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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Berkeley Lights Inc.

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

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

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The Boston Beer Company, Inc.

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

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

Take action

Cassava Sciences, Inc.

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

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

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ConocoPhillips

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

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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Faruqi & Faruqi Defeats Motion to Dismiss Against the Makers of the Guerrero Brand Tortillas

In an opinion handed down on August 18, 2021, Judge Fitzgerald of the Central District of California denied Defendant Gruma Corporation's motion to dismiss ...

Attorneys involved with this matter Ben Heikali, Timothy J. Peter

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Faruqi & Faruqi Scores Big Victory: SDNY Judge Certifies Securities Class Action Against Allergan, Appoints Faruqi & Faruqi as Lead Counsel for the Class Action

On September 8, 2021, United States District Court Judge Colleen McMahon of the Southern District of New York certified a class action against Allergan ...

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Faruqi & Faruqi's Alex Riche joins 2022 Winter Olympics!

Have you ever had something get in the way of what you are passionate about? At Faruqi & Faruqi we believe that one can follow their dreams while also ...

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Faruqi & Faruqi Scores Another Win In The Anheuser-Busch Lime-A-Rita Matters

In a thorough 50-page opinion handed down on August 9, Judge Karas of the Southern District of New York denied in part Defendant Anheuser-Busch's motion ...

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SEC Orders KMS Financial Services to Pay $200,000 Penalty Over Failure to Adopt Written Policies and Procedures to Safeguard Customer Information and Records Against Cyberattacks

On August 30, 2021, the SEC ordered KMS Financial Services, Inc. ("KMS"), a dually registered broker-dealer and investment advisory firm with the SEC, ...

Attorneys involved with this matter Thomas T. Papain

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(Cleaned Up): A Proposal to Streamline Legal Citation Gains Acceptance

Legal language changes slowly. Even ignoring lawyers' penchant for Latin, plaintiffs still "come now" before the court to "witnesseth" their testimony. ...

Attorneys involved with this matter Adam Steinfeld

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Third Circuit Decision Hands Plaintiffs a Victory Regarding the Relation-back Doctrine

In Southeastern Pennsylvania Transportation Authority v. Orrstown Financial Services, Inc., 2021 WL 3923389 (3d Cir. 2021), the Third Circuit Court of ...

Attorneys involved with this matter Robert W. Killorin

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SEC Commissioner Raises Concerns Over “Information Bundling”

In a public statement issued on September 3, 2021, SEC Commissioner Caroline Crenshaw raised concerns about the SEC's longstanding practice of considering ...

Attorneys involved with this matter Nina Varindani

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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