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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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

Business 101: Understanding Your Cash Flow

Business Basics: The Importance of Cash Flow Projections Whether you are starting a new business or looking to grow or sell an established business, it is essential to understand your cash flow. In addition to shaping your future business decisions, cash flow projections will also likely impact future funding. Cash Flow Basics A basic cash […]

Author: Dan Brecher

December 18, 2015

FAST Act Eases Securities Compliance for Small Businesses

So, what is the FAST Act and how will it help with securities compliance when it comes to business? On December 4, 2015, President Barak Obama signed the FAST Act (Fixing America’s Surface Transportation) into law. The transportation law is of particular interest to businesses because it also makes several important changes to the JOBS Act […]

Author: Dan Brecher

December 17, 2015

Let's Make Sense of Holiday Tipping

During the holiday season, many of us like to say “thank you” to the professionals who provide services throughout the year. Examples include day car providers, mail carriers, delivery people, housecleaners, barbers, hairdressers, and doormen. While it is rewarding to spread holiday cheer, tipping/gifting can also be stressful when it comes to determining who to […]

Author: Dan Brecher

December 10, 2015

Looking into the Future: Business Predictions for 2016

While we don’t purport to have a crystal ball, there are a number of trends that are expected to impact New York and New Jersey businesses in 2016. Here is a list of the business predictions: Business lending: Online lending is set to outpace more tradition financing methods. Eighty percent of small-business owners go online […]

Author: Dan Brecher

November 30, 2015

3 Start-ups With A Ground-Breaking Business Concept

To obtain funding, start-ups and other growing businesses need a unique business concept to stand out from the competition. In most cases, it’s even better when the business idea is so novel that there is no competition, at least not yet. To illustrate the point, below are a few companies that are revolutionizing their respective […]

Author: Dan Brecher

November 24, 2015

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