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  1. #1
    Join Date
    Aug 2008
    Posts
    5

    Question FINRA Disclosure to Employer of Criminal Record

    My question involves a background check in the State of: FLORIDA

    Hi, I wanted to know if the sole fact of FINRA (the Financial Regulatory Authority) agency that looks after those who get federally licensed to sell securities having disclosed my 1 criminal record to my employer may be grounds to sue? Disclosure of my arrest record was NOT supposed to be disclosed since the U-4 application questions only asked about securities and investment related fraud and not general questions since they wrote to me asking why I didnt disclose it which was for a DUI back in 2004. They conducted an inquiry of which took almost a month and upon their conclusion of the investigation from my response back to them that no where did it ask for general felony/misdemeanor questions besides securities related they agreed that it was not information I had to reveal. I am no longer working for the company I was with but my concern is just if FINRA may be sued for not having known beforehand that my previous arrest record would have nothing to do with securities and was never asked of anything else other than just investment type questions.

    Thanks.

  2. #2
    Join Date
    Apr 2007
    Location
    Il.(near StL,Mo.)
    Posts
    5,252

    Default Re: FINRA Disclosure to Employer of Criminal Record

    I doubt if you have anything to sue for. What damages did you suffer?

  3. #3
    Join Date
    Aug 2008
    Posts
    5

    Unhappy Re: FINRA Disclosure to Employer of Criminal Record

    Well my boss seems to have changed his mind about giving me employment after finding that out which he wasnt supposed to because I wasnt supposed to disclose that information but FINRA made it apparent and known.

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