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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YayYo, Inc. (YAYO)

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

Attorneys involved with this matter Richard W. Gonnello

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Velocity Financial, Inc. (VEL)

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

Attorneys involved with this matter Richard W. Gonnello

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Gol Linhas Aereas Inteligentes S.A. (GOL)

Faruqi & Faruqi, LLP Encourages Investors Who Suffered Losses Exceeding $100,000 Investing In Gol Linhas Aereas Inteligentes S.A. To Contact The Firm Faruqi ...

Attorneys involved with this matter Richard W. Gonnello

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Vaxart, Inc. (VXRT)

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

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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Faruqi & Faruqi Announces Class Certification Victory in Third Circuit

The Third Circuit, by unanimous decision, recently affirmed class certification for direct purchasers of the opioid addiction treatment Suboxone in an ...

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G-20 Is Advised Cross-Border Payment Systems Require Public And Private Collaboration

The Bank for International Settlements' Committee on Payments and Market Infrastructures recently published a report to the G-20 detailing building blocks ...

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Faruqi & Faruqi, LLP Announces Final Approval of a Settlement on Behalf of DPW Holdings, Inc. and its Shareholders

Faruqi & Faruqi, LLP, sole lead counsel, is pleased to announce that the Court granted final approval of a settlement in Ethan Young et al. v. Milton C. ...

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Faruqi & Faruqi, LLP Files a Class Action to Recover Unpaid Wages to NYPD Officers Working Paid Details

On June 3, 2020, Faruqi & Faruqi filed a Class and Collective Action in the United States District Court for the Southern District of New York against ...

Attorneys involved with this matter Innessa M. Huot

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SEC Announces New Team Focused on Risks Associated with COVID-19

On Tuesday, July 28, 2020, the SEC announced the formation of a new unit, the Event and Emerging Risks Examination Team, within the Office of Compliance ...

Attorneys involved with this matter Michael Van Gorder

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Faruqi & Faruqi Successfully Defends Class Certification of Direct Purchasers of Suboxone at Third Circuit

The Third Circuit, by unanimous decision, recently affirmed class certification for direct purchasers of the opioid addiction treatment Suboxone in an ...

Attorneys involved with this matter David Calvello

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Third Circuit Makes Clear that Risk Factors Listed for a Company in Proxy Material Must Have A Significant Degree of Specificity

On June 18, 2020, the United States Court of Appeals for the Third Circuit issued a ruling in Jaroslawicz v. M&T Bank Corp., 962 F.3d 701 (3d Cir. 2020) ...

Attorneys involved with this matter Maxwell Michael

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CFPB Governing Statute Allows for Parallel Enforcement by State Attorneys General

On July 27, 2020, the Third Circuit ruled that the governing statute for the Consumer Financial Protection Bureau ("CFPB") permits parallel enforcement ...

Attorneys involved with this matter Alex B. Heller

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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