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Apr 10, 2009 11:36 am

So, I have this friend.....and really it's not me because this problem does not apply to me....So, like I said, I have this friend and he recently applied to EDJ and was rejected because he failed his background check. 

He has a theft charge from about a year ago... he was drunk, stole something realllly stupid, and got caught....The told him at EDJ that he would not be able to get a job in the industry for at least ten years.

I have two questions.  First, is this true, and is it true for the entire industry or just EDJ?  Second, if he gets this expunged from his record does he still have to wait the ten year period, or is it not seen or not considered since it was expunged?

Any real help here would be greatly appreciated.

Apr 10, 2009 11:44 am

Was it a felony?

Apr 10, 2009 11:47 am

It would also make a difference if he disclosed it on his U-4 and to the company BEFORE the background check...If he didn't (which it sounds like he did not disclose it), then you can see the result.This would be true at any firm. If you disclose it up front and on your u-4,then you're usually OK (unless it's a felony)

Apr 10, 2009 11:55 am

Doesn't matter if it was felonious or not - he stole something. Things that are worth money, he will be picking up 100k to 500k checks from people. I wouldn't hire him if he disclosed it.

Apr 10, 2009 12:00 pm

The charge was dropped down to a misdemeanor and that was what he was convicted with. 

Apr 10, 2009 12:11 pm

.

Apr 10, 2009 1:46 pm

The drunken man's tongue is the sober mans mind

Apr 10, 2009 7:40 pm

According to the Uniform Securities Act:


Conviction of a securities related misdemeanor will preclude someone from registration for 10 years.  Conviction of a felony will preclude someone from registration forever.
 
Plus, EJ has a tendency to be a little more stringent than the law allows so as to give themselves a "cushion".
 
Yes...I just took my 66...91% BABY!!!
Apr 10, 2009 8:55 pm

Congrats - you studied 21% too hard

Apr 10, 2009 9:28 pm

20% too hard.  You need a 71% or better on the 66.

 
Congrats.  Now go to work so you don't waste your study time by failing out of the business.
Apr 11, 2009 5:06 am
Marty McFly:

According to the Uniform Securities Act:

Conviction of a securities related misdemeanor will preclude someone from registration for 10 years.  Conviction of a felony will preclude someone from registration forever.
 
Plus, EJ has a tendency to be a little more stringent than the law allows so as to give themselves a "cushion".
 
Yes...I just took my 66...91% BABY!!!


Thanks for this info.  My friend will be sad to hear it, but I appreciate your help.

Apr 11, 2009 2:46 pm

I don't know the rules, but the information given doesn't tell you anything even if it's accurate.  The quote is about a "securities related misdemenor".  It wasn't a securities related misdemeanor.

Apr 11, 2009 4:39 pm

I know a few people that have had "mistakes" in their past and were hired with proper disclosure (including at EDJ)....I would say it's a case-by case UNLESS it's securities-related.

Apr 13, 2009 12:01 am

Does anyone know if it is still viewed/ considered if it is expunged from his record?

Apr 13, 2009 10:47 am
wittking9:

Does anyone know if it is still viewed/ considered if it is expunged from his record?

Even if it is expunged, it will remain on his record.

Apr 13, 2009 12:08 pm
Oldproducer:
wittking9:

Does anyone know if it is still viewed/ considered if it is expunged from his record?

Even if it is expunged, it will remain on his record.

 
And if it doesn't, he will still have to disclose it.