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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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

Enforceability of Restrictive Covenants in New York and New Jersey

Restrictive covenant agreements can be troublesome for both sides and the laws regarding their enforcement can vary from state to state… Restrictive covenant agreements can be troublesome for both sides. The laws regarding their enforcement can also vary from state to state. Accordingly, it is imperative that your contracts include reasonable restrictions and clearly define […]

Author: Dan Brecher

October 28, 2020

A Simple Guide to SAFEs for Investors and Startups

A simple agreement for future equity (SAFE) isn’t always so simple... A simple agreement for future equity (SAFE) isn’t always so simple. Before startups and investors consider this increasingly popular security, it is important to understand how SAFEs work. To start, a SAFE is an agreement between an investor and a business in which the […]

Author: Dan Brecher

October 27, 2020

Investment

Is It Time to Make Your Best Employee a Partner? Five Key Considerations

Taking on a key employee as a partner can also be a good way for business owners to plan for retirement… There is a lot to be said for teamwork in growing a business. How better to increase the motivation of your employees than to offer an opportunity to own a piece of the business? Taking […]

Author: Dan Brecher

October 26, 2020

COVID-19

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