| 2023-10-02 | regulatory | THE PENNSYLVANIA INSURANCE DEPARTMENT IDENTIFIED VIOLATIONS IN THE FOLLOWING AREAS: COMPREHENSIVE FILE DOCUMENTATION, REVIEW AND REVISION OF INTERNAL CONTROL PROCEDURES TO ENSURE COMPLIANCE WITH STATUTORY COMPLAINT AND FILE HANDLING, FREE LOOK STATEMENT, ILLUSTRATION CERTIFICATION AND DELIVERY, DISC… | Final | $250K |
| 2022-12-08 | regulatory | THE COMPANY USED A FORM THAT WAS NOT APPROVED BY THE NEW HAMPSHIRE INSURANCE DEPARTMENT. THE COMPANY DECLINED SOME INSURANCE APPLICANTS BUT COULD NOT PRODUCE A DECLINATION LETTER. | Final | $220K |
| 2021-07-29 | regulatory | ADVERTISEMENTS SENT BY AGENTS TO PROSPECTIVE CLIENTS MISREPRESENTED AGENT EXPERIENCE AND CLIENT BASE | Final | $200K |
| 2020-06-24 | regulatory | THE WASHINGTON OFFICE OF INSURANCE COMMISSIONER DETERMINED THAT THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY ACCEPTED ANNUITY APPLICATIONS FROM PRODUCERS THAT DID NOT COMPLETE THE REQUIRED ANNUITY SUITABILITY TRAINING | Final | $2K |
| 2020-04-12 | regulatory | WASHINGTON OFFICE OF INSURANCE COMMISSIONER DETERMINED THAT THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY WAS NOT PAYING THE CORRECT AMOUNT OF INTEREST ON SOME LIFE INSURANCE DEATH CLAIMS GOVERNED BY WASHINGTON LAW. | Final | $20K |
| 2018-05-22 | regulatory | FINE, RESTITUTION AND INJUNCTION RELATED TO THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS | Final | $26K |
| 2017-06-30 | regulatory | THE VERMONT DEPARTMENT OF FINANCIAL REGULATION ASSERTS THAT NORTHWESTERN MUTUAL DID NOT COMPLY WITH VERMONT LAW BY PAYING INTEREST BEFORE SETTLEMENT OF INSURANCE DEATH CLAIMS AT LESS THAN THE VERMONT STATUTORY RATE FOR CLAIMS IN WHICH THE BENEFICIARY RESIDED IN VERMONT AND THE LIFE INSURANCE POLICY… | Final | $287K |
| 2017-01-01 | regulatory | JOHNSON CONTROLS VOLUNTARILY DISCLOSED TO THE NEW YORK STATE ATTORNEY GENERAL (THE "ATTORNEY GENERAL") A POTENTIAL MISREPRESENTATION MADE BY AN EMPLOYEE CONCERNING CERTAIN TRAINING CERTIFICATIONS AFTER THE ISSUE WAS DISCOVERED DURING AN EMPLOYEE INTERVIEW. | Final | $341K |
| 2016-06-01 | regulatory | IMPROPER PAYMENTS MADE BY EMPLOYEES OF JOHNSON CONTROLS' MARINE BUSINESS IN CHINA | Final | $14.4M |
| 2013-03-27 | regulatory | FINE IMPOSED RELATED TO HANDLING OF RETAINED ASSET ACCOUNTS | Final | $150K |