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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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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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Will the New Regulatory Agenda of the SEC Affect You? post image

Will the New Regulatory Agenda of the SEC Affect You?

The SEC recently announced its regulatory agenda, which reflects short-term and long-term actions to be taken by the agency... The Securities and Exchange Commission (SEC) recently announced its regulatory agenda, which reflects short-term and long-term actions to be taken by the agency. The SEC’s rulemaking agenda includes hot-button issues like SPACs and climate risk disclosures. […]

Author: Dan Brecher

Link to post with title - "Will the New Regulatory Agenda of the SEC Affect You?"
What Will Capital Raising Look Like for Small Businesses Post-Pandemic? post image

What Will Capital Raising Look Like for Small Businesses Post-Pandemic?

While capital formation has always been challenging for small businesses, the COVID-19 pandemic has made it even more difficult to secure funding... While capital formation has always been challenging for small businesses, the COVID-19 pandemic has made it even more difficult to secure funding. As the economy recovers, funding opportunities are expected to increase, although […]

Author: Dan Brecher

Link to post with title - "What Will Capital Raising Look Like for Small Businesses Post-Pandemic?"
Is Your New York Nonprofit Ready for the State’s New Disclosure Reporting Requirements? post image

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

Link to post with title - "Is Your New York Nonprofit Ready for the State’s New Disclosure Reporting Requirements?"
Top Considerations for Private Firms Considering a SPAC post image

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

Link to post with title - "Top Considerations for Private Firms Considering a SPAC"
What State Law Governs Disputes Over D&O Claims? post image

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

Link to post with title - "What State Law Governs Disputes Over D&O Claims?"
Investors Should Be Wary of “Opportunities” Found Via Social Media post image

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

Link to post with title - "Investors Should Be Wary of “Opportunities” Found Via Social Media"
Lying to SEC Investigators Can Result in Harsh Consequences, Even Jail Time post image

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

Link to post with title - "Lying to SEC Investigators Can Result in Harsh Consequences, Even Jail Time"
How to Avoid a Lawsuit for Defamation post image

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

Link to post with title - "How to Avoid a Lawsuit for Defamation"
Top Takeaways from SEC’s Proposed Rule 144 Amendments post image

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

Link to post with title - "Top Takeaways from SEC’s Proposed Rule 144 Amendments"
Dealing With a Difficult Customer During the Pandemic post image

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

Link to post with title - "Dealing With a Difficult Customer During the Pandemic"
The Benefits and Pitfalls of Using Side Letters for Private Placements post image

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

Link to post with title - "The Benefits and Pitfalls of Using Side Letters for Private Placements"

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