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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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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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IPO Trends to Monitor in 2018 post image

IPO Trends to Monitor in 2018

As We Move Through 2018, IPO Trends May Be Worth Tracking Initial public offerings (IPO) have declined in recent years, with many high-value companies electing to remain private. As we move through 2018, IPO activity is projected to increase, although the extent of the rebound is a lot less certain.  2017 IPO Market in Review  […]

Author: Dan Brecher

Link to post with title - "IPO Trends to Monitor in 2018"
Understanding the CFTC Oversight Over Virtual Currency post image

Understanding the CFTC Oversight Over Virtual Currency

Since They Are Considered Commodities, the CTFC Has Oversight Over Virtual Currencies Under the Commodity Exchange Act The Securities and Exchange Commission (SEC) isn’t the only federal agency flexing its regulatory muscle in response to the explosive growth of virtual currencies, such as bitcoin. Because virtual currencies are considered commodities, the Commodity Futures Trading Commission’s […]

Author: Dan Brecher

Link to post with title - "Understanding the CFTC Oversight Over Virtual Currency"
Top Six New York Start-up Tips post image

Top Six New York Start-up Tips

Getting A New York Start-up Company Off the Ground is No Easy Task Getting a New York start-up company off the ground can be a challenging task. In fact, 8 out of 10 entrepreneurs who start a business fail within the first 18 months. Scarinci Hollenbeck’s Corporate Transactions & Business Practice Group regularly works with […]

Author: Dan Brecher

Link to post with title - "Top Six New York Start-up Tips"
Five Conclusions from SEC Chair's Latest Statement on ICOs post image

Five Conclusions from SEC Chair's Latest Statement on ICOs

SEC Chair Jay Clayton Recently Issued Public Statement on ICOs Securities and Exchange Commission (SEC) Chair Jay Clayton recently issued a public statement on bitcoin and other cryptocurrencies. He also addressed companies’ use of initial coin offerings (ICOs) to raise capital. While the SEC’s latest warning does not create any new guidelines, it does highlight […]

Author: Dan Brecher

Link to post with title - "Five Conclusions from SEC Chair's Latest Statement on ICOs"
SEC Enforcement Actions Sharply Declined post image

SEC Enforcement Actions Sharply Declined

SEC Enforcement Actions Against Public Companies & Subsidiaries Decreased By 33% In the Fiscal Year 2017 With the Securities and Exchange Commission (SEC) appearing to be focusing more intensely on public company report filings and on misdeeds of investment advisors, other aspects of the securities markets are now receiving less attention under the Trump Administration, […]

Author: Dan Brecher

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Private Equity Trends: Negotiating Waterfall Distribution Schedules post image

Private Equity Trends: Negotiating Waterfall Distribution Schedules

When Negotiating an LPA, Waterfall Distribution Schedules Are Becoming An Increasingly Important Topic The private equity industry has grown significantly in recent years. PE firms had a record $2.49 trillion in assets as of December 31, 2016. In total, 319 new firms launched last year. Most private equity funds are structured as a limited partnership, […]

Author: Dan Brecher

Link to post with title - "Private Equity Trends: Negotiating Waterfall Distribution Schedules"
Tips for Succeeding at the Indemnification Dance post image

Tips for Succeeding at the Indemnification Dance

Businesses Should Never Overlook The Importance of Clearly Drafted Indemnification Provisions While sometimes mistakenly dismissed as “boilerplate,” businesses should never overlook the importance of clearly drafted indemnification provisions. In interpreting your contracts, you should be aware that an indemnification clause is to be desired if you are being indemnified, and to be avoided, if possible, […]

Author: Dan Brecher

Link to post with title - "Tips for Succeeding at the Indemnification Dance"
Could a “Finder” Aid Your Startup Funding? post image

Could a “Finder” Aid Your Startup Funding?

Legal Issues Can Arise When a Start-up Uses Own Employees or Third-Party Finders To Aid in Startup Funding Legal issues can arise when a start-up company or private investment fund uses its own employees or other third party “finders” to identify and solicit investors to provide capital via a private securities offering. In many cases, […]

Author: Dan Brecher

Link to post with title - "Could a “Finder” Aid Your Startup Funding?"
Investor Recourse for Initial Coin Offering Fraud post image

Investor Recourse for Initial Coin Offering Fraud

Investor Recourse for Initial Coin Offering Fraud With the price of Bitcoin rising and blockchain technology gaining increasing legitimacy, Initial Coin Offerings (ICOS) are gaining popularity with investors. However, as highlighted by two recent SEC enforcement actions, ICOs are extremely risky investments and in some cases, may be completely fraudulent. In such cases, private investors […]

Author: Dan Brecher

Link to post with title - "Investor Recourse for Initial Coin Offering Fraud"
Treasury Report Proposes Measures to Promote Access to Capital post image

Treasury Report Proposes Measures to Promote Access to Capital

Recent US Department of Treasury Report Calls For Changes To Federal Financial Regulations The U.S. Department of Treasury recently published a report calling for widespread changes to the country’s federal financial regulations. The overhaul is intended to promote growth by loosening market restraints put in place after the financial crisis. In good news for startups […]

Author: Dan Brecher

Link to post with title - "Treasury Report Proposes Measures to Promote Access to Capital"
The Basics of a Special Purpose Acquisition Company post image

The Basics of a Special Purpose Acquisition Company

Understanding the Basics of a Special Purpose Acquisition Company A special purpose acquisition company (SPAC) is created for the sole purpose of raising capital, usually through an IPO, and using those funds to acquire or merge with an existing private company. The unique business structure essentially allows investors to pool their money together to acquire […]

Author: Dan Brecher

Link to post with title - "The Basics of a Special Purpose Acquisition Company"
Initial Coin Offerings Revolve Around Key Question - What Is a Security? post image

Initial Coin Offerings Revolve Around Key Question - What Is a Security?

Initial Coin Offerings Revolve Around Key Question – What Is a Security? Businesses are increasingly relying on initial coin offerings (ICOs) to raise capital. However, as with many other new high-tech financial transactions, the law has largely failed to keep pace. As we have discussed previously, virtual coins are created and disseminated using distributed ledger […]

Author: Dan Brecher

Link to post with title - "Initial Coin Offerings Revolve Around Key Question - What Is a Security?"

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