Violation Tracker Parent Company Summary
|Top 10 Primary Offense Types||Penalty Total||Number of Records|
|investor protection violation||$21,337,879||3|
|consumer protection violation||$40,000||1|
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.
John Hancock Assignment Co.; John Hancock Investment Management Services, LLC; John Hancock Life Insurance Co.; John Hancock Life Insurance Company of New York; MANULIFE FINANCIAL; MANULIFE FINANCIAL US OPERATIONS
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.
|Company||Primary Offense Type||Year||Agency||Penalty Amount|
|John Hancock Investment Management Services, LLC||investor protection violation||2007||SEC||$19,787,879|
|John Hancock Life Insurance Co.||insurance violation||2011||MULTI-AG||$3,000,000|
|Manulife Financial Corporation||investor protection violation||2004||DOJ_ANTITRUST||$1,000,000|
|John Hancock Life Insurance Co.||investor protection violation||2014||MA-AG||$550,000|
|John Hancock Life Insurance Company of New York||insurance violation||2017||NY-DFS||$73,000|
|John Hancock Life Insurance Co.||consumer protection violation||2013||MA-AG||$40,000|
|John Hancock Assignment Co.||tax violations||2014||CT-AG||$38,910|
|MANULIFE FINANCIAL US OPERATIONS||environmental violation||2008||EPA||$5,000|