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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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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

Link to post with title - "SEC Enforcement Actions Sharply Declined"
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?"
SEC “Bad Actors” Bill Would Limit Agency’s Use of Waivers post image

SEC “Bad Actors” Bill Would Limit Agency’s Use of Waivers

Bad Actor Disqualification Act of 2017 To Protect Investors From Bad Actors Bi-partisan legislation working its way through Congress would restrict the Securities and Exchange Commission’s (SEC) ability to grant waivers to financial firms that have violated the law. Rep. Maxine Waters, the ranking member of the House Financial Services Committee, introduced the Bad Actor […]

Author: Dan Brecher

Link to post with title - "SEC “Bad Actors” Bill Would Limit Agency’s Use of Waivers"
Traps to Avoid When Selling a Business post image

Traps to Avoid When Selling a Business

Traps to Avoid When Selling a Business: Indemnification Provisions Sellers often do not carefully consider how the indemnification provisions in a purchase agreement may impact them after the sale of their business. To avoid this and other traps, it is imperative to have an experienced business lawyer (not just your broker) review the purchase and […]

Author: Dan Brecher

Link to post with title - "Traps to Avoid When Selling a Business"
Are You The "Alter Ego" Of Your New York Corporation? post image

Are You The "Alter Ego" Of Your New York Corporation?

Don’t Be the “Alter Ego” of Your New York Corporation Limited liability is one of the greatest advantages of establishing a corporation or limited liability corporation (LLC) because it shields New York business owners from personal liability for business debts. However, limited liability is not unconditional. Therefore, start-ups and other New York businesses should be […]

Author: Dan Brecher

Link to post with title - "Are You The "Alter Ego" Of Your New York Corporation?"

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