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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 Total | Number of Records |
| financial offenses | $17,005,000 | 5 |
| consumer-protection-related offenses | $754,937 | 6 |
| employment-related offenses | $135,186 | 6 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| investor protection violation | $17,005,000 | 5 |
| insurance violation | $754,937 | 6 |
| wage and hour violation | $135,186 | 6 |
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 |
| Northwestern Mutual | wage and hour violation | 2016 | MI-LEO | $34,371 |
| Northwestern Mutual | wage and hour violation | 2016 | MI-LEO | $68,815 |
| NORTHWESTERN MUTUAL | wage and hour violation | 2023 | IL-DOL | $9,000 |
| NORTHWESTERN MUTUAL | wage and hour violation | 2023 | IL-DOL | $9,000 |
| NORTHWESTERN MUTUAL | wage and hour violation | 2023 | IL-DOL | $7,000 |
| NORTHWESTERN MUTUAL | wage and hour violation | 2023 | IL-DOL | $7,000 |
| Northwestern Mutual Investment Services | insurance violation | 2006 | PA-INS | $10,000 |
| Northwestern Mutual Investment Services LLC | investor protection violation | 2024 | ME-SEC | $5,000 |
| Northwestern Mutual Investment Services, LLC | investor protection violation | 2009 | FINRA | $200,000 |
| Northwestern Mutual Investment Services, LLC | investor protection violation | 2007 | FINRA | $100,000 |
| Northwestern Mutual Investment Services, LLC | investor protection violation | 2023 | NH-BSR | $200,000 |
| Northwestern Mutual Investment Services LLC | investor protection violation | 2024 | SEC | $16,500,000 |
| Northwestern Mutual Life Insurance Co. | insurance violation | 2019 | NY-DFS | $57,937 |
| Northwestern Mutual Life Insurance Co. | insurance violation | 2020 | WA-INS | $50,000 |
| Northwestern Mutual Life Insurance Co. | insurance violation | 2021 | VT-FIN | $287,000 |
| Northwestern Mutual Life Insurance Company | insurance violation | 2023 | NH-INS | $200,000 |
| The Northwestern Mutual Life Insurance Co. | insurance violation | 2013 | MN-FIN | $150,000 |
