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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.
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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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Company’s Direct IPOs: Should You Take the DIY Route? post image

Company’s Direct IPOs: Should You Take the DIY Route?

Most companies that undertake an initial public offering (IPO) partner with an investment bank to serve as an underwriter. The role of the underwriter includes helping to establish the initial share price and the public market, as well as seeking to interest analysts to follow the stock. In the midst of the growing crowdfunding buzz, […]

Author: Dan Brecher

Link to post with title - "Company’s Direct IPOs: Should You Take the DIY Route?"
Verbal Fillers: Are You Guilty of Um, Ah and Sort Of? post image

Verbal Fillers: Are You Guilty of Um, Ah and Sort Of?

Do you have a verbal “tic?” Get a tape of your last public speech, talk, oral argument or sales presentation. Are you starting your sentences with an “uh” or its common replacement “so?” If these verbal fillers seem to find their way into your public speaking, you are not alone. Many of the talking heads […]

Author: Dan Brecher

Link to post with title - "Verbal Fillers: Are You Guilty of Um, Ah and Sort Of?"
On the Move? Take Your New York or New Jersey Business With You post image

On the Move? Take Your New York or New Jersey Business With You

Moving your New York or New Jersey business from one state to another creates a host of practical and legal concerns, but it is possible. If the new state is more business-friendly, the move may actually benefit in the long run. The process of relocating your New York or New Jersey business largely depends on […]

Author: Dan Brecher

Link to post with title - "On the Move? Take Your New York or New Jersey Business With You"
Finally! SEC Approves Rule to Assist Companies Raising Capital post image

Finally! SEC Approves Rule to Assist Companies Raising Capital

As required by the JOBS Act, the Securities and Exchange Commission (SEC) finally enacted rules to allow for general solicitation of private security offerings. The move is good news for early stage and emerging companies, as it will open the door to billions of dollars in new funding. The new rule specifically amends Rule 506 […]

Author: Dan Brecher

Link to post with title - "Finally! SEC Approves Rule to Assist Companies Raising Capital"
Fiduciary Duties and Investment Professionals: What’s the Big Difference? post image

Fiduciary Duties and Investment Professionals: What’s the Big Difference?

The Securities and Exchange Commission (SEC) is currently considering whether investment advisers and securities brokers should be held to the same standard of care when dealing with clients. The uniform fiduciary standard was authorized under the Dodd-Frank financial reform law and has been hotly debated since 2011. While the fiduciary standard already applies to financial […]

Author: Dan Brecher

Link to post with title - "Fiduciary Duties and Investment Professionals: What’s the Big Difference?"
What Does IPO Surge Mean for Your Venture? post image

What Does IPO Surge Mean for Your Venture?

The U.S. IPO market heated up just in time for summer, according to recent data. The surge in US IPOs corresponded to the record highs in U.S. stock market indices during the second quarter. The quarter ended with a brief but significant market correction, responding significantly to the reminder from Chairman Bernanke that there will […]

Author: Dan Brecher

Link to post with title - "What Does IPO Surge Mean for Your Venture?"
Revlon to Pay SEC Fine for “Going Private” Transaction post image

Revlon to Pay SEC Fine for “Going Private” Transaction

The Securities and Exchange Commission (SEC) recently announced that Revlon has agreed to pay an $850,000 fine to resolve charges that it misled investors regarding a “going private” transaction. These transactions generally involve a company delisting and deregistering its stock and cashing out their shareholders so the company or a private equity firm can acquire […]

Author: Dan Brecher

Link to post with title - "Revlon to Pay SEC Fine for “Going Private” Transaction"
U.S. Reaches Key Agreement With Chinese Regulators Over Auditing Access post image

U.S. Reaches Key Agreement With Chinese Regulators Over Auditing Access

The Public Company Accounting Oversight Board (PCAOB), a nonprofit corporation established by Congress to oversee the audits of public companies, recently announced a critical first step in its efforts to secure audit documents in China. The memorandum of understanding is the product of lengthy negotiations with Chinese regulators over enforcement cooperation. As we have previously […]

Author: Dan Brecher

Link to post with title - "U.S. Reaches Key Agreement With Chinese Regulators Over Auditing Access"
Is “Secret” Business Court Coming Back to Delaware? post image

Is “Secret” Business Court Coming Back to Delaware?

Many corporations call Delaware home because of its business friendly legal environment. It is an attractive place to incorporate a business, and it can also provide substantial court decision precedents for corporate disputes, making it more predictable as to what a Delaware court may do in deciding a disputed business matter as compared to states […]

Author: Dan Brecher

Link to post with title - "Is “Secret” Business Court Coming Back to Delaware?"
“Gentlemen’s Club” Loses NYC Wage Lawsuit post image

“Gentlemen’s Club” Loses NYC Wage Lawsuit

As a New York City “gentlemen’s club” can attest, a wage lawsuit can be costly for employers. The Penthouse Executive Club recently agreed to pay its dancers a total of $8 million to resolve allegations of a wage lawsuit that it failed to pay proper wages and misclassified workers as independent contractors. The initial New […]

Author: Dan Brecher

Link to post with title - "“Gentlemen’s Club” Loses NYC Wage Lawsuit"
Are Brokerage Contracts Headed For a Huge Change? post image

Are Brokerage Contracts Headed For a Huge Change?

Mandatory arbitration clauses in brokerage contracts could soon be a thing of the past. Lawmakers are calling on the Securities and Exchange Commission (SEC) to exercise its authority under the Dodd-Frank Act to ban what they call the “abuse of forced arbitration contracts.” As Senator Al Franken (D-Minn) and his colleagues noted in their letter […]

Author: Dan Brecher

Link to post with title - "Are Brokerage Contracts Headed For a Huge Change?"
SEC Seeking to Make Punishment Fit the Crime post image

SEC Seeking to Make Punishment Fit the Crime

The Securities and Exchange Commission (SEC) will likely undergo a number of significant changes with Mary Jo White at the helm. She has promised to step up enforcement if confirmed as the agency’s new chairwoman. Changes could also be coming to how the SEC punishes securities violations. The agency is reportedly exploring the use of […]

Author: Dan Brecher

Link to post with title - "SEC Seeking to Make Punishment Fit the Crime"

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