John Knox Goodwin

10/04/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN KNOX GOODWIN (CRD No. 712634), Respondent. Expedited Proceeding No. ARB230012 STAR No. 20230791661 Hearing Officer—MJD EXPEDITED DECISION October 4, 2023 Respondent failed to pay a $24,000 arbitration award and failed to prove that he had a bona fide inability to pay or make a meaningful payment toward the award. Respondent is therefore suspended from associating with any FINRA member in any capacity. Appearances For the Complainant: Michelle Galloway, Esq., Michael P. Manning, Esq., and Jennifer L. Crawford, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: Pro Se DECISION I. Introduction Respondent John Knox Goodwin failed to pay a FINRA arbitration award in the amount of $24,000 (the “Award”) entered against him in favor of a former employer. As a result, FINRA sent Goodwin a notice informing him that he would be suspended from associating with any FI

Reference ARB230012finra.orgdata-portal.finra.org