Violation Tracker Parent Company Summary

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: 
$651,631,465
Number of records: 
36
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$611,762,48620
consumer-protection-related offenses$25,540,00010
employment-related offenses$14,328,9796
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$611,762,48620
insurance violation$25,290,0009
wage and hour violation$11,828,9795
benefit plan administrator violation$2,500,0001
consumer protection violation$250,0001
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: 

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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Type Year Agency Penalty Amountsort icon
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 Equitable insurance violation 2014 NY-DFS $20,000,000
AXA Financial wage and hour violation 2009 private lawsuit-federal $6,500,000
AllianceBernstein Investment Research and Management, Inc. investor protection violation 2005 FINRA $3,984,087
AllianceBernstein wage and hour violation 2013 private lawsuit-federal $2,980,000
AXA Advisors, LLC investor protection violation 2007 FINRA $2,600,000
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 Advisors, LLC investor protection violation 2005 FINRA $900,000
AXA Equitable Life Insurance Company insurance violation 2012 NY-AG $850,000
AXA Advisors, LLC investor protection violation 2019 FINRA $772,000
AXA Advisors, LLC investor protection violation 2015 FINRA $600,000
AllianceBernstein, L.P. investor protection violation 2007 SEC $450,000
Sanford C. Bernstein & Co. investor protection violation 2006 FINRA $350,000
MONY Life Insurance Co. consumer protection violation 2000 CT-AG $250,000
AXA Advisors, LLC investor protection violation 2004 FINRA $250,000
AXA Advisors, LLC investor protection violation 2004 FINRA $250,000
AXA Advisors, LLC investor protection violation 2012 SEC $100,000
AllianceBernstein Investments, Inc. investor protection violation 2007 FINRA $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 Advisors, LLC investor protection violation 2009 SEC $50,000
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
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
MONY Securities Corporation investor protection violation 2003 TN-SEC $10,000
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)