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Violation Tracker Current Parent Company Summary

Current Parent Company Name: TIAA
Ownership Structure: non-profit
Headquartered in: New York
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000$188,511,272
Number of records: 21
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$147,025,7226
employment-related offenses$35,108,78511
consumer-protection-related offenses$6,369,2653
safety-related offenses$7,5001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
accounting fraud or deficiencies$97,000,0001
banking violation$38,000,0002
benefit plan administrator violation$27,800,0003
investor protection violation$12,025,7223
insurance violation$6,369,2653
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 .
TIAA-CREF Individual & Institutional Services, LLCbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
TIAA-CREF Individual & Institutional Services LLCaccounting fraud or deficiencies2021SEC$97,000,000
Everbankbanking violation2013OCC$37,000,000
TIAA-CREFbenefit plan administrator violation2014private lawsuit-federal$22,800,000
John Nuveen & Co., Inc.investor protection violation2000FINRA$6,630,000
TIAA-CREF Life Insurance Companyinsurance violation2013MULTI-FIN$6,200,000
Teachers Insurance and Annuity Insurance Association of Americabenefit plan administrator violation2017private lawsuit-federal$5,000,000
TIAA Bank, FSBwage and hour violation2020private lawsuit-federal$3,500,000
Nuveen Investments, LLCinvestor protection violation2011FINRA$3,000,000
TIAA-CREF Individual & Institutional Services, LLCinvestor protection violation2019SEC$2,395,722
Teachers Insurance and Annuity Associationemployment discrimination2020OFCCP$1,500,000
Teachers Insurance Annuity Associationwage and hour violation2007WHD$1,171,404
Everbankbanking violation2016OCC$1,000,000
TIAA - CREFwage and hour violation2006WHD$468,336
TIAAwage and hour violation2005WHD$327,168
TIAA-CREFlabor relations violation2016NLRB$304,216
TIAA-CREF Life Insurance Companyinsurance violation2016NY-DFS$139,940
TIAA-CREF Life Insurance Companyinsurance violation2016NY-DFS$29,325
Nuveen Services LLCwage and hour violation2018IL-DOL$27,983
Teachers Insurance & Annuity Assoc of Americawage and hour violation2017WHD$9,678
TIAA-CREFaviation safety violation2015FAA$7,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.