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

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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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Are Intrastate Crowdfunding Laws Still Relevant?

While everyone was waiting for the Securities and Exchange Commission (SEC) to finalize its equity crowdfunding rules, many states took matters into their own hands. Now that the federal regulations are finally in place, it remains unclear what role intrastate crowdfunding will play. Intrastate crowdfunding on the rise In total, 28 states have now legalized […]

Author: Dan Brecher

July 21, 2016

SEC Proposes New BCP Rule for Investment Advisers

The Securities and Exchange Commission (SEC) recently proposed a rule that would require registered investment advisers to adopt or amend their current business continuity and transition plans (BCP). Under the proposed BCP rule, the plans must be reasonably designed to address operational risks related to a significant disruption in the adviser’s business. Why the need […]

Author: Dan Brecher

July 19, 2016

Will New York Commercial Litigation Settlements Increase?

With this new rule passed, will New York commercial litigation settlements become the norm for resolution? Commercial litigation is often contentious. Yet the large majority of cases are still resolved short of going to trial – this is where commercial litigation settlements will come into play. In the State of New York, a new rule recently […]

Author: Dan Brecher

July 18, 2016

Five Tips for Getting to the IPO Plunge

Considering Going Public? Here are 5 IPO Tips You Should Consider The number of initial public offerings (IPO’s) is down 60 percent in the second quarter of 2016. There were only 33 IPOs as compared to 72 in the second quarter of 2015. However, while the IPO market has been relatively quiet in 2016, the […]

Author: Dan Brecher

July 7, 2016

What You Need to Know About Term Sheets

Term Sheets & Their Role in Business Whether seeking to obtain financing, negotiating the purchase of real property, or entering into a partnership, most small business owners will encounter term sheets at some point. In its most basic form, a term sheet is a non-binding document that sets forth the material terms and conditions of a […]

Author: Dan Brecher

June 30, 2016

U.S. v Newman Insider Trading Case Awaits SCOTUS Review

Growing Circuit Split Over United States v Newman Insider Trading Case In convicting a Massachusetts attorney of insider trading, the First Circuit Court of Appeals declined to impose the higher standard established by the Second Circuit in the United States v. Newman insider trading case. The decision adds to the circuit split regarding insider trading cases, which […]

Author: Dan Brecher

June 27, 2016

Mickelson Case Reflects Insider Trading in the Wake of Newman

What does the Mickelson case reveal about insider trading? Professional golfer Phil Mickelson was recently named in an insider trading case involving sports gambler William Walters. Although Phil is not facing any charges in the Mickelson case, he did agree to pay full disgorgement of his trading profits totaling $931,738.12. As detailed in the insider-trading complaint filed […]

Author: Dan Brecher

May 30, 2016

A Better Way to Sell Your Business: Part 2 - Structuring the Transaction

A Better Way to Sell Your Business: Part 2 – Structuring the Transaction In Part 1 of this two part article, “A Better Way to Sell Your Business,”we looked at a transaction in which a seller of a going business was retiring, and a young relative or key employee, who lacked sufficient initial funding for a […]

Author: Dan Brecher

May 10, 2016

A Better Way to Sell Your Business

A better way to sell your business part 1: how to buy a company with no money down The story is familiar – a business owner is getting older. He would like to sell the business to which he has devoted so much of his life and retire to a sunny climate while he can […]

Author: Dan Brecher

May 10, 2016

Be Wary of Proceeds Trading in Your Brokerage Account

We have represented a number of customers whose brokers engaged in what is known as proceeds trading in their accounts. Proceeds trading is a form of “churning” that occurs in brokerage customers’ accounts when the broker sells one security and then recommends that the proceeds of that sale be used to purchase another security, usually […]

Author: Dan Brecher

April 15, 2016

Scarinci Hollenbeck

What are the Traps to Avoid When Buying or Selling a Business?

Small businesses are exchanging hands at a rapid rate throughout the country. The current economic conditions are favorable for both buying and selling a business. Whether you are interested in buying or selling a business, preparation is the key to success. Once you decide to sell your business, it is time to begin preparing for […]

Author: Dan Brecher

April 11, 2016

Top Legal Concerns Facing NJ Mobile App Developers

Designing a successful mobile application has become one of the fastest ways for a technology start-up to make it big. While apps can generate significant revenue for businesses, they also come with unique legal concerns. Here are some of the top legal cerns that NJ Mobile app developers should know about it. Last year, global […]

Author: Dan Brecher

March 9, 2016

Scarinci Hollenbeck

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