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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Beware of Sending Unsolicited Faxes!

New Jersey businesses should be aware that sending unsolicited faxes could open you up to significant liability. We have recently learned that several law firms in this area are filing class action lawsuits and preying on local companies, and even non-profit organizations, alleging violations of New Jersey law. On the federal and state level, several […]

Author: Dan Brecher

March 6, 2015

Merger & Acquisition Litigation Trends

A new study on merger and acquisition (M&A) litigation in 2014 reveals several significant trends. Most notably, the majority of all lawsuits were filed in one jurisdiction, suggesting that companies are increasingly incorporating forum-selection clauses into their corporate bylaws as well as into their transaction documents, when it comes to a merger and acquisition. As […]

Author: Dan Brecher

March 4, 2015

List of FINRA Exam Priorites for 2015

The Financial Industry Regulatory Authority (“FINRA”) recently published its 2015 Regulatory and Examinations Priorities Letter. The priorities for this year are divided into the following three categories: key sales practices, financial and operational matters, and market integrity. Below are several key takeaways regardin FINRA Exam Priorities: In addition to detailing its 2015 surveillance and examination […]

Author: Dan Brecher

February 27, 2015

What You Can Do If Your Bank Account Been Hacked.

If you use your debit card at a store or gas station where you don’t know the workers, there is added danger that your bank information could be swiped and the stolen information used by a thief to access your bank account using ATM machines to make unauthorized cash withdrawals from your bank account. Banks investigate […]

Author: Dan Brecher

February 25, 2015

Hedging Policy Disclosure Rule Proposed By SEC

The Securities and Exchange Commission (SEC) recently proposed new rules that require enhanced corporate disclosure of hedging policies for officers, directors, and employees. Mandated under Section 955 of the Dodd-Frank Act, the proposed rules would specifically require disclosure about whether directors, officers and other employees are permitted to hedging or offset any decrease in the […]

Author: Dan Brecher

February 19, 2015

Human Financial Traders May Be Going The Way Of The Dinosaur

In the age of technology, financial traders are quickly going the way of the dinosaur. Most recently, CME Group Inc., which owns the Chicago Mercantile Exchange and New York Mercantile Exchange, announced that it plans to close most of its trading pits by July 2015. The floor-based S&P 500 futures market, as well as some […]

Author: Dan Brecher

February 16, 2015

EEOC Enforcement Report Reveals Significant Drop in Charges

While New Jersey employers should probably keep the champagne on ice, the Equal Employment Opportunity Commission’s (EEOC) latest enforcement report is good news. The agency reports that both employment claims and penalties dropped significantly in fiscal year 2014, which ran from Oct. 1, 2013, to Sept. 30, 2014. In total, the EEOC filed 133 lawsuits […]

Author: Dan Brecher

February 13, 2015

Shareholders love corporate blowouts, and here's why

While break-ups are bad news in the romance department, shareholders generally see them as a win. Corporate spinoffs not only generate an uptick in stock price, but can also make both companies more profitable. There are approximately 50 spinoffs each year in the United States. Expedia made headlines several years ago with its spinoff of […]

Author: Dan Brecher

February 12, 2015

Disclosure, Disclosure, Disclosure

In the annals of securities law, the maxim repeated more than any Geico commercial is: disclosure, disclosure, disclosure. Just as location is a dominant force in real estate investing, full disclosure of material information that a reasonable investor would be entitled to know before making an investment decision is the bedrock of our federal securities […]

Author: Dan Brecher

February 11, 2015

Cuba Sanctions & How They'll Impact U.S. Businesses?

In the wake of President Barak Obama’s announced policy shift towards Cuba, several government agencies have begun to amend their regulations to reflect the diplomatic and economic changes. In regards to the policy shift toward Cuba, below are several significant amendments to the Cuban Assets Control Regulations and the Export Administration Regulations, which may be […]

Author: Dan Brecher

February 3, 2015

SEC Announces 2015 Exam Priorities

Don’t say you haven’t been warned! In January, the Securities and Exchange Commission (SEC) announced its 2015 exam priorities for the coming year. In regards to the 2015 exam priorities, the report should be required reading for all investment professionals under the agency’s purview, most notably investment advisers, broker-dealers, and transfer agents. “We share our […]

Author: Dan Brecher

January 30, 2015

H-1B Filing Season Is On It's Way! Is Your Business Ready?

New York and New Jersey businesses frequently rely on H-1B visa program to hire foreign workers in specialty occupations, such as scientists, engineers, or computer programmers. Employees can remain in the country in this status for a total of six years. In recent years, H-1B visas have sold out rapidly, leaving many employers scrambling to […]

Author: Dan Brecher

January 21, 2015

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