Securities and Exchange Commission

Apr 18, 2016

2 suburban NY officials charged in securities fraud case

RAMAPO, N.Y. – A suburban New York town supervisor and the former head of a local development corporation were charged with securities fraud April 14 in connection with the financing […]

Jan 21, 2015

S&P settles with SEC, 2 states over misconduct charges

NEW YORK  — Standard & Poor’s agreed on Wednesday to pay the U.S. government and two states more than $77 million to settle charges tied to its ratings of mortgage-backed […]

Oct 23, 2014

Rules on bank risk in mortgage bonds being adopted

WASHINGTON  — Federal regulators are proceeding with new rules that ease guidelines for banks selling mortgage securities and could mean fewer borrowers will need to make hefty down payments. The […]

Aug 27, 2014

SEC adopts rules on loan-backed securities

WASHINGTON  — Financial firms that sell securities backed by loans, like the kind that fueled the 2008 financial crisis, will have to give investors details on borrowers’ credit records and […]

Jul 14, 2014

SEC hosts investor outreach program

CHARLOTTE — The federal Securities and Exchange Commission will hold an investor outreach program from 2-4 p.m. Thursday in Room 901 of the UNC Charlotte Center City Campus, 320 E. […]

Feb 24, 2014

SEC rejects NY fund’s request for bank disclosures

ALBANY, N.Y.  — The Securities and Exchange Commission has rejected a request from New York’s comptroller to advance shareholder resolutions that would ask two major banks to disclose which employees […]

Jan 8, 2014

Dismissal of Duke-Crescent lawsuit ends one chapter of Charlotte’s economic history

A murky, internecine lawsuit over $1.2 billion involving two formerly synonymous giants of economic development in Charlotte has ended in what appears to be an equally shadowy draw. But the […]

Jan 2, 2014

Berkshire Hathaway owns 31 pct of wallboard maker

OMAHA, Neb.  — Warren Buffett’s company now owns nearly 31 percent of the world’s largest manufacturer of wallboard, USG Corp. Berkshire Hathaway Inc. filed an update with the Securities and […]

Nov 27, 2013

A capital idea: SEC changes may make it easier to crowdfund real estate

Crowdfunding has been used to finance independent films, support aspiring novelists and musicians and launch small businesses. Now new rules under review by the Securities and Exchange Commission may shake […]

Mar 30, 2011

BofA CEO 2010 pay package worth $1.25M

NEW YORK — Brian Moynihan, the CEO of Bank of America Corp., received compensation valued at $1.25 million in 2010, according to an Associated Press analysis of regulatory filings. Moynihan […]

Mar 4, 2011

Beazer Homes CEO to pay back $6.5M as settlement in fraud case

The CEO of Beazer Homes will pay $6.5 million to reimburse the company for bonuses and stock profits he received while the company was committing accounting fraud, the Securities and Exchange Commission […]

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