Violation Tracker Parent Company Summary
Ownership Structure:
publicly traded
Major Industry:
financial services
Specific Industry:
insurance
Penalty total since 2000:
$245,669,000
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
|---|
| financial offenses | $242,000,000 | 1 |
| consumer-protection-related offenses | $3,669,000 | 20 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
|---|
| investor protection violation | $242,000,000 | 1 |
| insurance violation | $3,669,000 | 20 |
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.
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.
Download results as 
or
XML (maximum 10,000; for access to larger downloads contact
Phil Mattera)
|
Company |
Primary Offense Type |
Year |
Agency |
Penalty Amount |
|
AXA Rosenberg |
investor protection violation |
2011 |
SEC |
$242,000,000 |
|
Axa S.A. |
insurance violation |
2015 |
MULTI-AG |
$3,280,000 |
|
Catlin Insurance Company Inc. |
insurance violation |
2018 |
UT-INS |
$100,000 |
|
AXA Art Insurance Corporation |
insurance violation |
2015 |
NY-DFS |
$70,000 |
|
XL Insurance America, Inc. |
insurance violation |
2018 |
TX-INS |
$32,000 |
|
XL Specialty Insurance Company |
insurance violation |
2018 |
TX-INS |
$30,000 |
|
XL Specialty Insurance Company |
insurance violation |
2011 |
TX-INS |
$25,000 |
|
XL Specialty Insurance Co. |
insurance violation |
2012 |
MO-INS |
$21,000 |
|
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 |
|
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 |
|
XL Specialty Insurance Co. |
insurance violation |
2020 |
TX-INS |
$7,000 |
|
Axa Insurance Co. |
insurance violation |
2019 |
LA-INS |
$6,000 |
|
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 |
Download results as or
XML (maximum 10,000; for access to larger downloads contact
Phil Mattera)
