompanies the aging process can also make senior investors more vulnerable to exploitation. Financial Frauds Target Seniors Today, Americans over the […]

Author: Dan Brecher

Link to post with title - "How Can Older Investors Avoid Financial Fraud?"
SEC Issues Warning on SAFE Crowdfunding Securities post image

SEC Issues Warning on SAFE Crowdfunding Securities

SEC Warns New Crowdfunding Securities Are Not SAFE The Securities and Exchange Commission (SEC) is keeping a close eye on the developing equity crowdfunding industry. The agency recently issued an Investor Bulletin regarding the risks associated with Simple Agreements for Future Equity (SAFE) crowdfunding securities, which are increasingly being used in equity crowdfunding campaigns. What […]

Author: Dan Brecher

Link to post with title - "SEC Issues Warning on SAFE Crowdfunding Securities"
FINRA Publishes New Social Media Guidance post image

FINRA Publishes New Social Media Guidance

To Keep Pace with the Increasing Popularity of Social Media, FINRA Publishes New Social Media Guidance Brokers and advisers increasingly rely on social media to connect with current and potential clients. After all, don’t we all prefer to read a 140-character Tweet promoting a new investment opportunity instead of digesting a 20-page prospectus filled with […]

Author: Dan Brecher

Link to post with title - "FINRA Publishes New Social Media Guidance"

Sign up to get the latest from our attorneys!

Explore What Matters Most to You.

Consider subscribing to our Firm Insights mailing list by clicking the button below so you can keep up to date with the firm`s latest articles covering various legal topics.

Stay informed and inspired with the latest updates, insights, and events from Scarinci Hollenbeck. Our resource library provides valuable content across a range of categories to keep you connected and ahead of the curve.

Let`s get in touch!

* The use of the Internet or this form for communication with the firm or any individual member of the firm does not establish an attorney-client relationship. Confidential or time-sensitive information should not be sent through this form. By providing a telephone number and submitting this form you are consenting to be contacted by SMS text message. Message & data rates may apply. Message frequency may vary. You can reply STOP to opt-out of further messaging.

Sign up to get the latest from the Scarinci Hollenbeck, LLC attorneys!