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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Five Tips for Getting to the IPO Plunge

Considering Going Public? Here are 5 IPO Tips You Should Consider The number of initial public offerings (IPO’s) is down 60 percent in the second quarter of 2016. There were only 33 IPOs as compared to 72 in the second quarter of 2015. However, while the IPO market has been relatively quiet in 2016, the […]

Author: Dan Brecher

July 7, 2016

What You Need to Know About Term Sheets

Term Sheets & Their Role in Business Whether seeking to obtain financing, negotiating the purchase of real property, or entering into a partnership, most small business owners will encounter term sheets at some point. In its most basic form, a term sheet is a non-binding document that sets forth the material terms and conditions of a […]

Author: Dan Brecher

June 30, 2016

U.S. v Newman Insider Trading Case Awaits SCOTUS Review

Growing Circuit Split Over United States v Newman Insider Trading Case In convicting a Massachusetts attorney of insider trading, the First Circuit Court of Appeals declined to impose the higher standard established by the Second Circuit in the United States v. Newman insider trading case. The decision adds to the circuit split regarding insider trading cases, which […]

Author: Dan Brecher

June 27, 2016

Mickelson Case Reflects Insider Trading in the Wake of Newman

What does the Mickelson case reveal about insider trading? Professional golfer Phil Mickelson was recently named in an insider trading case involving sports gambler William Walters. Although Phil is not facing any charges in the Mickelson case, he did agree to pay full disgorgement of his trading profits totaling $931,738.12. As detailed in the insider-trading complaint filed […]

Author: Dan Brecher

May 30, 2016

A Better Way to Sell Your Business: Part 2 - Structuring the Transaction

A Better Way to Sell Your Business: Part 2 – Structuring the Transaction In Part 1 of this two part article, “A Better Way to Sell Your Business,”we looked at a transaction in which a seller of a going business was retiring, and a young relative or key employee, who lacked sufficient initial funding for a […]

Author: Dan Brecher

May 10, 2016

A Better Way to Sell Your Business

A better way to sell your business part 1: how to buy a company with no money down The story is familiar – a business owner is getting older. He would like to sell the business to which he has devoted so much of his life and retire to a sunny climate while he can […]

Author: Dan Brecher

May 10, 2016

Be Wary of Proceeds Trading in Your Brokerage Account

We have represented a number of customers whose brokers engaged in what is known as proceeds trading in their accounts. Proceeds trading is a form of “churning” that occurs in brokerage customers’ accounts when the broker sells one security and then recommends that the proceeds of that sale be used to purchase another security, usually […]

Author: Dan Brecher

April 15, 2016

Scarinci Hollenbeck

What are the Traps to Avoid When Buying or Selling a Business?

Small businesses are exchanging hands at a rapid rate throughout the country. The current economic conditions are favorable for both buying and selling a business. Whether you are interested in buying or selling a business, preparation is the key to success. Once you decide to sell your business, it is time to begin preparing for […]

Author: Dan Brecher

April 11, 2016

Top Legal Concerns Facing NJ Mobile App Developers

Designing a successful mobile application has become one of the fastest ways for a technology start-up to make it big. While apps can generate significant revenue for businesses, they also come with unique legal concerns. Here are some of the top legal cerns that NJ Mobile app developers should know about it. Last year, global […]

Author: Dan Brecher

March 9, 2016

Scarinci Hollenbeck

JOBS Act Equity Crowdfunding Rules Take Effect in May

JOBS Act Equity Crowdfunding Rules Take Effect in May The Securities and Exchange Commission’s (SEC) equity crowdfunding rules are scheduled to take effect in May. In the meantime, the SEC and the Financial Industry Regulatory Authority (FINRA) are clearing the way for funding portals to start operating. In January, the SEC approved FINRA’s Funding Portal […]

Author: Dan Brecher

February 19, 2016

Choosing an Arbitrator for Your Business Dispute

Selecting an Arbitrator for Your Business Dispute Many contracts now require the arbitration of disputes instead of allowing for court hearings of claims. Just as important as selecting jurors, lawyers will take care in selecting the arbitrator(s). In many cases, arguing before a sympathetic audience can be the key to winning the case. The Arbitration […]

Author: Dan Brecher

February 12, 2016

FINRA And the Culture of Compliance

FINRA examiners are looking for “Culture of Compliance” The Financial Industry Regulatory Authority (FINRA) recently published its 2016 Regulatory and Examination Priorities Letter. For firms under FINRA’s purview, the document provides useful insight into where the organization plans to devote its resources. FINRA focuses on “Culture of Compliance” in 2016 Of particular note for 2016, […]

Author: Dan Brecher

February 10, 2016

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