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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 Total | Number of Records |
| financial offenses | $661,752,486 | 20 |
| consumer-protection-related offenses | $25,290,000 | 9 |
| employment-related offenses | $14,328,979 | 6 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| investor protection violation | $661,752,486 | 20 |
| insurance violation | $25,290,000 | 9 |
| wage and hour violation | $11,828,979 | 5 |
| benefit plan administrator violation | $2,500,000 | 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.
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.
| Company | Primary Offense Type | Year | Agency  | Penalty Amount |
| AXA Advisors | wage and hour violation | 2016 | private lawsuit-federal | $2,300,000 |
| AllianceBernstein | wage and hour violation | 2013 | private lawsuit-federal | $2,980,000 |
| AXA Financial | wage and hour violation | 2009 | private lawsuit-federal | $6,500,000 |
| AXA Equitable Life Insurance Company | benefit plan administrator violation | 2011 | private lawsuit-federal | $2,500,000 |
| AllianceBernstein L.P. | investor protection violation | 2013 | CO-SEC | $20,232 |
| AXA Equitable Life Insurance Co. | insurance violation | 2018 | DE-INS | $5,000 |
| AllianceBernstein L.P. | investor protection violation | 2012 | DE-SEC | $20,000 |
| AXA Advisors, LLC | investor protection violation | 2019 | FINRA | $772,000 |
| AXA Advisors, LLC | investor protection violation | 2015 | FINRA | $600,000 |
| AXA Advisors, LLC | investor protection violation | 2007 | FINRA | $2,600,000 |
| AllianceBernstein Investments, Inc. | investor protection violation | 2007 | FINRA | $100,000 |
| Sanford C. Bernstein & Co. | investor protection violation | 2006 | FINRA | $350,000 |
| AllianceBernstein Investment Research and Management, Inc. | investor protection violation | 2005 | FINRA | $3,984,087 |
| AXA Advisors, LLC | investor protection violation | 2005 | FINRA | $900,000 |
| AXA Advisors, LLC | investor protection violation | 2004 | FINRA | $250,000 |
| AXA Advisors, LLC | investor protection violation | 2004 | FINRA | $250,000 |
| The Equitable Life Assurance Society of the United States | insurance violation | 2003 | FL-OFR | $1,600,000 |
| AXA Equitable Life Insurance Co. et al. | insurance violation | 2016 | MN-FIN | $900,000 |
| AXA Equitable Life Insurance Co. | insurance violation | 2016 | MN-FIN | $5,000 |
| AXA Advisors, LLC | investor protection violation | 2010 | MO-SEC | $92,015 |
| AXA Equitable Life & Annuity Co. | insurance violation | 2016 | MT-FIN | $5,000 |
| Alliance Capital Management | investor protection violation | 2003 | NY-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 |
| AXA Equitable Life Insurance Company | insurance violation | 2012 | NY-AG | $850,000 |
| AXA Equitable Life Insurance Company | insurance violation | 2010 | NY-DFS | $1,900,000 |
| AXA Equitable | insurance violation | 2014 | NY-DFS | $20,000,000 |
| Equitable Life and Casualty Insurance Company | insurance violation | 2002 | OR-FIN | $25,000 |
| AXA Advisors LLC | investor protection violation | 2011 | OR-FIN | $80,000 |
| Alliance Capital Management L.P. | investor protection violation | 2003 | SEC | $250,000,000 |
| AXA Advisors, LLC | investor protection violation | 2012 | SEC | $100,000 |
| AXA Advisors, LLC | investor protection violation | 2009 | SEC | $50,000 |
| AllianceBernstein, L.P. | investor protection violation | 2007 | SEC | $450,000 |
| AXA Advisors, LLC | investor protection violation | 2019 | SEC | $1,134,152 |
| Equitable Financial Life Insurance Company | investor protection violation | 2022 | SEC | $50,000,000 |
| Equitable Life & Casualty Insurance Company | wage and hour violation | 2008 | WHD | $19,445 |
| AXA Equitable Life Insurance Company | wage and hour violation | 2006 | WHD | $29,534 |
