Patrick Hunnius

Patrick Hunnius

DLA Piper

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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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