Patrick Hunnius

Patrick Hunnius

DLA Piper

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SEC reminds whistleblowers: we feel the need…the need for speed

As we noted in our last client alert regarding the SEC’s whistleblower awards, two themes the SEC has emphasized in connection with its recent awards are...more

3/14/2016 - SEC Whistleblower Awards Whistleblowers

An SEC investigation: to disclose, or not disclose?

In a recent decision, the Ninth Circuit addressed for a second time the question of whether an issuer’s disclosure of a Securities and Exchange Commission investigation can provide a sufficient basis for a plaintiff to plead...more

2/9/2016 - Class Action Government Investigations Loss Causation Regulation S-K SEC

SEC whistleblowers are often outside the company… and the SEC wants more of them – key points for business

The SEC has announced its latest whistleblower award: more than $700,000. There are three points of note arising from the SEC's January 15 announcement and this award....more

1/22/2016 - Retaliation SEC Whistleblower Awards Whistleblower Protection Policies

SEC to whistleblowers: speak now, or get a smaller piece – 3 takeaways

The SEC has announced its twenty-second whistleblower award: at least $325,000 to a former employee of an “investment firm” who provided the SEC with information that allowed it to bring a successful enforcement...more

11/11/2015 - Confidential Information Enforcement Actions Internal Reporting SEC Whistleblower Awards

SEC’s enforcement priorities for 2015 – conflicts

In “Conflicts, Conflicts Everywhere,” her speech at the recent IA Watch 17th Annual Compliance Conference, Julie M. Riewe, Co-Chief of the Securities and Exchange Commission’s Enforcement Division’s Asset Management Unit),...more

3/4/2015 - Conflicts of Interest OCIE SEC Strategic Enforcement Plan

Second Circuit clarifies law of insider trading in reversing convictions of remote tippees

In a significant decision, the Second Circuit has reversed criminal convictions for insider trading and conspiracy to commit insider trading in an appeal following a six-week jury trial in a closely-watched prosecution...more

12/12/2014 - Hedge Funds Illegal Tipping Insider Trading Material Nonpublic Information Portfolio Managers Rule 10(b) Rule 10b-5 SEC Securities Securities Fraud US v Newman White Collar Crimes

With record-breaking Dodd-Frank award, SEC invites the world to blow the whistle

The SEC has announced its largest-ever Dodd-Frank whistleblower award: between $30 and $35 million. While the amount of the award is eye-popping on its own, the Commission’s order awarding the whistleblower’s claim – the...more

10/3/2014 - Dodd-Frank Extraterritoriality Rules Foreign Nationals SEC Whistleblower Awards Whistleblowers

The SEC – now killing many birds with one "big data" stone: 5 takeaways

The SEC this week announced a mass action against 34 defendants for alleged violations of federal securities laws regarding reporting of stock holdings. As the Wall Street Journal reported, the action “is part of the ‘broken...more

9/15/2014 - Big Data Compliance Enforcement Enforcement Actions Reporting Requirements SEC

The FCC’s declaratory ruling re TCPA vicarious liability – one year later, trends and takeaways

A year ago, we reported on the FCC’s Declaratory Ruling that addressed the issue of whether parties who did not actually place telemarketing robocalls could be either directly or vicariously liable for calls made on their...more

9/4/2014 - FCC Robocalling TCPA Telemarketing Vicarious Liability

Expect greater SEC scrutiny of activist hedge funds that share information or collaborate in advance of their trades

A recent Wall Street Journal article – “Activist Investors Often Leak Their Plans to a Favored Few” – focused attention on “activist” investors and stock analysts who (as part of their bullish or bearish campaigns for or...more

4/17/2014 - Hedge Funds Insider Trading SEC Shareholder Activism Shareholder Litigation Shareholders

SEC continues to focus on “fair value” practices of investment advisers

The media has been shining a strong spotlight on SEC insider trading cases, but in recent years, with much less fanfare, the SEC has brought nearly three times as many cases against investment advisers. ...more

6/21/2013 - Asset Valuations Board of Directors Compliance Insider Trading Investment Adviser SEC

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