FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072352301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James E. Simpson (Respondent) Former General Securities Representative CRD No. 424828 Pursuant to FINRA Rule 9216, Respondent James E. Simpson (Simpson) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted