Violation Tracker Parent Company Summary

Parent Company Name: 
Ownership Structure: 
publicly traded
Headquartered in: 
Major Industry: 
financial services
Specific Industry: 
Penalty total since 2000: 
Number of records: 
Top 10 Primary Offense TypesPenalty TotalNumber of Records
securities issuance or trading violation$600,000,0002
investor protection violation$243,734,1525
insurance violation$20,000,0001
wage and hour violation$11,809,5344
consumer protection violation$4,380,0003
benefit plan administrator violation$2,500,0001

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.; 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.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
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
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