How JustAnswer Works:
  • Ask an Expert
    Experts are full of valuable knowledge and are ready to help with any question. Credentials confirmed by a Fortune 500 verification firm.
  • Get a Professional Answer
    Via email, text message, or notification as you wait on our site.
    Ask follow up questions if you need to.
  • 100% Satisfaction Guarantee
    Rate the answer you receive.
Ask Law Educator, Esq. Your Own Question
Law Educator, Esq.
Law Educator, Esq., Attorney
Category: Employment Law
Satisfied Customers: 118085
Experience:  20+ Years of Employment Law Experience
10285032
Type Your Employment Law Question Here...
Law Educator, Esq. is online now
A new question is answered every 9 seconds

Do I have disclose gross misdermeanor DUI charge refusal

This answer was rated:

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.


Thank you so much for using JustAnswer.com. I truly aim to please you as a customer, but please keep in mind that I do not know what you already know or don't know, or with what you need help, unless you tell me. If I did not answer the question you thought you were asking, please respond with the specific question you wanted answered. PLEASE use REPLY to EXPERT if you would like more information or if you feel something was not included in your answer.

Kindly remember the ONLY WAY experts receive any credit at all for spending time with customers is if you click on OK, GOOD or EXCELLENT SERVICE even though you have made a deposit or are a subscription customer. YOU MUST COMPLETE THE RATING FOR THE EXPERT TO RECEIVE ANY CREDIT, if not the site keeps your money on deposit.

Also remember, sometimes the law does not support what we want it to support, but that is not the fault of the person answering the question, so please be courteous.


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

u2http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p116979.pdf

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.
Law Educator, Esq. and 4 other Employment Law Specialists are ready to help you
Customer: replied 4 years ago.
thanks for your help
Thank you very much. Please do not forget to click on excellent service feedback as that is the only way the experts get any credit for the time spent with customers.