22. Other Regulatory /Legal

22.1 Are there other specific regulatory agencies that govern this company (such as the NRC in the nuclear industry or health care regulations in hospitals and nursing homes)?
22.2 List any incidents or violations.
22.3 List any legal actions taken or pending against the company.
22.4 List any NLRB charges or findings.

Use industry publications to identify if there are regulatory agencies that govern your target employers. Workers may also know about specific regulators. A general news search may also provide insights.

The Underwriters Laboratories (UL) develops many industry standards in the U.S.

The National Labor Relations Board (NLRB) maintains a database where you can investigate recent NLRB activity. It is a free site but you must first register. You can search by company to identify if there has been recent NLRB activity at your firm.

From the U.S. Department of Labor you can search for LM10, LM 20 & LM 21 which empoyers must file if they are using an anti-union law firm or consultant.

The Stanford Law School’s Securities Class Action Clearing House provides a variety of information on firms gathered under the Private Securities Litigation Reform Act.

Good Jobs First’s Violation Tracker may provide information on a company’s environmental violations and their COVID Stimulus Watch provides detailed information on which firms received COVID-19 subsidies.

Court records are also valuable sources of information, and should be checked at the local, superior court, and Federal levels.  JUSTIA is a free web site for finding basic information on court cases.  Depending on the jurisdiction, court records may or may not be available online, and are often provided for a fee.  For example, court records for the Los Angeles Superior Court can be found here. Check for courts in the local jurisdictions where your company operates and/or where key managers or directors live.

Federal court records and documents, including bankruptcies, can be found at PACER (requires payment).

UMass Resources (For UMass students only)

Westlaw provides access to an extensive collection of cases, statues, court rules, regulations, and administrative decisions.