FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073167701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Dunn (Respondent) Former General Securities Representative CRD No. 6084258 Pursuant to FINRA Rule 9216, Respondent James Dunn submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.