Violation Tracker Parent Company Summary

Parent Company Name: 
AXA
Ownership Structure: 
publicly traded
Headquartered in: 
France
Major Industry: 
insurance
Specific Industry: 
financial services
Penalty total since 2000: 
$887,487,378
Number of records: 
47
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$843,956,39912
consumer-protection-related offenses$29,202,00029
employment-related offenses$14,328,9796
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$843,956,39912
insurance violation$28,952,00028
wage and hour violation$11,828,9795
benefit plan administrator violation$2,500,0001
consumer protection violation$250,0001
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.

Associated Names: 

Alliance Capital Management; ALLIANCE CAPITAL MGT LP; AllianceBernstein L.P.; AllianceBernstein, L.P.; AXA; AXA Art Insurance Corporation; AXA Equitable; AXA Equitable Life & Annuity Co.; AXA Equitable Life Insurance Co. et al.; AXA Equitable Life Insurance Company; AXA Insurance Company; Axa Re Property and Casualty Insurance Co.; AXA ROSENBERG; Axa S.A.; Catlin Insurance Company Inc.; Equitable Life and Casualty Insurance Company; MONY Life Insurance Co.; MONY Securities Corporation; T.H.E. IN [...]

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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Company Primary Offense Type Year Agency Penalty Amountsort icon
Alliance Capital Management investor protection violation 2003 NY-AG (*) $600,000,000
Alliance Capital Management L.P. investor protection violation 2003 SEC $250,000,000
AXA Rosenberg investor protection violation 2011 SEC $242,000,000
AXA Equitable insurance violation 2014 NY-DFS $20,000,000
AXA Financial wage and hour violation 2009 private lawsuit-federal $6,500,000
Axa S.A. insurance violation 2015 MULTI-AG $3,280,000
AllianceBernstein wage and hour violation 2013 private lawsuit-federal $2,980,000
AXA Equitable Life Insurance Company benefit plan administrator violation 2011 private lawsuit-federal $2,500,000
AXA Advisors wage and hour violation 2016 private lawsuit-federal $2,300,000
AXA Equitable Life Insurance Company insurance violation 2010 NY-DFS $1,900,000
The Equitable Life Assurance Society of the United States insurance violation 2003 FL-OFR $1,600,000
AXA Advisors, LLC investor protection violation 2019 SEC $1,134,152
AXA Equitable Life Insurance Co. et al. insurance violation 2016 MN-FIN $900,000
AXA Equitable Life Insurance Company insurance violation 2012 NY-AG $850,000
AllianceBernstein, L.P. investor protection violation 2007 SEC $450,000
MONY Life Insurance Co. consumer protection violation 2000 CT-AG $250,000
AXA Advisors, LLC investor protection violation 2012 SEC $100,000
Catlin Insurance Company Inc. insurance violation 2018 UT-INS $100,000
AXA Advisors, LLC investor protection violation 2010 MO-SEC $92,015
AXA Advisors LLC investor protection violation 2011 OR-FIN $80,000
AXA Art Insurance Corporation insurance violation 2015 NY-DFS $70,000
AXA Advisors, LLC investor protection violation 2009 SEC $50,000
XL Insurance America, Inc. insurance violation 2018 TX-INS $32,000
XL Specialty Insurance Company insurance violation 2018 TX-INS $30,000
AXA Equitable Life Insurance Company wage and hour violation 2006 WHD $29,534
Equitable Life and Casualty Insurance Company insurance violation 2002 OR-FIN $25,000
XL Specialty Insurance Company insurance violation 2011 TX-INS $25,000
XL Specialty Insurance Co. insurance violation 2012 MO-INS $21,000
AllianceBernstein L.P. investor protection violation 2013 CO-SEC $20,232
AllianceBernstein L.P. investor protection violation 2012 DE-SEC $20,000
Equitable Life & Casualty Insurance Company wage and hour violation 2008 WHD $19,445
T.H.E. INSURANCE COMPANY insurance violation 2001 FL-OFR $15,000
Axa Re Property and Casualty Insurance Co. insurance violation 2005 FL-OFR $15,000
T.H.E. Insurance Company insurance violation 2015 TX-INS $11,500
MONY Securities Corporation investor protection violation 2003 TN-SEC $10,000
XL LIFE INSURANCE AND ANNUITY insurance violation 2006 VA-INS $10,000
XL Specialty Insurance Company insurance violation 2014 TX-INS $8,500
AXA Insurance Company insurance violation 2007 SC-INS $8,000
AXA Art Insurance Corporation insurance violation 2012 SC-INS $8,000
XL Insurance America Inc. insurance violation 2011 TX-INS $7,000
Axa Insurance Co. insurance violation 2019 LA-INS $6,000
AXA Equitable Life Insurance Co. insurance violation 2018 DE-INS $5,000
AXA Equitable Life Insurance Co. insurance violation 2016 MN-FIN $5,000
AXA Equitable Life & Annuity Co. insurance violation 2016 MT-INS $5,000
T.H.E. Insurance Company insurance violation 2009 PA-INS $5,000
Catlin Insurance Company Inc. insurance violation 2013 SD-INS $5,000
XL Insurance America, Inc. insurance violation 2019 TX-INS $5,000
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