Biography
Dan Brecher joined Scarinci Hollenbeck after being the head of the Securities and Investment Banking Department of a 250-attorney New York City firm and later running his own boutique securities and investment banking law firm.
His experience ranges from serving as general counsel of New York Stock Exchange and NASD/FINRA member brokerage firms to representing companies in hundreds of public and private securities offerings, and advising institutional and high net worth investors. In addition, Mr. Brecher is counsel of record in several leading published decisions establishing precedents in securities, business and education law. He is a Court-appointed mediator in the U. S. District Court, Southern District of New York, and a mediator and an arbitrator at FINRA.
Mr. Brecher has been a featured speaker at FINRA Arbitrator Skills Programs, and his chapter on customer claims against brokers was published by the Practicing Law Institute. He was also the lead speaker and co-author of a continuing legal education course handbook “Buying and Selling a New York Business” for the Lorman Education Services program.
For ten years, Dan was Chairman, and is currently Vice Chairman, of the Board of Directors of Birch Family Services, Inc., a major provider of early childhood special education schools in New York City. Birch is also a leader in providing programs for residences and job training for young adults on the autistic spectrum.
Representative Matters
- Recently served as General Counsel for healthcare company and took it from incorporation through multi-million dollar seed capital financing.
- Recently served as General Counsel for a mobile app development company and took it through a seven figure seed capital initial financing.
- Incorporated and took present leading Biotech corporation through private placement rounds and $100 million initial public offering.
- Represented New York Stock Exchange Member Firm as underwriter of initial public offering for healthcare industry company.
- Served as outside general counsel to New York Stock Exchange Member Firm.
- Represented customers of major brokerage firm and obtained $2.5 million FINRA arbitration award.
- Represented customer of major brokerage firm and obtained $1 million FINRA arbitration award.
- Represented customers in FINRA arbitrations against FINRA member firms and obtained substantial cash settlement payments totaling over ten million dollars.
- Recently represented a public company in federal trial of multi-million dollar claims against and by a major international bank; defeated the bank’s claim.
- Represented a brokerage firm officer in resolving an SEC investigation.
- Represented a hedge fund in a private placement of funds.
- Represented a retiring owner in the sale of his interest in a printing company and buyout of his employment agreement.
- Settled claims against a hedge fund manager on behalf of a client of the fund manager for a six figure amount.
- Advised angel investors in private placements in start-up technology and biotechnology companies.
- Litigated claims against a client’s former investment adviser and accountant to substantial settlement.
- Represented investor in fraud claims against former investment adviser and obtained $12 million federal judgment against former financial adviser.
Publications
| Title | Publisher | Date |
|---|---|---|
| How To Check On Your Broker | Bottom Line Inc. | June 1, 2016 |
| Public Offerings | New York Practice Guide, Business and Commercial, Chapter 9, Matthew Bender & Co. | 1994 |
| The Role of Underwriters in ’33 Act Filings | Vol. 52 New York State C.P.A. Journal, No. 3 | 1999 |
| Buying and Selling a New York Business | Lorman Business Center, Inc. | |
| Corporate Buy-Out Without Cash | 5 Boardroom Reports No. 5 | |
| Self-Underwriting 5 Boardroom Reports No. 15 | Self-Underwriting 5 Boardroom Reports No. 15 | |
| Going Public | 7 Boardroom Reports No. 21 | |
| Customer Rights | Barron's, Vol. LXV No. 31 | |
| Investing With A Brokerage Firm | Investigate, Vol. 1, No. 9 | |
| Bring Securities Cases in New York If Possible | 8 Boardroom Reports No. 11 | |
| Raising Money Through Unregistered Securities | 8 Boardroom Reports No. 21 | |
| When to Sue Your Stockbroker | Bottom Line Personal, Vol. 6, No. 8 | |
| Ten Things Your Broker Doesn't Want You to Know | Bottom Line Personal Vol.9, No.6 | |
| Five Questions to Address Before You Develop A Business Plan | Bottom Line Personal, Vol. 15, No.3 | |
| Better Way To Sell A Business | 15 Boardroom Reports, No. 9 | |
| Raising Capital on The Internet | Bottom Line Personal, Vol. 26, No. 11 | |
| How To Spot a Ponzi Scheme: Lessons From the Madoff Scandal | Bottom Line Personal, Vol. 30, No.3 | |
| Is Your Financial Adviser Fishing for Fees? | Bottom Line Personal, Vol. 31, No.8 | |
| When Making a Small Public Offering Under Regulation A | 26 The Practical Lawyer, Nos. 2 & 3, republished in The Practical Lawyers Manual of Business Forms and Checklists, American Law Institute-American Bar Association | 1984 |
| Officers' and Directors' Liability | New York Forms of Jury Instruction, Chapter 24, Matthew Bender & Co. | 1994 |
| Securities Arbitration of Customer Claims Alleging Unsuitability, Improper Markups/Markdowns or Breach of Fiduciary Duties | Chapter 31, Securities Arbitration | 1996 |
Articles
Can You Benefit from the Expanded Accredited Investor Definition?
September 21, 2020
Start-up Investing is Alive and Well Despite the Pandemic
September 7, 2020
New Jersey Angel Tax Credits Flowing Back to Investors
August 18, 2020
New York Relaxing Virtual Currency Rules – What Businesses Need to Know
July 31, 2020
How the Courts Are Responding to COVID-19 Contract Cases
July 8, 2020
Managing the Legal Fallout From COVID-19 Event Cancellations
July 3, 2020
Top Considerations for Boards of Directors Addressing COVID-19
May 20, 2020
Is This a Good Time to Start or Buy a Business?
March 19, 2020
NJ’s Expanded Angel Investor Tax Credit Program Now Available
February 25, 2020
NYSE Proposing to Let Companies Raise Capital Via Direct Listing
January 30, 2020
What Start-Ups Should Know About Attorney-Client Privilege
January 24, 2020
What Do Companies Need to Understand About ESG Disclosures?
December 27, 2019
SEC Poised to Overhaul Advertising Rules for Investment Advisors
December 4, 2019
Videos
SPAC IPOs: Hotter Than Ever and How They Work With Forms
August 26, 2020
News & Events
Recent Articles
- Education
- Fordham University School of Law (JD, 1969)
- City College of the City University of New York (BA, 1964)
- Bar Admissions
New York
- U.S. District Court, Southern and Eastern Districts of New York
- U.S. Court of Appeals, Second Circuit
New Jersey
- U.S. Supreme Court
- Additional Information
The Association of the Bar of the City of New York
- New York State Bar Association
- American Bar Association (Corporation, Banking and Business Law Section)
- Birch Family Services, Inc.: Member, Board of Directors, 1990—; Secretary, 1992-1994; Treasurer, 1994-1996; Chairman, 1996-2005; Vice-Chairman, 2005—.
- Herbert G. Birch Services Fund, Inc.: Chairman, Board of Directors, 1996-2005; Vice-Chairman, 2005—.