| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2015 | $600,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2007 | $2,600,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2005 | $900,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2004 | $250,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2004 | $250,000 |
| Avenir Financial Group | | | investor protection violation | 2016 | $229,000 |
| Atlas One Financial Group, LLC | | | anti-money-laundering deficiencies | 2013 | $350,000 |
| Askar Corporation | | | investor protection violation | 2011 | $45,000 |
| Asensio & Company, Inc. | | | investor protection violation | 2000 | $75,000 |
| Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $10,000,000 |
| Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2015 | $278,544 |
| Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2009 | $100,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2016 | $850,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2013 | $750,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $12,300,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $1,250,000 |
| American General Securities, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $1,100,000 |
| American Funds Distributors Inc. | | | investor protection violation | 2006 | $5,000,000 |
| American Fund Distributors | | | investor protection violation | 2008 | $5,000,000 |
| American Express Financial Advisors, Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $300,000 |
| American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $700,000 |
| American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2002 | $350,000 |
| American Express Financial Advisors | Ameriprise Financial | financial services | investor protection violation | 2005 | $13,000,000 |
| Altegris Investments, Inc. | | | investor protection violation | 2003 | $175,000 |
| Alpine Securities Corporation | | | investor protection violation | 2010 | $40,000 |
| Allstate Financial Services LLC | Allstate | financial services | investor protection violation | 2004 | $150,000 |
| Allmerica Investments, Inc. | | | investor protection violation | 2001 | $15,000 |
| AllianceBernstein Investments, Inc. | Equitable Holdings | financial services | investor protection violation | 2007 | $100,000 |
| AllianceBernstein Investment Research and Management, Inc. | Equitable Holdings | financial services | investor protection violation | 2005 | $3,984,087 |
| All-Tech Direct, Inc. | | | investor protection violation | 2001 | $250,000 |
| Aegis Capital Corp. | | | anti-money-laundering deficiencies | 2018 | $550,000 |
| Aegis Capital Corp. | | | investor protection violation | 2015 | $950,000 |
| Aegis Capital Corp. | | | investor protection violation | 2001 | $19,000 |
| Aegis Capital Corp. | | | investor protection violation | 2021 | $2,800,000 |
| Advest, Inc. | | | investor protection violation | 2005 | $286,415 |
| Advantage Capital Corporation | | | investor protection violation | 2009 | $5,000 |
| Advantage Capital Corp. | | | investor protection violation | 2005 | $450,000 |
| Addison Securities, Inc. | | | investor protection violation | 2000 | $37,500 |
| Access Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
| ABN AMRO Incorporated | ABN AMRO | financial services | investor protection violation | 2005 | $220,000 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $5,890,000 |
| A&F Financial Securities, Inc. | | | investor protection violation | 2011 | $125,000 |
| 1-800DAYTRADE.COM, Inc. | | | investor protection violation | 2000 | $25,000 |
