MANULIFE INVESTMENT MANAGEMENT (NORTH AMERICA) LIMITED of TORONTO, ON is an SEC-registered investment adviser (CRD 125142). Regulatory assets under management: $377.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Pooled vehicles.
Showing 25 of 61 people.
| Name | Role | Location |
|---|---|---|
| Ramani Narayan | VICE PRESIDENT, INDEX FUNDS | Santa Clara, CA |
| Rebecca Rose Hayes | GENERAL COUNSEL AND SECRETARY | — |
| James William Bogle | CHIEF FINANCIAL OFFICER | — |
| Christopher Michael Walker | CHIEF COMPLIANCE OFFICER | — |
| Elise Bourret | DIRECTOR | — |
| Leonardo Manuel Zerilli | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| Mamta Suri Sethi | NON-EXECUTIVE DIRECTOR | — |
| Amirali Assef | DIRECTOR | — |
| RENAUD ROGER ANDRE | DIRECTOR | — |
| WALKER CHRISTOPHER MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| COSTANTINI MARC | DIRECTOR | — |
| LIGHT NORMAN | DIRECTOR, CHIEF FINANCIAL OFFICER | — |
| THOMSON WARREN ALFRED | DIRECTOR | — |
| SPECA BRUCE ROBERT | VICE PRESIDENT, PORTFOLIO MANAGER | — |
| CONKEY CHRISTOPHER PAUL | DIRECTOR | — |
| SCHMEER MARK ALLEN | DIRECTOR, CHIEF INVESTMENT OFFICER; DIRECTOR, PRESIDENT & CHIEF INVESTMENT OFFICER; DIRECTOR,VP AND CHIEF INVESTMENT OFFICER | — |
| DE BEVER LEO | DIRECTOR, CHAIRMAN; DIRECTOR, PRESIDENT | — |
| EVANS BARRY HART | DIRECTOR | — |
| PANSEGRAU GORDON RALPH | COMPLIANCE OFFICER; GENERAL COUNSEL, SECRETARY AND CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL, SECRETARY AND COMPLIANCE OFFICER | — |
| LYON CRAIG WILLIAM | DIRECTOR, CHIEF FINANCIAL OFFICER | — |
| KILIMNIK ROBERT FRANK | DIRECTOR | — |
| MEDINA STEVEN EFRAIN | AVP, INVESTMENT MANAGEMENT SERVICES; VICE PRESIDENT, PORTFOLIO MANAGER | — |
| COPESTAKE PETER G | VP, FINANCE | — |
| WALTER KEITH | DIRECTOR | — |
| GALLAGHER DAVID | GENERAL COUNSEL | — |
Showing 10 of 11 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-02-23 | regulatory | BC FINANCIAL SERVICES AUTHORITY FOUND THE CONTRACT AND RELATED ADVERTISING UNFAIR AND POTENTIALLY MISLEADING; FAILURES IN PRIVACY / OUTSOURCING COMPLIANCE; FAILURES IN COMMUNICATION WITH INSURED CAUSING HARM. | Final | — |
| 2023-10-16 | regulatory | THE VIRGINIA BUREAU OF INSURANCE ALLEGED THAT JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) IN CERTAIN INSTANCES VIOLATED THE CODE OF VIRGINIA, AND THE VIRGINIA ADMINISTRATIVE CODE, RELATING TO THE CONDITIONS OF A RATE INCREASE FOR A LONG-TERM CARE RATE INSURANCE POLICY BY FAILING TO FILE A NOTICE WI… | Final | $9K |
| 2023-05-17 | regulatory | PURSUANT TO A TARGETED MARKET CONDUCT EXAMINATION, THE RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION INSURANCE DIVISION ALLEGED THAT JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A) FAILED TO COMPLY WITH RHODE ISLAND LAWS AND REGULATIONS RELATED TO THE OVERSIGHT OF REPLACEMENT TRANSACTIONS. | Final | $95K |
| 2023-03-21 | regulatory | A MARKET CONDUCT EXAM FOUND THAT JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A) VIOLATED REQUIREMENTS RELATING TO INDIVIDUAL LIFE INSURANCE BUSINESS PRACTICES FROM JANUARY 1, 2021, THROUGH DECEMBER 31, 2022. | Final | $53K |
| 2022-07-08 | regulatory | JOHN HANCOCK LIFE AND HEALTH INSURANCE COMPANY IS FINALIZING A CONSENT ORDER WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (NYDFS) REGARDING A SYSTEM ERROR IT SELF-DISCLOSED IN 2019 AND THAT CAUSED THE PREMATURE EXHAUSTION OF 155 LONG TERM CARE POLICIES THAT WERE PART OF THE NEW YORK STAT… | Final | $2.5M |
| 2022-05-24 | regulatory | PURSUANT TO A MARKET CONDUCT EXAMINATION, THE STATE OF CONNECTICUT INSURANCE DEPARTMENT ALLEGED THAT JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) FAILED TO FOLLOW ESTABLISHED PRACTICES AND PROCEDURES TO ENSURE COMPLIANCE WITH STATUTORY REQUIREMENTS RELATED TO PRODUCER APPOINTMENTS. | Final | $68K |
| 2021-02-01 | regulatory | THE STATE OF WASHINGTON INSURANCE OFFICE OF THE INSURANCE COMMISSIONER IDENTIFIED A VIOLATION OF RCW 48.23A.080(8) IN WHICH JOHN HANCOCK LIFE INSURANCE COMPANY (USA) FAILED TO PROMPTLY NOTIFY THE COMMISSIONER UPON CHANGES TO THE ILLUSTRATION ACTUARY. | Final | $1K |
| 2019-11-26 | regulatory | STARTING IN JANUARY 2013, JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) MISINTERPRETED THE STATE OF VERMONT'S STATUTE REGARDING HOW DEATH CLAIM INTEREST WAS TO BE CALCULATED, AND OVERLOOKED A PREVIOUS CONSENT ORDER WITH THE VERMONT DEPARTMENT OF FINANCIAL REGULATION COVERING DEATH CLAIM INTEREST. UPO… | Final | $800K |
| 2017-11-23 | regulatory | THE MANUFACTURERS LIFE INSURANCE COMPANY ALLOWED RESTRICTED AGENTS TO ACT WHILE NOT HOLDING A VALID CERTIFICATE OF AUTHORITY CONTRARY TO SECTION 452(5) OF THE INSURANCE ACT (ALBERTA) AND COMPENSATING AN UNLICENSED RESTRICTED INSURANCE AGENT CONTRARY TO THE PROVISIONS OF SECTION 499(1) OF THE INSURAN… | Final | $5K |
| 2017-09-28 | regulatory | THE MANUFACTURERS LIFE INSURANCE COMPANY DISTRIBUTED HOSPITAL INSURANCE POLICIES TO SEARS CUSTOMERS THROUGH PERSONS WHO WERE NOT LICENSED WITH THE AUTORITE DES MARCHES FINANCIERS FOR THIS PURPOSE, THUS CONTRAVENING SECTIONS 461,462,470 AND 491 OF THE ACT RESPECTING THE DISTRIBUTION OF FINANCIAL PROD… | Final | $350K |