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.