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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 Total | Number of Records |
| consumer-protection-related offenses | $89,401,708 | 9 |
| employment-related offenses | $40,375,000 | 2 |
| financial offenses | $9,079,550 | 9 |
| safety-related offenses | $9,639 | 1 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| insurance violation | $51,901,708 | 8 |
| benefit plan administrator violation | $40,375,000 | 2 |
| consumer protection violation | $37,500,000 | 1 |
| investor protection violation | $9,079,550 | 9 |
| workplace safety or health violation | $9,639 | 1 |
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.
| Company | Primary Offense Type | Year  | Agency | Penalty Amount |
| Great American Life Insurance Company | insurance violation | 2002 | OR-FIN | $10,000 |
| MASSACHUSETTS MUTUAL LIFE INSURANCE | insurance violation | 2003 | VA-INS | $15,000 |
| MML Investor Services, Inc. | investor protection violation | 2004 | FINRA | $250,000 |
| MML Investors Services, Inc. | investor protection violation | 2007 | FINRA | $473,000 |
| Great American Life Insurance Company | insurance violation | 2009 | MN-AG | $50,000,000 |
| Massachusetts Mutual Life Insurance Company | investor protection violation | 2012 | SEC | $1,625,000 |
| MML Investors Services LLC | investor protection violation | 2012 | RI-FIN | $250,000 |
| Massachusetts Mutual Life Insurance Co. | benefit plan administrator violation | 2015 | private lawsuit-federal | $9,475,000 |
| MML Investors Services LLC | investor protection violation | 2015 | PA-BKG | $100,000 |
| Massachusetts Mutual Life Insurance Co. | benefit plan administrator violation | 2016 | private lawsuit-federal | $30,900,000 |
| Great American Life | insurance violation | 2016 | MULTI-AG | $400,000 |
| Massachusetts Mutual Life Insurance Company | consumer protection violation | 2017 | private lawsuit-federal | $37,500,000 |
| Massachusetts Mutual Life Insurance Company, Inc. | insurance violation | 2019 | CT-INS | $61,000 |
| MassMutual Life Insurance Company | insurance violation | 2020 | NY-DFS | $1,399,708 |
| MASS MUTUAL INSTITUTIONAL FUNDS | workplace safety or health violation | 2020 | OSHA | $9,639 |
| MML Investors Services, LLC | investor protection violation | 2021 | MA-SEC | $4,000,000 |
| MML Investors Services, LLC | investor protection violation | 2021 | SEC | $2,109,458 |
| Great American Life Insurance Company | insurance violation | 2021 | CT-INS | $6,000 |
| MML Investors Services, LLC | investor protection violation | 2022 | MA-SEC | $262,092 |
| MML Investors Services, LLC | investor protection violation | 2023 | MI-SEC | $10,000 |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | insurance violation | 2023 | WA-INS | $10,000 |
