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N Cal Attorney
N Cal Attorney, Lawyer
Category: Employment Law
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Experience:  Since 1983
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I'm trying to find a language in Finra manual that says that

Customer Question

Hi I'm trying to find a language in Finra manual that says that DUI is not reportable DUI midemeanor
Submitted: 8 months ago.
Category: Employment Law
Expert:  Alex Esquire replied 8 months ago.

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 customers with correct answers, even when answer is not favorable to the customer.

I wish you the best of luck and good luck!

Customer: replied 8 months 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?
Expert:  Alex Esquire replied 8 months 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?

Customer: replied 8 months 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
Expert:  Alex Esquire replied 8 months 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?

Customer: replied 8 months ago.
wrong thread Alex, that was not my question
Expert:  Alex Esquire replied 8 months 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?

Customer: replied 8 months ago.
I hold series 7,63 and series 79. First time DUI charge, not convicted as of yet
Expert:  Alex Esquire replied 8 months 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 legal professionals for review.

Thank you and I wish you the best of luck!

Expert:  N Cal Attorney replied 8 months ago.

New Expert here.

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

I hope this information is helpful.

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