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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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Schedule 13D and Form 13F Filings: What’s the Big Difference for Investors? post image

Schedule 13D and Form 13F Filings: What’s the Big Difference for Investors?

The raison d’être for our federal securities laws is disclosure. Congress and the SEC have long held the view that a fair and efficient market can only occur when there is full and timely disclosure of material facts a reasonable investor would expect to have available before making a decision to buy or sell a […]

Author: Dan Brecher

Link to post with title - "Schedule 13D and Form 13F Filings: What’s the Big Difference for Investors?"
Will Martoma Conviction Bolster Insider Trading Crackdown? post image

Will Martoma Conviction Bolster Insider Trading Crackdown?

While the Securities and Exchange Commission (SEC) may have a spotty record when it comes to insider trading cases, U.S. Attorney Preet Bharara has an impressive winning streak. He is 79-0 in securing insider-trading convictions over the past four years. Former hedge fund trader Mathew Martoma is the latest guilty verdict for Bharara, whose other […]

Author: Dan Brecher

Link to post with title - "Will Martoma Conviction Bolster Insider Trading Crackdown?"
Check Your Emails for Politeness post image

Check Your Emails for Politeness

Have you ever received an email not meant for you? Worse yet, have you sent one to the wrong person yourself? What about sending a message with an embarrassing typo or a word missing that makes you wish you had not sent your message? It is usually the speed at which  we chose (or need) […]

Author: Dan Brecher

Link to post with title - "Check Your Emails for Politeness"
New York Corporation Dissolving? Here's What You Need To Know post image

New York Corporation Dissolving? Here's What You Need To Know

As they say, all good things must come to an end. Whether you plan to retire, start a new venture, or simply sell your business, it is imperative to give your New York corporation a proper farewell. Through the process of voluntary dissolution, the corporation ceases to exist, as does the obligation to pay future […]

Author: Dan Brecher

Link to post with title - "New York Corporation Dissolving? Here's What You Need To Know"
Is It Time to Buy into 3D Printing? post image

Is It Time to Buy into 3D Printing?

3D printers now make it possible to create a new object by simply downloading a design file and hitting “print.” As the cost of the new technology continues to decline, it is increasingly available to the masses. Not surprisingly, as the once “niche” industry is poised to go mainstream, 3D printing business opportunities are skyrocketing. In 2014, consumer […]

Author: Dan Brecher

Link to post with title - "Is It Time to Buy into 3D Printing?"
Kanye West Lawsuit Shuts Down Digital Currency post image

Kanye West Lawsuit Shuts Down Digital Currency

Kanye West is no stranger to controversy. Most recently, West successfully shut down the Coinye project, a digital currency similar to Bitcoin that featured the famous rapper’s image. In January, West sent a cease and desist letter to the start-up behind Coinye, alleging trademark infringement and rights of publicity violations. However, it resulted in only […]

Author: Dan Brecher

Link to post with title - "Kanye West Lawsuit Shuts Down Digital Currency"
Corporate Disclosures: SEC Adopts Position That Less Is More post image

Corporate Disclosures: SEC Adopts Position That Less Is More

Is your company drowning under the burden of ever-growing corporate disclosure requirements? If the answer is yes, we have good news. In a recent report to Congress, the Securities and Exchange Commission (SEC) outlined a new initiative intended to streamline disclosure requirements for U.S. public companies under Regulation S-K. The report, which was mandated by […]

Author: Dan Brecher

Link to post with title - "Corporate Disclosures: SEC Adopts Position That Less Is More"
Financial Industry Regulatory Authority: What Are They Looking For In 2014 post image

Financial Industry Regulatory Authority: What Are They Looking For In 2014

What Will Financial Industry Regulatory Authority 2014 Examiners Be Looking for in 2014? The Financial Industry Regulatory Authority (FINRA) recently released a letter outlining its regulatory and examination priorities for 2014. It should be considered “must read” material for all broker dealers. Susan Axelrod, Executive Vice President, Regulatory Operations, said, “The purpose of this letter is […]

Author: Dan Brecher

Link to post with title - "Financial Industry Regulatory Authority: What Are They Looking For In 2014"
Taxi Costs: What To Expect When Traveling for Business or Pleasure post image

Taxi Costs: What To Expect When Traveling for Business or Pleasure

Taxi fares, particularly for traveling to and from the airport, are often governed by local laws. For instance, the New York City Taxi and Limousine Commission establishes set cab fares from NYC to Newark International Airport (regular metered rate of fare, plus a $17.50 surcharge and all tolls) and Manhattan to John F. Kennedy International […]

Author: Dan Brecher

Link to post with title - "Taxi Costs: What To Expect When Traveling for Business or Pleasure"
Is It Time to Sell Your New York or New Jersey Business? post image

Is It Time to Sell Your New York or New Jersey Business?

For business sellers who have been waiting until the economy turns around, it may finally be time to pull the trigger. With profits up and the economy improving, both banks and buyers are coming back to the market. According to BizBuySell.com, 1,685 small businesses changed hands between July and September, compared to 1,189 during the […]

Author: Dan Brecher

Link to post with title - "Is It Time to Sell Your New York or New Jersey Business?"
Why Your Notary Requires Proof of Your Identity post image

Why Your Notary Requires Proof of Your Identity

The law forbids notarizing papers in the absence of the person appearing before the notary.  The law forbids notarizing papers in the absence of the person appearing before the notary.  Have you ever asked a notary to notarize your signature without your being there in the presence of the notary and the notary refused to do […]

Author: Dan Brecher

Link to post with title - "Why Your Notary Requires Proof of Your Identity"
Compliance Concerns Force Drug Company to Shift Business Model post image

Compliance Concerns Force Drug Company to Shift Business Model

Conflicts of interest are a chief compliance concern in many industries, from financial services to information technology. In the pharmaceutical field, one company is taking dramatic steps to reduce its potential liability by significantly changing its business model. GlaxoSmithKline recently announced that it plans to address their compliance concerns and halt the commonly used practice […]

Author: Dan Brecher

Link to post with title - "Compliance Concerns Force Drug Company to Shift Business Model"

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