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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.
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Client Alert

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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.
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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"
SEC Issues Guidance Regarding Increasingly Popular Robo-Advisers post image

SEC Issues Guidance Regarding Increasingly Popular Robo-Advisers

New SEC Guidance Legitimizes Robo-Advisers Investors increasingly seek to obtain investment advice online. Some even rely on computers to determine where to invest their money. The new online services allow individual investors to create and manage their investment accounts through a web portal or mobile application, sometimes with little or no interaction with a human […]

Author: Dan Brecher

Link to post with title - "SEC Issues Guidance Regarding Increasingly Popular Robo-Advisers"
Top Compliance Fails Investment Advisers Should Avoid post image

Top Compliance Fails Investment Advisers Should Avoid

Investment Advisers’ Top Five Compliance Fails As investment advisers conduct their annual review, they can learn a lot from their peers. The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) recently issued a Risk Alert detailing the five compliance topics most frequently identified in deficiency letters that were sent to registered investment […]

Author: Dan Brecher

Link to post with title - "Top Compliance Fails Investment Advisers Should Avoid"

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