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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Mums the Word: Firms Agree to Restrict Early Access to Analyst Reports

Several prominent Wall Street firms have reached an agreement with New York regulators to end the practice of cooperating with surveys that provide early access to analysts’ opinions. New York Attorney General Eric T. Schneiderman requested the deal as part of his investigation into the early release of analyst sentiment to preferred investors, a practice […]

Author: Dan Brecher

March 17, 2014

Are You Ready for Your Close Up? SEC Targeting Unexamined Investment Advisers

The Securities and Exchange Commission (SEC) typically examines just eight percent of the 11,000 registered investment advisers it oversees. As a result, many advisers have been able to operate under the radar. That may soon change. The SEC recently announced an initiative to examine registered investment advisers who have never been subjected to review, with […]

Author: Dan Brecher

March 10, 2014

Business Compliance

Are Two Heads Better Than One? The Risks and Benefits of a Joint Venture

With economic uncertainty still looming, companies are increasingly looking to share the costs of pursuing new opportunities through joint ventures. Just last month, Toyota and BMW announced the formation of a joint venture to develop new products and technology, including a new fuel cell and a joint platform concept for a mid-size sports vehicle. In […]

Author: Dan Brecher

March 3, 2014

Joint Venture

Understanding 10-K, 10-Q, and 8-K Reports: What’s the Big Difference for Investors?

Under SEC requirements, publicly traded companies are required to disclose a wealth of information to the public. Knowing how to decipher these filings can help investors make informed decisions regarding whether to buy, sell or hold a company’s securities. As the second in a series, this post provides a brief overview of several key corporate […]

Author: Dan Brecher

February 28, 2014

Securities attorney NYC

NY Employment Lawsuit: Can a Worker Be Fired for Being “Too Cute?”

A New York employment lawsuit alleging wrongful termination is making legal headlines. The plaintiff, a Manhattan message therapist and yoga instructor, maintains that she was fired because her boss’s spouse found her to be “too cute.” While the case may seem unusual, there is precedent. In fact, the employer in the New York litigation will […]

Author: Dan Brecher

February 25, 2014

Schedule 13D and Form 13F Filings: What’s the Big Difference for Investors?

The raison d’être for our federal securities laws is disclosure. Congress and the SEC have long held the view that a fair and efficient market can only occur when there is full and timely disclosure of material facts a reasonable investor would expect to have available before making a decision to buy or sell a […]

Author: Dan Brecher

February 21, 2014

Securities attorney NYC

Will Martoma Conviction Bolster Insider Trading Crackdown?

While the Securities and Exchange Commission (SEC) may have a spotty record when it comes to insider trading cases, U.S. Attorney Preet Bharara has an impressive winning streak. He is 79-0 in securing insider-trading convictions over the past four years. Former hedge fund trader Mathew Martoma is the latest guilty verdict for Bharara, whose other […]

Author: Dan Brecher

February 19, 2014

Check Your Emails for Politeness

Have you ever received an email not meant for you? Worse yet, have you sent one to the wrong person yourself? What about sending a message with an embarrassing typo or a word missing that makes you wish you had not sent your message? It is usually the speed at which we chose (or need) […]

Author: Dan Brecher

February 18, 2014

New York Corporation Dissolving? Here's What You Need To Know

As they say, all good things must come to an end. Whether you plan to retire, start a new venture, or simply sell your business, it is imperative to give your New York corporation a proper farewell. Through the process of voluntary dissolution, the corporation ceases to exist, as does the obligation to pay future […]

Author: Dan Brecher

February 13, 2014

Is It Time to Buy into 3D Printing?

3D printers now make it possible to create a new object by simply downloading a design file and hitting “print.” As the cost of the new technology continues to decline, it is increasingly available to the masses. Not surprisingly, as the once “niche” industry is poised to go mainstream, 3D printing business opportunities are skyrocketing. In 2014, consumer […]

Author: Dan Brecher

February 7, 2014

Kanye West Lawsuit Shuts Down Digital Currency

Kanye West is no stranger to controversy. Most recently, West successfully shut down the Coinye project, a digital currency similar to Bitcoin that featured the famous rapper’s image. In January, West sent a cease and desist letter to the start-up behind Coinye, alleging trademark infringement and rights of publicity violations. However, it resulted in only […]

Author: Dan Brecher

January 29, 2014

Bitcoin

Corporate Disclosures: SEC Adopts Position That Less Is More

Is your company drowning under the burden of ever-growing corporate disclosure requirements? If the answer is yes, we have good news. In a recent report to Congress, the Securities and Exchange Commission (SEC) outlined a new initiative intended to streamline disclosure requirements for U.S. public companies under Regulation S-K. The report, which was mandated by […]

Author: Dan Brecher

January 28, 2014

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