Schedule 13D - Securities & Forensic Lawyers

SEC Charges Brothers for Hydrocarb Fraud Scheme

On April 21, 2017, the Securities and Exchange Commission (“SEC”) has charged two brothers – Kent and Mike Watts – with orchestrating a fraudulent scheme to qualify the stock of Hydrocarb Energy Corporation for listing on a major… Read More

Schedule 13D and 13G Filing Requirements Securities Lawyer 101 Q&A

Common Questions About Schedule 13D and 13G Filing Requirements For Public Companies In going public transactions, a company can register a class of securities and thereby become subject to the SEC’s reporting requirements by filing a Form 10… Read More

What Is Schedule 13D? Going Public Attorneys

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities registered under Section 12 of the Securities Exchange Act of 1934 (“Exchange Act”), they are… Read More

Insiders Charged For Failure to Update Disclosures In Going Private Transactions

On March 13, 2015, the Securities and Exchange Commission (SEC) charged eight officers, directors, or major shareholders of public companies in connection with going private transactions. According to the SEC, the defendants failed to update their stock ownership… Read More