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Law Educator, Esq.
Law Educator, Esq., Attorney
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Do I have disclose gross misdermeanor DUI charge refusal

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Do I have disclose gross misdermeanor DUI charge refusal to submit to chemical test and misdemeanor charge dwi in an amended u-4 i am in mn
Thank you for your question. I look forward to working with you to provide you the information you are seeking.

Directly from the FINRA manual, non-reportable 14B misdemeanors on the U-4 are:

Examples of non-reportable misdemeanor events include, but are not limited to:
• Gambling
Drug related offenses
Driving Under the Influence
• Driving While Intoxicated

• Traffic offenses
• Sexual assault
• Assault and battery
• Failure to file income tax

See: CRD User Manual Chapter 13, Disclosures

Thus, your DUI and refusal to submit would be non-reportable 14B misdemeanors on your U-4.

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Customer: replied 4 years ago.
Per the definition of terms on the u4


Felony- for jurisdictions that do not differentiate between felony or misdermeanor felony is an offense punushiable by a sentence of a least one year and/ or a fine of 1000

The refusal charge in MN is a gross misdemeanor as defined with a maximum sentence not to exceed one year and a fine not to exceed 1000.

How do you read this language? The charge in my jurisdiction is defined as a gross misdermeanor but in some other jurisdictions finra could consider it a felony per the max punishment and fine
There is a definition of a felony under federal law, which is any crime punishable by MORE than one year in jail. The manual is referring to states like Pennsylvania that has misdemeanors that have sentences for up to 5 years in jail.

Thus, you having a gross misdemeanor that is not punishable by MORE than 1 year in jail it is still a misdemeanor and not reportable.
Customer: replied 4 years ago.
I mis typed the max fine for the gross misdermeanor. refuse to submit to chemical test. it is max of $3000.

Does the max fine amt change whether or not it reportablble given your interpretation of the u4 term definitions?
No, the fine has nothing to do with the charge being a non-reportable 14B misdemeanor or not. It is purely the jail sentence that determines whether it is a felony or misdemeanor.
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Customer: replied 4 years ago.
thanks for your help
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