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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Tricida, Inc. (TCDA)

TRICIDA INVESTOR ALERT Securities Litigation Partner James Wilson Encourages Investors Who Suffered Losses Exceeding $50,000 In Tricida, Inc. To Contact ...

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

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Navient Corporation (NAVI)

NAVIENT INVESTOR ALERT Securities Litigation Partner James Wilson Encourages Investors Who Suffered Losses Exceeding $50,000 In Navient To Contact Him ...

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

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Eli Lilly and Company (LLY)

ELI LILLY INVESTOR ALERT Securities Litigation Partner James Wilson Encourages Investors Who Suffered Losses Exceeding $100,000 In Eli Lilly To Contact ...

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

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Loop Industries, Inc. (LOOP)

LOOP DEADLINE ALERT Securities Litigation Partner James Wilson Encourages Investors Who Suffered Losses Exceeding $100,000 In Loop To Contact Him Directly ...

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, LLP FILES COMPLAINT AGAINST NINTENDO OVER SWITCH’S JOY-CON DRIFT

On October 5th, 2020, Faruqi & Faruqi filed a consumer protection and false advertising class action against Nintendo of America Inc., regarding a defect ...

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Faruqi & Faruqi Class Counsel in Restasis MDL. Court Certifies Direct Purchaser Settlement Class and Grants Final Approval to $51.25 Million Settlement.

In an Opinion and Order entered on October 7, 2020, the United States District Court for the Eastern District of New York (Gershon, J.) certified a settlement ...

Attorneys involved with this matter Bradley J. Demuth

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Faruqi & Faruqi Defeats Motion To Dismiss In Investor Class Action Against Ideanomics

On September 25, 2020, Judge George B. Daniels of the Southern District of New York denied Defendant Ideanomics, Inc.'s ("Ideanomics") motion to dismiss ...

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Nikola Update: Trevor Milton Resigns

Nikola Corporation ("Nikola" or "the Company") founder Trevor Milton, a named defendant in a securities class action recently filed against Nikola and ...

Attorneys involved with this matter Katherine M. Lenahan

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Court Plucks Unjust Enrichment Claims from Turkey Price-Fixing Suit

On October 26, 2020, an Illinois federal judge tossed unjust enrichment claims and some state claims in the proposed class action brought by an indirect ...

Attorneys involved with this matter Kristyn Fields

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SEC Charges John McAfee With Securities Fraud

The Securities and Exchange Commission ("SEC") recently charged infamous celebrity businessman John McAfee with the fraudulent promotion of cryptocurrencies ...

Attorneys involved with this matter Dillon Hagius

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Andeavor LLC Fined $20 Million For Controls Violations Related To Stock Buyback Plan

On October 23, 2020, the Securities and Exchange Commission ("SEC") announced a $20 million settlement with Andeavor LLC for "controls violations relating ...

Attorneys involved with this matter Richard W. Gonnello

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SEC Rule Amendments Add Additional Hurdles for Shareholders

Recently, the SEC adopted amendments to its shareholder proposal rule, Rule 14a-8, in order to "facilitate engagement among shareholder-proponents, companies ...

Attorneys involved with this matter Michael Van Gorder

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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