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  1. #1
    Join Date
    Dec 2015
    Posts
    2

    Default Will You be Barred from a FINRA License for a Felony Charge That Was Later Dismissed

    My question involves a professional license in the state of: NY (charge was in NJ)
    I'm considering leaving my current job to attend business school with the intent of finding a job that will require me to get registered with FINRA. But I want to make sure I won't be barred based on my situation before doing so. I appreciate any insight you can give on my situation as I know I'm not DEFINITELY disqualified, but that I could be.

    About a year ago I was charged with felony Robbery and misdemeanor criminal mischief. It was a BS charge stemming from a guying lying about me as part of an insurance scam. We were able to prove what he said didn't happen so pre GJ the felony was dropped. They then agreed to drop the misdemeanor criminal mischief in favor of a petty disorderly conduct charge (the actual statute was using offensive language in public) and I then entered a 6 month conditional dismissal program for the petty disorderly conduct. After 6 months of not getting in trouble that petty disorderly conduct was dismissed. Then six months later the arrest was expunged.

    So long story short the felony robbery and criminal mischief turned into a 6 month conditional dismissal program for petty disorderly conduct which was then dismissed and the arrest was expunged. However, I know I have to answer on my U-4 that I was charged with a felony. Would a felony robbery charge that was dismissed be likely to bar me or become an issue with FINRA? Appreciate any answers in advance.

  2. #2
    Join Date
    Sep 2011
    Location
    OH10
    Posts
    17,019

    Default Re: Will You be Barred from a FINRA License for a Felony Charge That Was Later Dismis


  3. #3
    Join Date
    Sep 2010
    Posts
    19,481

    Default Re: Will You be Barred from a FINRA License for a Felony Charge That Was Later Dismis

    Once they get the U-4 they may come up with some follow up questions just respond to them promptly and truthfully.

  4. #4
    Join Date
    Dec 2015
    Posts
    2

    Default Re: Will You be Barred from a FINRA License for a Felony Charge That Was Later Dismis

    So you expect the charge, if I explain it properly, should be fine?

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