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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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

JOBS Act Equity Crowdfunding Rules Take Effect in May

JOBS Act Equity Crowdfunding Rules Take Effect in May The Securities and Exchange Commission’s (SEC) equity crowdfunding rules are scheduled to take effect in May. In the meantime, the SEC and the Financial Industry Regulatory Authority (FINRA) are clearing the way for funding portals to start operating. In January, the SEC approved FINRA’s Funding Portal […]

Author: Dan Brecher

February 19, 2016

Choosing an Arbitrator for Your Business Dispute

Selecting an Arbitrator for Your Business Dispute Many contracts now require the arbitration of disputes instead of allowing for court hearings of claims. Just as important as selecting jurors, lawyers will take care in selecting the arbitrator(s). In many cases, arguing before a sympathetic audience can be the key to winning the case. The Arbitration […]

Author: Dan Brecher

February 12, 2016

FINRA And the Culture of Compliance

FINRA examiners are looking for “Culture of Compliance” The Financial Industry Regulatory Authority (FINRA) recently published its 2016 Regulatory and Examination Priorities Letter. For firms under FINRA’s purview, the document provides useful insight into where the organization plans to devote its resources. FINRA focuses on “Culture of Compliance” in 2016 Of particular note for 2016, […]

Author: Dan Brecher

February 10, 2016

What Is an Exchange Trade Fund Investment?

Investment 101: What Is an Exchange Trade Fund? Investors have poured more than two trillion dollars into ETFs since they were first introduced in the United States in 1993. As ETFs gain increasing popularity among everyday investors, regulators are boosting their oversight. Most notably, the Securities and Exchange Commission (SEC) recently announced that it plans […]

Author: Dan Brecher

February 8, 2016

Scarinci Hollenbeck

Should You Set Up a Personal Financial Dashboard or Not?

If one of your goals for 2016 is to manage your money more effectively, you may want to consider setting up a financial dashboard. For busy business professionals, it can be easy to lose sight of the big picture without a financial dashboard amidst the flurry of paperwork, i.e. bank statements, tax records, investment and […]

Author: Dan Brecher

February 1, 2016

Top 5 Legal Mistakes Start-Ups Make

What Are the Top Legal Mistakes Start-Ups Make? (And How to Avoid Them) Getting a start-up off the ground can be an arduous task. From securing financing to hiring employees, there are many traps for the unwary. This post summarizes some of top legal mistakes start-ups make and offers advice for how to avoid them. […]

Author: Dan Brecher

January 27, 2016

Scarinci Hollenbeck

What Is Business Triage? And can it benefit your fledgling business?

Many business owners are familiar with the term “triage” in the medical setting, but do you know how the process of a business triage could help your company perform better? The word “triage” is derived from the French word “trier,” which means to separate or select. When hospitals triage patients, they rank and treat them […]

Author: Dan Brecher

January 18, 2016

Year in Review: Tips for Start-Ups In New York & New Jersey

Entrepreneurs know first hand that getting start-ups off the ground can be a monumental task, especially start-ups in New York & New Jersey . In fact, 8 out of 10 entrepreneurs who start businesses fail within the first 18 months. As business lawyers, we regularly work with entrepreneurs with start-ups in New York & New […]

Author: Dan Brecher

January 13, 2016

Year in Review: All About Small Business Financing

Small business financing is one of the greatest hurdles any entrepreneur must face. In 2015, we discussed a number of ways that entrepreneurs can raise the capital needed to get their companies off the ground and help them grow. We also highlighted several new laws, such as the Securities and Exchange Commission’s new equity crowdfunding […]

Author: Dan Brecher

January 11, 2016

Scarinci Hollenbeck

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