Violation Tracker Parent Company Summary

Parent Company Name: 
Sun Life Financial
Ownership Structure: 
publicly traded
Headquartered in: 
Canada
Major Industry: 
life insurance
Specific Industry: 
financial services
Penalty total since 2000: 
$631,214,103
Number of records: 
11
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$627,817,8585
consumer-protection-related offenses$3,332,5003
employment-related offenses$32,1102
environment-related offenses$31,6351
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$627,817,8585
insurance violation$3,332,5003
wage and hour violation$32,1102
environmental violation$31,6351
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: 

MASSACHUSETTS FINANCIAL SVC; SUN LIFE ASSURANCE CO OF CANADA; Sun Life Assurance Company of Canada (U.S.); Sun LIfe Assurance Company of Canada et al.; Sun Life Insurance Company; Sun Life Insurance Company of Canada


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
Massachusetts Financial Services Co. investor protection violation 2004 NY-AG $350,000,000
Massachusetts Financial Services Co. investor protection violation 2004 SEC $225,000,000
Massachusetts Financial Services Company investor protection violation 2004 SEC $50,000,000
Sun Life Insurance Company insurance violation 2014 MULTI-AG $3,200,000
Massachusetts Financial Services Company investor protection violation 2018 SEC $1,900,000
Massachusetts Financial Services Company investor protection violation 2003 SEC $917,858
Sun LIfe Assurance Company of Canada et al. insurance violation 2004 IN-INS $125,000
SUN LIFE ASSURANCE CO OF CANADA environmental violation 2005 EPA $31,635
Sun Life Assurance Company of Canada (U.S.) wage and hour violation 2009 WHD $25,744
Sun Life Insurance Company of Canada insurance violation 2009 MN-FIN $7,500
Sun Life Assurance Company of Canada (U.S.) wage and hour violation 2009 WHD $6,366
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