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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SEC Cracking Down on Adviser’s Retirement Advice

The Securities and Exchange Commission (SEC) recently announced a new compliance initiative that will target the retirement advice doled out by brokers and other financial advisers. Dubbed the “Retirement-Targeted Industry Reviews and Examinations Initiative,” the SEC’s targeted examinations of registered investment advisers and broker-dealers will focus on “certain higher-risk areas of registrants’ sales, investment, and […]

Author: Dan Brecher

July 1, 2015

Supreme Court Affordable Care Act Ruling Could Upend Employer Mandate

By the end of the month, the U.S. Supreme Court will announce its third Affordable Care Act ruling on the legality of the association. The Affordable Care Act ruling, which involves subsidies provided to individuals who purchase insurance via Healthcare.gov, has the potential to dramatically shake up the healthcare industry. The lawsuit, King v. Burwell, […]

Author: Dan Brecher

June 25, 2015

Equity Crowdfunding Goes Local With Adoption of State Regulations

Twenty-two states and the District of Columbia have now legalized some form of equity crowdfunding at the local level. Many more, including New Jersey, have proposed legislation that would allow entrepreneurs to solicit financing from “everyday” investors, otherwise known as the “crowd.” Equity crowdfunding was supposed to be a centerpiece of the Jumpstart Our Businesses […]

Author: Dan Brecher

June 19, 2015

SEC Proposes New Rules for Investment Advisers

Just as investment advisers are adjusting to their new Dodd-Frank compliance obligations, the Securities and Exchange Commission (SEC) has proposed new reporting and disclosure requirements. The rule proposal, which was unveiled on May 20, 2015, includes several amendments to Form ADV as well as new reporting requirements for statements of the investment advisers performance. According […]

Author: Dan Brecher

June 8, 2015

Overstock Seeks SEC Approval of Digital Securities

Overstock.com, Inc. may be the first company in the United States to offer digital securities. The online retailer recently filed a prospectus with the Securities and Exchange Commission (SEC) that details its plans to offer uncertificated securities that would be purchased and transferred using technology similar to that used for Bitcoin digital currency. In 2014, […]

Author: Dan Brecher

June 5, 2015

Selling Your Business? Tips for Surviving Due Diligence

First-time business owners are often surprised to learn that finding a potential buyer and negotiating the key terms of the sale are just the first steps in the process of selling a business. First-time business owners are often surprised to learn that finding a potential buyer and negotiating the key terms of the sale are […]

Author: Dan Brecher

June 2, 2015

Where Is Your Charitable Donation Really Going?

The Federal Trade Commission (FTC) and the attorney generals of all 50 states recently charged four well-known cancer charities with fraud. This article poses the question: where is your charitable donation really going? According to the complaint, the organizations bilked donors out of $187 million from 2008 through 2012. The FTC alleges that the contributions […]

Author: Dan Brecher

June 1, 2015

SEC Addresses Criticism By Publishing Forum-Selection Guidelines

The SEC addresses criticism for its use of administrative proceedings as a means to secure more favorable rulings. In response to the criticism, the agency recently published forum-selection guidelines on its approach to forum selection in contested actions. As previously discussed on the Scarinci Hollenbeck Business Law Blog, the Dodd-Frank Wall Street Reform and Consumer […]

Author: Dan Brecher

May 27, 2015

Should Your New Jersey Start-Up Ask Friends and Family for Funding?

Friends and family can be counted to provide lot of things — a ride to the airport, a warm meal, or a shoulder to cry on. But should they serve as initial investors in your New Jersey start-up? Many new ventures have difficulty securing loans or attracting venture capital funding in the early stages. When […]

Author: Dan Brecher

May 12, 2015

Can a “Hot” Industry contribute to the success of your startup?

There are no guarantees when it comes to a start-up’s success. In fact, 8 out of 10 entrepreneurs who start businesses fail within the first 18 months. So how can you boost the probability of your start-up’s success? To start, it helps to enter a “hot” industry where there is room for new businesses to […]

Author: Dan Brecher

April 28, 2015

Co-Founder Feuds Highlights Importance of A Written Partnership Agreement

A recent article in the Los Angeles Times highlights that handshake agreements and napkin contracts can lead to nasty legal disputes among business co-founders. Most importantly, it underscores the need for a formal written partnership agreement or shareholder agreement. Citing ongoing disputes involving Snapchat, Yik Yak and Tinder, the article suggests that the booming tech […]

Author: Dan Brecher

April 27, 2015

Is The Affordable Care Act a Jobs Creator?

Nearly five years after its inception, the Affordable Care Act (ACA) remains controversial. The U.S. Supreme Court is currently considering yet another legal challenge, and Republicans in Congress have not abandoned efforts to nullify it completely. For U.S. businesses, the Affordable Care Act presents a number of compliance challenges, from new tax responsibilities to new reporting […]

Author: Dan Brecher

April 20, 2015

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