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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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

September 5, 2017

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

July 20, 2017

Business

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

June 30, 2017

New York

How Can Older Investors Avoid Financial Fraud?

Protecting Older Investors from Predatory Financial Advisors Because they have amassed large retirement savings, older investors are frequent targets of investment fraud. After all, that’s where the money is. The cognitive decline that often accompanies the aging process can also make senior investors more vulnerable to exploitation. Financial Frauds Target Seniors Today, Americans over the […]

Author: Dan Brecher

June 20, 2017

SEC Issues Warning on SAFE Crowdfunding Securities

SEC Warns New Crowdfunding Securities Are Not SAFE The Securities and Exchange Commission (SEC) is keeping a close eye on the developing equity crowdfunding industry. The agency recently issued an Investor Bulletin regarding the risks associated with Simple Agreements for Future Equity (SAFE) crowdfunding securities, which are increasingly being used in equity crowdfunding campaigns. What […]

Author: Dan Brecher

June 9, 2017

FINRA Publishes New Social Media Guidance

To Keep Pace with the Increasing Popularity of Social Media, FINRA Publishes New Social Media Guidance Brokers and advisers increasingly rely on social media to connect with current and potential clients. After all, don’t we all prefer to read a 140-character Tweet promoting a new investment opportunity instead of digesting a 20-page prospectus filled with […]

Author: Dan Brecher

May 24, 2017

SEC Issues Guidance Regarding Increasingly Popular Robo-Advisers

New SEC Guidance Legitimizes Robo-Advisers Investors increasingly seek to obtain investment advice online. Some even rely on computers to determine where to invest their money. The new online services allow individual investors to create and manage their investment accounts through a web portal or mobile application, sometimes with little or no interaction with a human […]

Author: Dan Brecher

March 31, 2017

Top Compliance Fails Investment Advisers Should Avoid

Investment Advisers’ Top Five Compliance Fails As investment advisers conduct their annual review, they can learn a lot from their peers. The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) recently issued a Risk Alert detailing the five compliance topics most frequently identified in deficiency letters that were sent to registered investment […]

Author: Dan Brecher

March 16, 2017

How the HALOS Act Could Help Startups Attract Angel Investors

How Could the HALOS Act Benefit Start-ups? The U.S. House of Representatives recently passed the Helping Angels Lead Our Startups (HALOS) Act. The goal of the legislation is to remove regulatory roadblocks that may prevent start-ups from securing funds from angel investors by clarifying what types of communications constitute a general solicitation and subsequently trigger the verification […]

Author: Dan Brecher

February 9, 2017

Why Crowdfunding Is a Failure of the JOBS Act

How Crowdfunding could be fixed under the JOBS Act Crowdfunding was conceived as a way to help spur job growth by making it easier for small businesses and startups to raise money from public investors. Enacted by Congress in 2012, it wasn’t until 2016 that the SEC adopted the rules and regulations for crowdfunding under […]

Author: Dan Brecher

February 7, 2017

Top reasons to conduct an annual business inspection

Should You Conduct a Business Checkup for 2017? As we enter 2017, how healthy is your business? If you aren’t sure that your company is running at peak performance, it’s time for an annual business checkup.Just like the human body, businesses can suffer if they are not regularly maintained. Without proper preventive care, a relatively […]

Author: Dan Brecher

January 10, 2017

FINRA Shuts Down Crowdfunding Portal

FINRA recently expelled crowdfunding portal uFundingPortal (UFP) The Financial Industry Regulatory Authority (FINRA) recently expelled crowdfunding platform uFundingPortal (UFP) LLC. It marks the first FINRA settlement over alleged violations of the crowdfunding rules enacted pursuant to the Jumpstart Our Business Startups Act (JOBS Act). Regulations for Crowdfunding Portals Under the JOBS Act, funding portals relying on the […]

Author: Dan Brecher

December 29, 2016

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