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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Equitable Holdings
Ownership Structure: publicly traded (ticker symbol EQH)
Headquartered in: New York
Major Industry: financial services
Specific Industry: investment management
Penalty total since 2000$701,371,465
Number of records: 35
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$661,752,48620
consumer-protection-related offenses$25,290,0009
employment-related offenses$14,328,9796
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$661,752,48620
insurance violation$25,290,0009
wage and hour violation$11,828,9795
benefit plan administrator violation$2,500,0001
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.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

For an overview of assistance this company is receiving under the CARES Act, see its Covid Stimulus Watch summary page here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon .
Alliance Capital Managementinvestor protection violation2003NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000
Alliance Capital Management L.P.investor protection violation2003SEC$250,000,000
Equitable Financial Life Insurance Companyinvestor protection violation2022SEC$50,000,000
AXA Equitableinsurance violation2014NY-DFS$20,000,000
AXA Financialwage and hour violation2009private lawsuit-federal$6,500,000
AllianceBernstein Investment Research and Management, Inc.investor protection violation2005FINRA$3,984,087
AllianceBernsteinwage and hour violation2013private lawsuit-federal$2,980,000
AXA Advisors, LLCinvestor protection violation2007FINRA$2,600,000
AXA Equitable Life Insurance Companybenefit plan administrator violation2011private lawsuit-federal$2,500,000
AXA Advisorswage and hour violation2016private lawsuit-federal$2,300,000
AXA Equitable Life Insurance Companyinsurance violation2010NY-DFS$1,900,000
The Equitable Life Assurance Society of the United Statesinsurance violation2003FL-OFR$1,600,000
AXA Advisors, LLCinvestor protection violation2019SEC$1,134,152
AXA Equitable Life Insurance Co. et violation2016MN-FIN$900,000
AXA Advisors, LLCinvestor protection violation2005FINRA$900,000
AXA Equitable Life Insurance Companyinsurance violation2012NY-AG$850,000
AXA Advisors, LLCinvestor protection violation2019FINRA$772,000
AXA Advisors, LLCinvestor protection violation2015FINRA$600,000
AllianceBernstein, L.P.investor protection violation2007SEC$450,000
Sanford C. Bernstein & Co.investor protection violation2006FINRA$350,000
AXA Advisors, LLCinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCinvestor protection violation2012SEC$100,000
AllianceBernstein Investments, Inc.investor protection violation2007FINRA$100,000
AXA Advisors, LLCinvestor protection violation2010MO-SEC$92,015
AXA Advisors LLCinvestor protection violation2011OR-FIN$80,000
AXA Advisors, LLCinvestor protection violation2009SEC$50,000
AXA Equitable Life Insurance Companywage and hour violation2006WHD$29,534
Equitable Life and Casualty Insurance Companyinsurance violation2002OR-FIN$25,000
AllianceBernstein L.P.investor protection violation2013CO-SEC$20,232
AllianceBernstein L.P.investor protection violation2012DE-SEC$20,000
Equitable Life & Casualty Insurance Companywage and hour violation2008WHD$19,445
AXA Equitable Life Insurance violation2018DE-INS$5,000
AXA Equitable Life Insurance violation2016MN-FIN$5,000
AXA Equitable Life & Annuity violation2016MT-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.