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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CytomX Therapeutics, Inc. (CTMX)

Faruqi & Faruqi, LLP Encourages Investors Who Suffered Losses Exceeding $100,000 Investing In CytomX Therapeutics, Inc. To Contact The Firm Faruqi & Faruqi, ...

Attorneys involved with this matter Richard W. Gonnello

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Sorrento Therapeutics, Inc. (SRNE)

Faruqi & Faruqi, LLP Encourages Investors Who Suffered Losses Exceeding $50,000 Investing In Sorrento Therapeutics, Inc. To Contact The Firm Faruqi & Faruqi, ...

Attorneys involved with this matter Richard W. Gonnello

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Ryder System, Inc. (R)

Faruqi & Faruqi, LLP Encourages Investors Who Suffered Losses Exceeding $50,000 In Ryder System, Inc. To Contact The Firm Faruqi & Faruqi, LLP, a leading ...

Attorneys involved with this matter Richard W. Gonnello

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Elanco Animal Health Incorporated (ELAN)

Faruqi & Faruqi, LLP Encourages Investors Who Suffered Losses Exceeding $100,000 In Elanco Animal Health Incorporated To Contact The Firm 
Faruqi ...

Attorneys involved with this matter Richard W. Gonnello

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Faruqi & Faruqi, LLP Announces Filing of a Class Action Lawsuit Against Mobile Mini, Inc. (MINI)

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-03359-MKV ...

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

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FGL Holdings (FG)

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-03144-JSR ...

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

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Neon Therapeutics, Inc. (NTGN)

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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Progenics Pharmaceuticals, Inc. (PGNX)

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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Deadline to submit personal injury opioid claim remains in effect despite COVID-19 epidemic

Those who have been affected by the opioid epidemic can submit claims for potential compensation. However, the deadline to submit the claim is currently ...

Attorneys involved with this matter Reza Rezvani, Cassandra Rohme

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Recent Court Order Has Wide-Reaching Impact on the Future of Child Victims Act (CVA) litigation

On May 18, 2020 the Hon. Steven M. Jaeger, A.J.S.C., filed an Order in the case ARK3 Doe v. Diocese of Rockville Centre, et. al., (Nassau County Supreme ...

Attorneys involved with this matter Cassandra Rohme

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Faruqi & Faruqi, LLP Announces Filing of a Class Action Lawsuit Against Willis Towers Watson Public Limited Company (WLTW)

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-03865 ...

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

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Court Approves a $5.4 Million Settlement for TBTA Sergeants and Lieutenants’ FLSA Overtime Claims

On May 6, 2020 the Honorable Vernon S. Broderick of the United States District Court for the Southern District of New York approved a $5.4 million settlement ...

Attorneys involved with this matter Alex Hartzband, Patrick J. Collopy, Innessa M. Huot

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SEC Issues Investor Alert Concerning “Approved Offerings”

The Securities and Exchange Commission's ("SEC") Office of Investor Education and Advocacy recently issued an alert warning investors about the recent ...

Attorneys involved with this matter Richard W. Gonnello

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The SEC Announces Covid-19 Steering Committee

The Securities and Exchange Commission ("SEC") has been inundated with over 4,000 tips and complaints ever since the Covid-19 Pandemic began in mid-March, ...

Attorneys involved with this matter Dillon Hagius

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Direct Purchasers Sue Janssen and BTG International Over Sham Zytiga Patent

A proposed class action was recently filed in New Jersey federal court on behalf of direct purchasers against Johnson & Johnson unit Janssen Biotech and ...

Attorneys involved with this matter Kristyn Fields

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FinCEN Director Warns of Financial Crime Involving Virtual Currency During the COVID-19 Pandemic

The Financial Crimes Enforcement Network ("FinCEN"), a bureau of the U.S. Department of the Treasury, is "keeping a close eye on financial crime involving ...

Attorneys involved with this matter Katherine M. Lenahan

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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