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Zoey_ JD
Zoey_ JD, JustAnswer Criminal Law Mentor
Category: Criminal Law
Satisfied Customers: 26788
Experience:  Admitted to NYS Criminal defense bar in 1989. Extensive arraignment, hearing, trial experience.
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I was charged with a felony child abuse based on a malicious

Customer Question

I was charged with a felony child abuse based on a malicious prosecution by my wifes ex. He was turned away from CPS after they investigated and found no abuse, so he went and filed a false report to the commissioner and they issued charges and a warrant. After showing the CPS report to the states attorney, they entered a nolle prosequi on all felony charges. I work in the financial industry and am asked on FINRA form U4 question 14 if I have ever been charged with a felony. Can I say "no" since the charges were nolle prosequi?
Submitted: 1 year ago.
Category: Criminal Law
Expert:  PhillipsEsq replied 1 year ago.

Yes. The dismissal of charges in this fashion means that the charges would be treated as never been brought.

Customer: replied 1 year ago.
Can you find a statute or definition that I could use to support this? I am seeing cases where FINRA does not treat nolle prosequi as if charges had never been brought.
Expert:  PhillipsEsq replied 1 year ago.

I will opt out and give another Attorney the opportunity to further assist you.

Best wishes,

Expert:  Zoey_ JD replied 1 year ago.


If you were arrested on this charge and/or the charge was actually filed with the court, then your criminal record would show the felony arrest and the nolle. You would have to say yes. Even though the state found that there was not enough evidence to go forward, it would not be correct to say you'd never been charged with a felony. If Iyou failed to disclose it, FINRA would be able to see it.