FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jordan Palmer John (CRD No. 6924720), Respondent. Disciplinary Proceeding No. 2021071672302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Jordan Palmer John failed to respond in any way to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210. As a result, John violated FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073871001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Gingles (Respondent) Former General Securities Representative CRD No. 1332507 Pursuant to FINRA Rule 9216, Respondent James Gingles submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.