Violation Tracker Parent Company Summary

Parent Company Name: 
Arlington Asset Investment Corp.
Ownership Structure: 
publicly traded (ticker symbol AI)
Headquartered in: 
Virginia
Major Industry: 
financial services
Specific Industry: 
investment management
Penalty total since 2000: 
$17,880,839
Number of records: 
3
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
employment-related offenses$14,000,0001
financial offenses$3,880,8392
Top 5 Primary Offense TypesPenalty TotalNumber of Records
wage and hour violation$14,000,0001
insider trading$3,755,8391
investor protection violation$125,0001
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

FIRST NLC; FRIEDMAN BILLINGS RAMSEY AND


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
First NLC wage and hour violation 2007 private lawsuit-federal $14,000,000
Friedman, Billings, Ramsey & Co., Inc. insider trading 2006 SEC $3,755,839
Friedman, Billings, Ramsey & Co., Inc. investor protection violation 2004 SEC $125,000
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