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I was recently arrested for domestic violence. The DA

reduced the charge to a...
I was recently arrested for domestic violence. The DA reduced the charge to a disorderly conduct violation. Do I need to report this on my U4?
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Answered in 11 minutes by:
5/14/2013
Marsha411JD
Marsha411JD, Lawyer
Category: Criminal Law
Satisfied Customers: 20,554
Experience: Licensed attorney with 29 yrs. exp. in criminal law
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Hello,

Thank you for the information and your question. Unless the original domestic violence charge was for a felony, you will not have to report the arrest on your U4. Only felony charges must be reported. Otherwise only felony and misdemeanor convictions that are related fraud, dishonest, etc., must be report. If you take a look at section 14, you can see what I am referring to. You can take a look at the form here: http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p015112.pdf

If you need any clarification. I would be glad to assist you further if I can.
Marsha411JD
Marsha411JD, Lawyer
Category: Criminal Law
Satisfied Customers: 20,554
Experience: Licensed attorney with 29 yrs. exp. in criminal law
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Customer reply replied 4 years ago

the original charge was a misdemeanor..so that would mean i don't have to report it..just to clarify..right?

that is correct. No need to answer yes to any of the arrest or conviction questions on the U4.
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Marsha411JD
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