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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Massachusetts Mutual Life Insurance
Ownership Structure: mutual
Headquartered in: Massachusetts
Major Industry: financial services
Specific Industry: insurance
Penalty total since 2000$138,865,897
Number of records: 21
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
consumer-protection-related offenses$89,401,7089
employment-related offenses$40,375,0002
financial offenses$9,079,5509
safety-related offenses$9,6391
Top 5 Primary Offense TypesPenalty TotalNumber of Records
insurance violation$51,901,7088
benefit plan administrator violation$40,375,0002
consumer protection violation$37,500,0001
investor protection violation$9,079,5509
workplace safety or health violation$9,6391
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.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgency sort iconPenalty Amount
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYinsurance violation2023WA-INS$10,000
MASSACHUSETTS MUTUAL LIFE INSURANCEinsurance violation2003VA-INS$15,000
Massachusetts Mutual Life Insurance Companyinvestor protection violation2012SEC$1,625,000
MML Investors Services, LLCinvestor protection violation2021SEC$2,109,458
MML Investors Services LLCinvestor protection violation2012RI-FIN$250,000
MML Investors Services LLCinvestor protection violation2015PA-BKG$100,000
MASS MUTUAL INSTITUTIONAL FUNDSworkplace safety or health violation2020OSHA$9,639
Great American Life Insurance Companyinsurance violation2002OR-FIN$10,000
MassMutual Life Insurance Companyinsurance violation2020NY-DFS$1,399,708
Great American Lifeinsurance violation2016MULTI-AG$400,000
Great American Life Insurance Companyinsurance violation2009MN-AG$50,000,000
MML Investors Services, LLCinvestor protection violation2023MI-SEC$10,000
MML Investors Services, LLCinvestor protection violation2021MA-SEC$4,000,000
MML Investors Services, LLCinvestor protection violation2022MA-SEC$262,092
MML Investors Services, Inc.investor protection violation2007FINRA$473,000
MML Investor Services, Inc.investor protection violation2004FINRA$250,000
Massachusetts Mutual Life Insurance Company, Inc.insurance violation2019CT-INS$61,000
Great American Life Insurance Companyinsurance violation2021CT-INS$6,000
Massachusetts Mutual Life Insurance Co.benefit plan administrator violation2016private lawsuit-federal$30,900,000
Massachusetts Mutual Life Insurance Co.benefit plan administrator violation2015private lawsuit-federal$9,475,000
Massachusetts Mutual Life Insurance Companyconsumer protection violation2017private lawsuit-federal$37,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.