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  1. #1
    Join Date
    Feb 2015
    Posts
    5

    Default How Does a Misdemeanor Conviction Affect a FINRA Background Check

    My question involves labor and employment law for the state of: ohio
    Back in September I made a poor decision to shoplift a shirt, and was arrested with a misdemeanor theft charge. The charge was reduced to Disorderly Conduct and I paid out the fine. I have just accepted a new job in the Securities Industry and will be required to be fingerprinted and pass a FINRA Background check. It is my understanding that a misdemeanor theft charge would prevent me from being able to enter this industry. My question is, since the charge was reduced to Disorderly Conduct, is it likely that I will pass the check? Assuming the application asks me to list all charges ( it just convictions), would I have to list both the theft and disorderly conduct charges or can I safely list just Disorderly Conduct ?

  2. #2
    Join Date
    Sep 2005
    Location
    Behind a Desk
    Posts
    98,846

    Default Re: How Does a Misdemeanor Conviction Affect a FINRA Background Check

    We're talking about section 14 of Form U4?

  3. #3
    Join Date
    Sep 2010
    Posts
    19,901

    Default Re: How Does a Misdemeanor Conviction Affect a FINRA Background Check

    I haven't looked at all the FINRA forms but when I filled mine out it asks not only about convictions for the classes of crimes they are concerned about but also whether you had ever been accused. Just because you plead out may not get you off the hook.

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