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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Second Circuit Decision Threatens Insider Trading Prosecutions

U.S. Attorney Preet Bharara’s insider trading victories came to a screeching halt earlier this month. In a case that will have widespread implications, the Second Circuit Court of Appeals made it much more difficult for the government to prove insider trading cases involving “remote tippees” who do not have a direct relationship with the individual […]

Author: Dan Brecher

December 30, 2014

Year in Review: Was 2014 the Year of the Whistleblower?

From high-stakes litigation to record monetary awards, whistleblowers made waves in 2014. In case you missed it, below are some of the key whistleblower legal developments that took place this year: Whistleblower awards The Securities and Exchange Commission (SEC) issued a record number of whistleblower awards in 2014, surpassing all previous years combined. In addition, […]

Author: Dan Brecher

December 29, 2014

Holiday Liability Risk: Here's How To Avoid Them This Season

In the event that your holiday is full of good cheer, here are some tips to reduce your holiday liability risk. However, for many New York and New Jersey businesses, it can also bring legal headaches. From the manager who has too much to drink at the office party to the disgruntled worker forced to […]

Author: Dan Brecher

December 25, 2014

NY Employers Must Deliver Annual Wage Notice Despite Law Change

New York employers will likely have to comply with the annual wage notice requirements of the state’s Wage Theft Prevention Act, even though the provision was amended by the New York legislature earlier this year. The Wage Theft Prevention Act was originally enacted into law in 2011 to protect the rights of low-wage workers. It […]

Author: Dan Brecher

December 12, 2014

Year in Review: Top Contract Tips For New York and New Jersey Businesses

Over the past 12 months, several court decisions have provided valuable guidance for negotiating and drafting contracts. We also provided some of our own tips. Below is a brief summary: Contract Management In July, we discussed a survey that found businesses are struggling to keep up with contract management. For instance, 65 percent of the […]

Author: Dan Brecher

December 11, 2014

Could Black Thursday Be Banned in New Jersey?

Every year, it seems that Black Friday deals start earlier and earlier. While some welcome the opportunity to get a jump on their holiday shopping, critics contend that it robs workers of time with their families on the Thanksgiving holiday. In New Jersey, lawmakers could consider a bill that would restrict Black Friday from further […]

Author: Dan Brecher

December 9, 2014

SEC Whistleblower Program Proceeding Full Steam Ahead

The Securities and Exchange Commission (SEC) recently issued its 2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program. Per our prior posts, the SEC whistleblower program, which was first launched in 2011, incentivizes the reporting of high-quality, original information that results in an SEC enforcement action with sanctions exceeding $1 million. Whistleblower awards can range […]

Author: Dan Brecher

December 8, 2014

FINRA Warns Firms Against Using Settlement Agreements to Muzzle Whistleblowers

The Financial Industry Regulatory Authority (FINRA) recently issued a regulatory notice regarding the use of confidentiality provisions in settlement agreements. It specifically reminds firms that FINRA Rule 2010 prohibits provisions that restrict or preclude a customer or any other person from communicating with the Securities and Exchange Commission (SEC), FINRA, or any federal or state […]

Author: Dan Brecher

November 20, 2014

Home Court Advantage: SEC’s Reliance on Administrative Procedures Drawing Criticism

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission (SEC) has gained greater authority to bring enforcement actions via administrative proceedings. However, the SEC’s increased use of the proceedings is drawing intense criticism and has even spurred lawsuits. Prior to Dodd-Frank, the SEC could only use administrative procedures to […]

Author: Dan Brecher

November 19, 2014

Securities and Finance

Five Tips to Turn Your Light Bulb Moment into a Successful Business

The inventors of blue and white light-emitting diodes (LED) recently received the 2014 Nobel Prize in Physics. The groundbreaking blue LED not only made the screens on our smartphones and televisions possible, but more importantly resulted in the creation of a light bulb that can last 25 times longer than traditional incandescent bulbs. One of […]

Author: Dan Brecher

November 18, 2014

Does Your Business Have a Blog? Balancing the Risks and Rewards

The advantages of corporate blogging are numerous. HubSpot reports companies that blog are 13 times more likely to generate a positive marketing return on investment. For large corporations, the informal and personal tone can help humanize the company. Corporate giants Google and Microsoft are frequent bloggers. Blogging also allows businesses to react quickly to current […]

Author: Dan Brecher

November 17, 2014

Study Reveals the Impact of Whistle Blowers

Enforcement actions initiated by whistleblowers tend to be more costly than others, according to a recent study. Researchers also found that the complaints of whistle blowers have influenced the severity of financial penalties, length of prison sentences, and duration of the actions. The study examined the effect of employee whistleblowers on the consequences of financial […]

Author: Dan Brecher

November 12, 2014

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