Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Jorge Romero Investments, Inc. and Maximum Return Investments, Inc.
Penalty: $2,840,868
Year: 2011
Date: February 1, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Jorge Romero Investments, Inc., Maximum Return Investments, Inc. and one individual were ordered to pay $2,418,867 in restitution plus a $422,000 civil penalty to resolve allegations they deceptively sold unqualified securities.
Level of Government: state
Action Type: agency action
Agency: California Department of Financial Protection and Innovation
Civil or Criminal Case: civil
Facility State: California
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.