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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Is Your New York Nonprofit Ready for the State’s New Disclosure Reporting Requirements?

Certain New York nonprofits must file an annual financial report, a funding disclosure report, and/or a financial disclosure report... In the height of the COVID-19 pandemic, the State of New York quietly amended Sections 172-B, 172-E, and 172-F of the state’s Executive Law to establish heightened reporting requirements for charitable tax-exempt organizations. Effective January 1, […]

Author: Dan Brecher

June 16, 2021

New York Business Lawyer

Top Considerations for Private Firms Considering a SPAC

Special purpose acquisition companies (SPACs) are one of the hottest ways to go public right now... Special purpose acquisition companies are one of the hottest ways to go public right now. To date, 300 SPACs have conducted IPOs raising nearly $100 billion in 2021, already surpassing last year’s totals. Scarinci & Hollenbeck was ranked in […]

Author: Dan Brecher

April 15, 2021

Securities attorney NYC

What State Law Governs Disputes Over D&O Claims?

The outcome of coverage disputes involving directors and officers (D&O) insurance can be greatly influenced by the state law applied in the case. The outcome of coverage disputes involving directors and officers (D&O) insurance can be greatly influenced by the state law applied in the case. Therefore, it is important to understand any choice of law provisions […]

Author: Dan Brecher

April 12, 2021

Investors Should Be Wary of “Opportunities” Found Via Social Media

Investors should be wary when using information from social media to inform their investment decisions. Amid the COVID-19 pandemic, social media is an increasingly common means of communication. While sites like Twitter and Facebook can help us stay connected to friends and keep up with current events, social media platforms can also be used to […]

Author: Dan Brecher

April 7, 2021

Social Media

Lying to SEC Investigators Can Result in Harsh Consequences, Even Jail Time

A hedge fund operator accused of securities fraud was recently sentenced to three months in prison for obstruction of justice… A hedge fund operator accused of securities fraud was recently sentenced to three months in prison for obstruction of justice. The charges stemmed from lying to investigators during a deposition conducted by the Securities and […]

Author: Dan Brecher

April 5, 2021

Securities attorney New Jersey

How to Avoid a Lawsuit for Defamation

Defamation claims in the U.S. courts are growing exponentially… Given the broad and instant reach of television and the Internet, along with the heightened societal tensions both political, economic and pandemic related, defamation claims in the U.S. courts are growing exponentially. The buzz surrounding defamation claims against Rudy Giuliani, Fox News, and others related to […]

Author: Dan Brecher

March 3, 2021

Defamation

Top Takeaways from SEC’s Proposed Rule 144 Amendments

The Securities and Exchange Commission (SEC) recently proposed amendments to Rule 144 under the Securities Act of 1933… The Securities and Exchange Commission (SEC) recently proposed amendments to Rule 144 under the Securities Act of 1933 and its related Form 144 filing requirements. The proposal seeks to revise the holding period determination for securities acquired upon […]

Author: Dan Brecher

January 14, 2021

Securities

Dealing With a Difficult Customer During the Pandemic

The COVID-19 pandemic has made it even more challenging to deal with difficult customers... The COVID-19 pandemic has made it even more challenging to deal with difficult customers. There are significantly more rules for both customers and businesses to follow, and many are feeling frustrated or burned out. There are several ways to deal with […]

Author: Dan Brecher

January 8, 2021

COVID-19

Five New Year’s Resolutions Your Business Should Adopt for 2021

If you were happy to say goodbye to 2020, you are in good company... If you were happy to say goodbye to 2020, you are in good company. Given the personal and professional stress caused by COVID-19, we are all ready to turn the page and prepare for the brighter days ahead. For New Jersey […]

Author: Dan Brecher

January 5, 2021

The Benefits and Pitfalls of Using Side Letters for Private Placements

While side letters can be helpful in securing key investments, it is imperative to fully understand their legal implications… Side letters are frequently used to enter into legal agreements between private funds and investors. They can be used to alter the terms of a limited partnership agreement or even override certain provisions. While side letters […]

Author: Dan Brecher

December 3, 2020

Investment

When Do Contract Negotiations Cross the Line?

Nearly all business negotiations involve power differentials, which the parties often seek to use to their advantage to broker a better deal... Nearly all business negotiations involve power differentials, which the parties often seek to use to their advantage to broker a better deal. However, there are situations where exerting power over the other party […]

Author: Dan Brecher

November 9, 2020

Contracts

SEC Proposes Conditional Exemption for Finders Helping Small Businesses Raise Funds

The Securities and Exchange Commission (SEC) is proposing a new conditional exemption for “finders”… The Securities and Exchange Commission (SEC) is proposing a new conditional exemption for “finders” who help small businesses raise capital in private markets. The exemption from the broker registration requirements of Section 15(a) of the Exchange Act would allow natural persons […]

Author: Dan Brecher

November 2, 2020

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