Warshaw Burstein LLP | Brian Daughney | Articles+News
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Attorneys
Brian  C. Daughney

PRACTICES

Corporate and Securities
Corporate/Commercial
Securities

EDUCATION

  • Hofstra University, J.D.
  • Clark University, B.A.

ADMISSIONS

  • New York
Brian C. Daughney
Partner
CONTACT INFORMATION
Tel: (212) 984-7797
Fax: (212) 972-9150
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  • SEC Issues Guidance for Resolving Securities Disputes with Broker-Dealers
    06/27/2022

    The SEC’s Office of Investor Education and Advocacy (“OIEA”) recently published an investor bulletin to educate investors on the legal remedies available for resolving disputes with broker-dealers under the Financial Industry Regulatory Authority (“FINRA”).
     

  • WHAT’S IN A NAME? SEC Announces Rule Proposal to Address Fund Names
    06/23/2022

    On May 25, 2022, the U.S. Securities and Exchange Commission (“SEC”) released proposed amendments to Rule 35d-1 (the “Names Rule”), under the Investment Company Act of 1940. The SEC believes that the amendments would enhance transparency in the asset management market and ensure that a fund’s name does not misrepresent the fund’s investments and risks.

  • SEC Proposes Rule Changes for SPACs to Enhance Disclosure and Protect Investors
    03/31/2022

    by Jordan Kohn and Brian Daughney

    Big changes may be on the horizon for special purpose acquisition companies (“SPACs”). The Securities and Exchange Commission (SEC) voted on Wednesday, March 30, 2022, to propose new rules for SPACs which, if adopted, would require SPACs to provide increased investor disclosures focused primarily on their ownership and performance forecasts. The proposed rules and amendments are designed to enhance disclosure and investor protection in initial public offerings (IPOs) by SPACs and in business combination transactions involving shell companies, such as SPACs, and private operating companies.

  • Warshaw Burstein Expands Team, Adding New Partners in Corporate and Securities, Tax Groups
    02/22/2022

    Brian Daughney Joins as Partner in the Corporate and Securities Group, Michael Kaufman Joins as Partner, Chairs Tax Group