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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Kiromic BioPharma, Inc.

Securities Litigation Partner James (Josh) Wilson Encourages Investors Who Suffered Losses Exceeding $100,000 In Kiromic To Contact Him Directly To Discuss ...

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

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Hyzon Motors, Inc.

Securities Litigation Partner James (Josh) Wilson Encourages Investors Who Suffered Losses Exceeding $50,000 In Hyzon To Contact Him Directly To Discuss ...

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

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Fulgent Genetics, Inc.

Securities Litigation Partner James (Josh) Wilson Encourages Investors Who Suffered Losses Exceeding $50,000 In Fulgent To Contact Him Directly To Discuss ...

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

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Coinbase Global, Inc

Securities Litigation Partner James (Josh) Wilson Encourages Investors Who Suffered Losses Exceeding $100,000 In Coinbase To Contact Him Directly To Discuss ...

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

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Halman Aldubi Provident and Pension Funds Ltd. v. Teva Pharmaceutical Industries Limited et al, No. 20-cv-04660

In the Teva Pharmaceutical Industries securities case, Faruqi & Faruqi, LLP was appointed sole lead counsel. The lawsuit focuses on whether the Company ...

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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Woman Awarded $431,000 for Occupy Wall Street NYPD Actions

After almost a decade of litigation and two jury trials, Faruqi & Faruqi's client Mary Tardif, received vindication with a jury coming to a verdict of ...

Attorneys involved with this matter Reza Rezvani

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Faruqi & Faruqi, LLP Proudly Represents Robert Jackson in His Lawsuit against the ACLU

Faruqi & Faruqi, LLP is honored to represent Robert Jackson in his lawsuit against the ACLU. Mr. Jackson alleges that the ACLU fired him in retaliation ...

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Faruqi & Faruqi, LLP Announces Alex J. Hartzband Promoted to Partner

Faruqi & Faruqi, LLP is thrilled to announce that Alex J. Hartzband is promoted to Partner. Alex focuses his practice on all aspects of employment law, ...

Attorneys involved with this matter Alex Hartzband

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Faruqi & Faruqi, LLP Announces Kristyn Fields Promoted to Partner

Faruqi & Faruqi, LLP, is thrilled to announce that Kristyn Fields is promoted to Partner. Kristyn focuses her practice on anti-trust laws including representing ...

Attorneys involved with this matter Kristyn Fields

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Ernst & Young To Pay $100 Million Penalty To Settle Cheating Scandal Charges—The Largest Ever Imposed By The SEC Against An Audit Firm

The U.S. Securities and Exchange Commission ("SEC") announced on June 28, 2022 that it charged accounting firm Ernst & Young LLP ("E&Y") for cheating on ...

Attorneys involved with this matter Katherine M. Lenahan

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COVID HAZARD PAY

Under 29 C.F.R. § 778.201, lump sum premiums, which are paid without regard to the number of hours worked, and premiums delineated in the Fair Labor Standards ...

Attorneys involved with this matter Annabel Stanley

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Plaintiffs Appeal Summary Judgment in Long-Running Case Against Video Game Giant

In the case against Valve Corporation ("Valve"), the company behind the popular "Counter-Strike" video game, Plaintiffs are seeking to appeal the district ...

Attorneys involved with this matter Ruhandy Glezakos

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Hawaii Becomes the First State to Increase the Minimum Wage to $18 Per Hour

On June 22, 2022, Hawaii's Governor, David Ige, signed a bill into law that will gradually increase the state's minimum wage from the current rate of $10.10 ...

Attorneys involved with this matter Camilo Burr

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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

1901 Avenue of the Stars Suite 1060
Los Angeles, California 90067
(424) 256-2884
(424) 256-2885

Georgia

3565 Piedmont Road NE Building Four, Suite 380
Atlanta, Georgia 30305
(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 Atlanta, Georgia

Faruqi & Faruqi office in Philadelphia, Pennsylvania