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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Northwestern Mutual
Ownership Structure: mutual
Headquartered in: Wisconsin
Major Industry: financial services
Specific Industry: insurance
Penalty total since 2000$17,895,123
Number of records: 17
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$17,005,0005
consumer-protection-related offenses$754,9376
employment-related offenses$135,1866
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$17,005,0005
insurance violation$754,9376
wage and hour violation$135,1866
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 TypeYearAgencyPenalty Amount sort icon
Northwestern Mutual Investment Services LLCinvestor protection violation2024SEC$16,500,000
Northwestern Mutual Life Insurance Co.insurance violation2021VT-FIN$287,000
Northwestern Mutual Investment Services, LLCinvestor protection violation2009FINRA$200,000
Northwestern Mutual Investment Services, LLCinvestor protection violation2023NH-BSR$200,000
Northwestern Mutual Life Insurance Companyinsurance violation2023NH-INS$200,000
The Northwestern Mutual Life Insurance Co.insurance violation2013MN-FIN$150,000
Northwestern Mutual Investment Services, LLCinvestor protection violation2007FINRA$100,000
Northwestern Mutualwage and hour violation2016MI-LEO$68,815
Northwestern Mutual Life Insurance Co.insurance violation2019NY-DFS$57,937
Northwestern Mutual Life Insurance Co.insurance violation2020WA-INS$50,000
Northwestern Mutualwage and hour violation2016MI-LEO$34,371
Northwestern Mutual Investment Servicesinsurance violation2006PA-INS$10,000
NORTHWESTERN MUTUALwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALwage and hour violation2023IL-DOL$7,000
NORTHWESTERN MUTUALwage and hour violation2023IL-DOL$7,000
Northwestern Mutual Investment Services LLCinvestor protection violation2024ME-SEC$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.