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 Total | Number of Records |
|---|---|---|
| financial offenses | $843,956,399 | 12 |
| consumer-protection-related offenses | $29,202,000 | 29 |
| employment-related offenses | $14,328,979 | 6 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| investor protection violation | $843,956,399 | 12 |
| insurance violation | $28,952,000 | 28 |
| wage and hour violation | $11,828,979 | 5 |
| benefit plan administrator violation | $2,500,000 | 1 |
| consumer protection violation | $250,000 | 1 |
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 Amount |
|---|---|---|---|---|
| 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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