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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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ING Fines Highlight Importance of Email Retention Procedures post image

ING Fines Highlight Importance of Email Retention Procedures

The Financial Industry Regulatory Authority (FINRA) recently fined five units of ING Groep NV a total of $1.2 million for failing to retain or review millions of emails. The Financial Industry Regulatory Authority (FINRA) recently fined five units of ING Groep NV a total of $1.2 million for failing to retain or review millions of […]

Author: Dan Brecher

Link to post with title - "ING Fines Highlight Importance of Email Retention Procedures"
New SEC Technology to Focus on Suspicious Corporate Disclosures post image

New SEC Technology to Focus on Suspicious Corporate Disclosures

The Securities and Exchange Commission (SEC) is increasingly turning to technology to help root out fraud. The agency recently announced plans to launch a new computer software program that will detect accounting anomalies in corporate disclosures submitted to the regulator. The new data driven approach is expected to bolster the SEC’s risk assessment process when […]

Author: Dan Brecher

Link to post with title - "New SEC Technology to Focus on Suspicious Corporate Disclosures"
Cross-Border Swaps Are A Top SEC Priority for 2013 post image

Cross-Border Swaps Are A Top SEC Priority for 2013

The Securities and Exchange Commission (SEC) recently announced that cross-border security-based swaps rules would be a top priority for 2013. SEC Chairman Elisse Walter has characterized the swap rules as “the critical linchpin” of the Dodd-Frank Wall Street Reform and Consumer Protection Act due to the “global nature of the market.” “That is what is […]

Author: Dan Brecher

Link to post with title - "Cross-Border Swaps Are A Top SEC Priority for 2013"
Does Post Office Give Netflix an Unfair Business Advantage? post image

Does Post Office Give Netflix an Unfair Business Advantage?

If you subscribe to Netflix, you know that DVDs appear in your mailbox at seemingly warp speed. While consumers certainly appreciate the prompt delivery, at least one other mail-order business believes Netflix is receiving an unfair business advantage from the U.S. Postal Service. In 2011, GameFly Inc. filed a lawsuit against the Postal Regulatory Commission, […]

Author: Dan Brecher

Link to post with title - "Does Post Office Give Netflix an Unfair Business Advantage?"
Will Getco Get Green Light From Knight Capital Shareholders? post image

Will Getco Get Green Light From Knight Capital Shareholders?

If Getco LLC can secure approval from Knight Capital Group shareholders, the newly formed entity would be a dominating force on the U.S. stock exchange. It would also be quite a reversal for Knight Capital, given that a $450 million trading error nearly bankrupted the company this summer. Shareholder approval is often one of the […]

Author: Dan Brecher

Link to post with title - "Will Getco Get Green Light From Knight Capital Shareholders?"
Use an Earn-Out Provision to Bridge The Difference In a New Jersey Business Sale post image

Use an Earn-Out Provision to Bridge The Difference In a New Jersey Business Sale

Sellers usually value their New Jersey businesses higher than the Buyer can reasonably pay up front and unconditionally, because the Buyer has less familiarity with the minute details and unseen liabilities that show up only after the deal is done.  A confident and reliable Seller can be persuaded to accept payments over time, often tied in […]

Author: Dan Brecher

Link to post with title - "Use an Earn-Out Provision to Bridge The Difference In a New Jersey Business Sale"

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