Corporate Governance and Regulatory Compliance


Faruqi & Faruqi, LLP, monitors and reviews federal securities laws, state laws governing business corporations and SEC rules and regulations, including any changes thereto, to ensure that corporations are in compliance with all applicable rules and regulations. Due to the ever-changing legal landscape governing corporate entities, it is imperative that companies are informed about potential compliance issues as soon as possible so that management can take action to resolve the issues and avoid incurring potential fines and/or other relief from various governmental agencies.

As such, it is often necessary for shareholders to inform companies about compliance issues to ensure that management continues to fulfill their fiduciary duties to shareholders and the company.
By monitoring the legal landscape governing corporate entities, the firm is successful in representing shareholders in making pre-suit demands as well as bringing lawsuits against companies and/or directors and officers for failing to comply with applicable laws. These initiatives on behalf of shareholders prevent corporations being subject to significant fines and liability under both federal and state laws.

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CBAK Energy Technology, Inc. (CBAT)

Securities Litigation Partner James Wilson Encourages Investors Who Suffered Losses Exceeding $50,000 In CBAK To Contact Him Directly To Discuss Their ...

Attorneys involved with this matter Robert W. Killorin, James M. Wilson, Jr.

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Qiwi plc (QIWI)

Securities Litigation Partner James Wilson Encourages Investors Who Suffered Losses Exceeding $50,000 In Qiwi To Contact Him Directly To Discuss Their ...

Attorneys involved with this matter Robert W. Killorin, James M. Wilson, Jr.

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Boral Limited (BOALY)

Securities Litigation Partner James Wilson Encourages Investors Who Suffered Losses Exceeding $50,000 In Boral Limited To Contact Him Directly To Discuss ...

Attorneys involved with this matter Robert W. Killorin, James M. Wilson, Jr.

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CD Projekt S.A. (OTGLF,OTGLY)

Securities Litigation Partner James Wilson Encourages Investors Who Suffered Losses Exceeding $50,000 In CD Projekt To Contact Him Directly To Discuss ...

Attorneys involved with this matter Robert W. Killorin, James M. Wilson, Jr.

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Varian Medical Systems, Inc. (VAR)

Notice is hereby given that Faruqi & Faruqi, LLP has filed a class action lawsuit in the United States District Court for the Northern District of California, ...

Attorneys involved with this matter James M. Wilson, Jr.

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Jernigan Capital, Inc. (JCAP)

Faruqi & Faruqi, LLP has filed a class action lawsuit in the United States District Court for the Southern District of New York, Case No. 1:20-cv-07160 ...

Attorneys involved with this matter James M. Wilson, Jr.

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Maxim Integrated Products, Inc. (MXIM)

Notice is hereby given that Faruqi & Faruqi, LLP has filed a class action lawsuit in the United States District Court for the Southern District of New ...

Attorneys involved with this matter James M. Wilson, Jr.

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Noble Energy, Inc. (NBL)

Notice is hereby given that Faruqi & Faruqi, LLP has filed a class action lawsuit in the United States District Court for the Southern District of New ...

Attorneys involved with this matter James M. Wilson, Jr.

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Faruqi & Faruqi Defeats Motion to Dismiss in Pet Food Mislabeling Case

On December 30, 2020, Faruqi & Faruqi, LLP successfully defeated a motion to dismiss in a class action brought against Big Heart Pet Brands, Inc., the ...

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Faruqi & Faruqi, LLP is proud to be re-certified as a Women's Business Enterprise (WBE)

Faruqi & Faruqi, LLP is proud to be re-certified as a Women's Business Enterprise (WBE) through the Women's Business Enterprise National Council (WBENC), ...

Attorneys involved with this matter Lubna M. Faruqi

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Faruqi & Faruqi, LLP, Appointed Sole Lead Counsel to Lead Allergan Securities Litigation

On December 7, 2020, United States District Court Chief Judge Colleen McMahon of the United States District Court for the Southern District of New York ...

Attorneys involved with this matter Robert W. Killorin, James M. Wilson, Jr.

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$120 Million Antitrust Settlement for Direct Purchasers of Birth Control Pills Loestrin 24 Fe and Minastrin 24 Fe Receives Final Approval

On September 1, 2020, Chief Judge William E. Smith of the United States District Court for the District of Rhode Island granted final approval to a $120 ...

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Biden Pick for SEC Chair Signals Tougher Regulation

Multiple news outlets are reporting that Biden will pick Gary Gensler to be the next chairman of the Securities Exchange Commission (SEC). A former chairman ...

Attorneys involved with this matter Daniel Weiss

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The Damaging Effects of California Proposition 22 On Workers’ Rights Begin to Unfold

On November 3, 2020, Californians passed a ballot initiative known as Proposition 22, or "the App-Based Drivers as Contractors and Labor Policies Initiative" ...

Attorneys involved with this matter Alex Hartzband

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DELAWARE SUPREME COURT REJECTS LIMITING PRINCIPLES RELATING TO SECTION 220 DEMANDS

In AmerisourceBergen Corp. v. Lebanon County Employees' Retirement Fund, 2020 WL 7266362 (Del. Dec. 10, 2020), the Delaware Supreme Court rejected two ...

Attorneys involved with this matter Christopher M. Lash

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As Employers Plan to Require COVID-19 Vaccinations, EEOC Offers Guidance to Protect Employees with Disabilities and Religious Objections

As the first Americans are administered the COVID-19 vaccine, many employers plan to require vaccination as a condition of continued employment. While ...

Attorneys involved with this matter Alex Hartzband

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Finding us

Our Offices


Our offices are nationwide. If you have any questions about a case or our firm, please contact us.

New York

685 Third Avenue 26th Floor
New York, New York 10017
(212) 983-9330
(877) 247-4292
(212) 983-9331

California

10866 Wilshire Boulevard Suite 1470
Los Angeles, California 90024
(424) 256-2884
(424) 256-2885

Delaware

3828 Kennett Pike Suite 201
Wilmington, Delaware 19807
(302) 482-3182
(302) 482-3612

Georgia

3975 Roswell Rd Suite A
Atlanta, Georgia 30342
(404) 847-0617
(404) 506-9534

Pennsylvania

1617 JFK Boulevard, Suite 1550
Philadelphia, Pennsylvania 19103
(215) 277-5770
(215) 277-5771

Faruqi & Faruqi office in New York, New York

Faruqi & Faruqi office in Los Angeles, California

Faruqi & Faruqi office in Wilmington, Delaware

Faruqi & Faruqi office in Atlanta, Georgia

Faruqi & Faruqi office in Philadelphia, Pennsylvania