Violation Tracker Parent Company Summary
|Top 10 Primary Offense Types||Penalty Total||Number of Records|
|securities issuance or trading violation||$600,000,000||2|
|investor protection violation||$243,734,152||5|
|wage and hour violation||$11,809,534||4|
|consumer protection violation||$4,380,000||3|
|benefit plan administrator violation||$2,500,000||1|
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.
Alliance Capital Management; ALLIANCE CAPITAL MGT LP; AllianceBernstein, L.P.; AXA; AXA Equitable; AXA Equitable Life Insurance Company; AXA ROSENBERG; Axa S.A.; MONY Life Insurance Co.
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|
|Alliance Capital Management||securities issuance or trading violation||2003||NY-AG||(*) $600,000,000|
|Alliance Capital Management L.P.||securities issuance or trading 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.||consumer protection 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 Advisors, LLC||investor protection violation||2019||SEC||$1,134,152|
|AXA Equitable Life Insurance Company||consumer protection 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|
|AXA Advisors, LLC||investor protection violation||2009||SEC||$50,000|
|AXA Equitable Life Insurance Company||wage and hour violation||2006||WHD||$29,534|