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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SEC Whistleblower Program Proceeding Full Steam Ahead

The Securities and Exchange Commission (SEC) recently issued its 2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program. Per our prior posts, the SEC whistleblower program, which was first launched in 2011, incentivizes the reporting of high-quality, original information that results in an SEC enforcement action with sanctions exceeding $1 million. Whistleblower awards can range […]

Author: Dan Brecher

December 8, 2014

FINRA Warns Firms Against Using Settlement Agreements to Muzzle Whistleblowers

The Financial Industry Regulatory Authority (FINRA) recently issued a regulatory notice regarding the use of confidentiality provisions in settlement agreements. It specifically reminds firms that FINRA Rule 2010 prohibits provisions that restrict or preclude a customer or any other person from communicating with the Securities and Exchange Commission (SEC), FINRA, or any federal or state […]

Author: Dan Brecher

November 20, 2014

Home Court Advantage: SEC’s Reliance on Administrative Procedures Drawing Criticism

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission (SEC) has gained greater authority to bring enforcement actions via administrative proceedings. However, the SEC’s increased use of the proceedings is drawing intense criticism and has even spurred lawsuits. Prior to Dodd-Frank, the SEC could only use administrative procedures to […]

Author: Dan Brecher

November 19, 2014

Securities and Finance

Five Tips to Turn Your Light Bulb Moment into a Successful Business

The inventors of blue and white light-emitting diodes (LED) recently received the 2014 Nobel Prize in Physics. The groundbreaking blue LED not only made the screens on our smartphones and televisions possible, but more importantly resulted in the creation of a light bulb that can last 25 times longer than traditional incandescent bulbs. One of […]

Author: Dan Brecher

November 18, 2014

Does Your Business Have a Blog? Balancing the Risks and Rewards

The advantages of corporate blogging are numerous. HubSpot reports companies that blog are 13 times more likely to generate a positive marketing return on investment. For large corporations, the informal and personal tone can help humanize the company. Corporate giants Google and Microsoft are frequent bloggers. Blogging also allows businesses to react quickly to current […]

Author: Dan Brecher

November 17, 2014

Study Reveals the Impact of Whistle Blowers

Enforcement actions initiated by whistleblowers tend to be more costly than others, according to a recent study. Researchers also found that the complaints of whistle blowers have influenced the severity of financial penalties, length of prison sentences, and duration of the actions. The study examined the effect of employee whistleblowers on the consequences of financial […]

Author: Dan Brecher

November 12, 2014

Is It a Good Time to Start a Business?

Starting a new business always comes with some degree of risk, but what about launching a venture on the heels of a recession? According to most experts, 2014 is a good time to start a business. Although the economy is still struggling, that can be a benefit for start-ups. For one, it costs less. Goods […]

Author: Dan Brecher

November 6, 2014

Ebola Catching Attention of Business and Legal Community

While widespread Ebola threats in the business and legal community may never materialize, the virus is having a real impact on the commodities market. As reported by the Wall Street Journal, Ebola has caused significant trading delays and disruptions in West Africa. While the region imports much of its food, it also exports valuable commodities […]

Author: Dan Brecher

October 23, 2014

Does the Accredited Investor Definition Need a Makeover?

The definition of “accredited investor” may be headed for some significant changes. The Securities and Exchange Commission’s (SEC) Investor Advisory Committee is the latest group to call for an overhaul. This blogger likes the recommendation described below that restricts investors individually from risking too high a percentage of their personal assets in private placements. Such […]

Author: Dan Brecher

October 17, 2014

The Key to a Successful Start-Up? Practice Makes Perfect

While it may seem that some entrepreneurs are destined to succeed, a new study confirms that hard work and experience play a key role. In fact, researchers found that the most successful entrepreneurs had done it all before. As detailed by Inc.com, the study used business records to examine the successes and failures of 2.8 […]

Author: Dan Brecher

October 16, 2014

Is Your Business Keeping You Up at Night? The Underappreciated Importance of Sleep

Some of the world’s greatest minds, from Leonardo DaVinci to Winston Churchill, took daily naps. Today, the luxury is almost exclusively reserved for those under the age of five. In fact, most of us are lucky if we get eight hours of sleep at night. For business owners, sleep is particularly important, yet often elusive. […]

Author: Dan Brecher

October 10, 2014

What Can Start-ups Learn from Google? Five Key Tips

Google Inc. recently celebrated an important anniversary. It has been ten years since the search giant’s initial public offering (IPO). Since then, Google’s stock price has increased an astounding 1,293 percent, and its services and products have grown to include maps, mobile software, operating systems, and a variety of other online tools. The car that […]

Author: Dan Brecher

September 30, 2014

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