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I'm trying to find a language in Finra manual that says that

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Hi I'm trying to find...
Hi I'm trying to find a language in Finra manual that says that DUI is not reportable DUI midemeanor
Submitted: 1 year ago.Category: Criminal Law
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Answered in 10 minutes by:
11/22/2016
Criminal Lawyer: Alex J. Esq., Attorney at Law replied 1 year ago
Alex J. Esq.
Alex J. Esq., Attorney at Law
Category: Criminal Law
Satisfied Customers: 16,742
Experience: Experienced Licensed Attorney / Criminal Law Mentor
Verified

Hello. My name is Alex.
Thank you for your question.
I will be happy to provide you with information you are seeking for educational purposes only.

Unfortunately, any DUI has to be reported when it comes to any FINRA application or if someone is licensed by FINRA, whether DUI was a misdemeanor or a felony, that is why it wouldn't be possible to find any language in FINRA manual to the contrary.

I am very sorry to provide you with this bad news, but please understand that I do have professional obligation to provide JustAnswer.com customers with correct answers, even when answer is not favorable to the customer.

I wish you the best of luck and good luck!

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Customer reply replied 1 year ago
in the state of NJ DUI is neither a misdemeanor nor a felony. It is a traffic violation. Do I still need to report? Where can I see the language that requires me to do so?
Criminal Lawyer: Alex J. Esq., Attorney at Law replied 1 year ago

Thank you for your follow up.

Are you applying for a new license or already licensed? Which license are you applying for or hold?

Have you been convicted or just accused of this first time DUI?

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Customer reply replied 1 year ago
licensed for 10 years. series 7 and series 63 and a new investment banker series not sure what it is, was just grandfathered in. First time charged, not convicted
Criminal Lawyer: Alex J. Esq., Attorney at Law replied 1 year ago

Thank you for your follow up.

Is the title to the church legally owned by the church members or is it owned by the church's non-for-profit entity?

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Customer reply replied 1 year ago
wrong thread Alex, that was not my question
Criminal Lawyer: Alex J. Esq., Attorney at Law replied 1 year ago

Sorry for this system glitch.

Can you please tell me if you already hold a license or applying for the license with FINRA and what type of license is it?

Also, can you please tell me if this is first time DUI in NJ and if it has resulted in conviction?

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Customer reply replied 1 year ago
I hold series 7,63 and series 79. First time DUI charge, not convicted as of yet
Criminal Lawyer: Alex J. Esq., Attorney at Law replied 1 year ago

Thank you for your patience.

Unfortunately, I wasn't able to find specific information that you are seeking after conducting some research, so I will opt-out of your question at no charge to you and will open your question up for the other JustAnswer.com legal professionals for review.

Thank you and I wish you the best of luck!

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Criminal Lawyer: N Cal Attorney, Lawyer replied 1 year ago
N Cal Attorney
Category: Criminal Law
Satisfied Customers: 9,532
Experience: Since 1983
Verified

New Expert here.

Under 15 US Code § 78o(a)(4)(B) a DUI is not a basis to revoke a license under FINRA, see

http://www.finra.org/industry/statutory-disqualification-process

I hope this information is helpful.

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N Cal Attorney
N Cal Attorney
N Cal Attorney, Lawyer
Category: Criminal Law
Satisfied Customers: 9,532
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