NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Alan Goings
AWC/2010024810401

Goings willfully failed to amend his Form U4 to disclose material facts, which resulted in it containing inaccurate, false and materially misleading information. Goings knew, or should have known, that he was required to update his Form U4 to disclose the material information. Goings completed statements certifying that he would notify his member firm and promptly update his Form U4 if he were arrested or charged with any criminal offense; Goings also attended his firm’s quarterly compliance meeting where Form U4 disclosures were discussed. Goings stated in a compliance meeting that he did not disclose the information because he was concerned about losing his job.

Alan Goings: Fined $5,000; Suspended 6 months