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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Will Weakening Markets and Slumping Stocks be the End of the Tech IPO?

Recent public market volatility appears to be chilling the once hot pipeline of initial public offerings (IPOs). While the lower demand could yield “bargain” IPO prices for longer-term holders, it is all about valuation. Does a company really have great growth potential or will it fall flat? As we’ve previously discussed on this blog, 2014 was […]

Author: Dan Brecher

September 23, 2015

Do Supreme Court Decisions Influence the Securities Market?

Can U.S. Supreme Court decisions influence the Securities Market? The impact of U.S. Supreme Court decisions is often far-reaching. However, as highlighted in a recent study, 1 in 20 rulings suggest that Supreme Court decisions influence the securities market. The study’s findings were particularly apparent in the wake of the Supreme Court’s decision to uphold […]

Author: Dan Brecher

September 15, 2015

“Finders” Acting As a Securities Broker-Dealer Are on the SEC’s Hit List

The Securities and Exchange Commission has been moving more aggressively to state the types of activities that will result in a determination that a “finder” is acting as a securities broker-dealer. The SEC is also focusing on securities broker-dealer issues in its OCIE compliance exams of private investment funds, and has recently instituted a significant […]

Author: Dan Brecher

September 11, 2015

What Can Businesses Learn from Deflategate?

What Can Businesses Learn from Deflategate? According to media reports, settlement talks between the National Football League and New England Patriots quarterback Tom Brady have stalled. With the start of the football season just weeks away, neither side appears willing to budge. Brady is reportedly unwilling to acknowledge that there is any veracity to the […]

Author: Dan Brecher

August 24, 2015

Top Ten Things You Need to Know About the Advisers Act

The Investment Advisers Act of 1940 (Advisers Act) regulates the actions of investment advisers and requires most advisers to register with the Securities and Exchange Commission (SEC). Accordingly, the Advisers Act and the interpretive SEC’s rules form the essential “rule book” for the industry. What you need to know Since compliance with the Advisers Act […]

Author: Dan Brecher

August 21, 2015

Scarinci Hollenbeck

UK’s New Human Trafficking Rules May Impact U.S. Businesses

The United Kingdom’s Modern Slavery Act recently took effect. For U.S. businesses operating across the pond, it is important to understand how the statute’s human trafficking supply chain disclosure rules may impact your compliance initiatives. Under the Modern Slavery Act, a “commercial organization” must prepare a slavery and human trafficking statement for each financial year. […]

Author: Dan Brecher

August 20, 2015

Scarinci Hollenbeck

NY Court: No Statute of Limitations for a Forged Deed

New York’s Highest Court Recently Held that the Six-Year Statute of Limitations Governing Fraud Claims does not Apply to a Forged Deed New York’s highest court recently held that the six-year statute of limitations governing fraud claims does not apply to forged deeds. The New York Court of Appeals’ decision in Faison v. Lewis held […]

Author: Dan Brecher

August 17, 2015

Chamber of Commerce Calls for SEC Enforcement Reforms

In a recently published report, the U.S. Chamber of Commerce called for several significant changes to the Securities and Exchange Commission’s or SEC enforcement policies and procedures. “The recommendations in this report are designed to further strengthen the SEC enforcement program’s ability to detect and deter fraud while also ensuring honest market participants benefit from […]

Author: Dan Brecher

August 10, 2015

SEC Finalizes CEO Pay Ratio Disclosure Rules

The Democrat appointees to the Securities and Exchange Commission (SEC), by a 3-2 majority vote, recently finalized the SEC’s controversial pay ratio rule. Mandated under the Dodd-Frank Act, the new disclosures will require companies to reveal how their chief executive officers’ compensation compares to their workforce at large. The SEC pay ratio rule attracted more […]

Author: Dan Brecher

August 7, 2015

Scarinci Hollenbeck

Crowdfunding Crash Course for Small Business Owners

Crowdfunding Crash Course for Small Business Owners Many small business owners and entrepreneurs are still finding that it is difficult to secure funding for their businesses or ventures. Yet, very few ever explore crowdfunding. According to a recent survey, many business owners simply don’t know enough about securing capital from the “crowd.” Manta, which provides […]

Author: Dan Brecher

July 27, 2015

Danger in the Water: Regulators Turning Attention to Dark Pools

Securities regulators are increasingly turning their attention to dark pools, which are far less regulated than traditional exchanges. The European Union’s (EU) new rules will take effect in 2017, and the Securities and Exchange Commission (SEC) proposed its own rules earlier this year. Dark pools are private, alternative trading systems (ATS) in which participants can […]

Author: Dan Brecher

July 17, 2015

The Perils of Text Message Contract Negotiations

With the explosion of smart phones, contract negotiation is no longer confined to business letters, telephone conversations, or even emails. However, are text message contract negotiations the way to go? For busy business professionals, text message contract negotiations between partners is becoming increasingly common. Unfortunately, it is not the most legally sound way to negotiate a […]

Author: Dan Brecher

July 15, 2015

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