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

Library

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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What Is a Decentralized Autonomous Organization?

What if you could run a business without people? That’s one of the central ideas behind decentralized autonomous organizations (DAOs)… What if you could run a business without people? That’s one of the central ideas behind decentralized autonomous organizations (DAOs). DAOs are internet-based entities that are governed by a community organized around a specific set […]

Author: Dan Brecher

April 21, 2022

Lack of Signatures Can Doom Contract Enforceability

If your contract isn’t fully executed by all parties, you should be prepared to provide other evidence that any non-signatories still intended to be bound... If your contract isn’t fully executed by all parties, you should be prepared to provide other evidence that any non-signatories still intended to be bound. In a recent decision, a […]

Author: Dan Brecher

March 14, 2022

Contracts

Should SPACs Be Considered Investment Companies?

The rising popularity of special-purpose acquisition companies (SPACs) garnered the attention of both investors and regulators last year... The rising popularity of special-purpose acquisition companies (SPACs) garnered the attention of both investors and regulators last year. As we begin the New Year, an emerging question is how SPACs should be regulated, with some making the […]

Author: Dan Brecher

February 1, 2022

Will the SEC Adopt New SPAC Regulations in 2022?

One of the biggest questions facing special acquisition companies (SPACs) is whether the SEC will adopt new rules... As we enter 2022, one of the biggest questions facing special acquisition companies (SPACs) is whether the Securities and Exchange Commission (SEC) will adopt new rules. Like most governmental regulatory agencies, the answer is that its procedural […]

Author: Dan Brecher

January 28, 2022

SPACS

Year in Review: Securities Law Trends in 2021

In the past year, we discussed a number of ways that startups and other small businesses can raise the capital needed to help them grow while maintaining compliance with federal securities regulations... In 2021, we discussed a number of ways that startups and other small businesses can raise the capital needed to help them grow while maintaining […]

Author: Scarinci Hollenbeck, LLC

January 19, 2022

Does SEC’s Stunning Trial Loss Make It Harder for Agency to Bring insider Trading Cases?

The SEC experienced a rare trial loss in an insider-trading case, with the court finding that the agency’s statistical evidence was too speculative... The Securities and Exchange Commission (SEC) experienced a rare trial loss in an insider-trading case, with the court finding that the agency’s statistical evidence was too speculative. At this point, it is […]

Author: Dan Brecher

December 28, 2021

Securities attorney NYC

Successor Liability – Could You Be Held Liable After Buying a Business?

Under New York law, the general rule is that a corporation that acquires the assets of another is not liable for the claims of its predecessor... Under New York law, the general rule is that a corporation that acquires the assets of another is not liable for the claims of its predecessor. However, there are […]

Author: Dan Brecher

October 25, 2021

New York

Failure to Document “Sweat Equity” Agreements Can Lead to Costly Suits

For startup companies and other cash-strapped businesses, so-called “sweat equity” can be extremely beneficial... For startup companies and other cash-strapped businesses, so-called “sweat equity” can be extremely beneficial. While many startups are unable to reward founders and employees for their hard work with monetary compensation, they can award an equity interest in the company. What […]

Author: Dan Brecher

October 5, 2021

Investment

What to Know About the SEC’s “Shadow Trading” Enforcement Action

The Securities and Exchange Commission (SEC) recently brought an enforcement action against a biopharmaceutical executive for a form of insider trading known as “shadow trading.” The Securities and Exchange Commission (SEC) recently brought an enforcement action against a biopharmaceutical executive for a form of insider trading known as “shadow trading.” The term refers to when […]

Author: Dan Brecher

September 30, 2021

Can Businesses Use a Letter of Intent as a Binding Agreement to Work Together?

A letter of intent or memorandum of understanding can be used to formalize an agreement to move forward toward a mutual goal... When businesses agree to work together, there are often a lot of details to work out. A letter of intent or memorandum of understanding can be used to formalize an agreement to move […]

Author: Dan Brecher

August 31, 2021

Mergers & Acquisitions

SEC Approves NASDAQ Board Diversity Rule – What Listed Companies Must Do Next

The SEC recently approved Nasdaq Inc.’s Board Diversity Rule, which will require all companies listed on Nasdaq’s U.S. exchange to publicly disclose consistent, transparent diversity statistics regarding their board of directors... The Securities and Exchange Commission (SEC) recently approved Nasdaq Inc.’s Board Diversity Rule, which will require all companies listed on Nasdaq’s U.S. exchange to publicly disclose consistent, transparent […]

Author: Scarinci Hollenbeck, LLC

August 13, 2021

Will the SEC Issue New Disclosure Rules for de-SPAC Transactions?

The SEC is keeping a close eye on special purpose acquisition companies (SPACs)... The Securities and Exchange Commission (SEC) is keeping a close eye on special purpose acquisition companies (SPACs). When it looks to determine whether additional regulations are needed, one area of concern will likely be disclosures made in connection with de-SPAC transactions. Hot […]

Author: Dan Brecher

July 27, 2021

SPACS

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