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Fake ID Charge

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Oct 12, 2011 4:26 pm

 I have been cited for several different alcohol related misdemeanors since high school (public intoxication, underage possession of alcohol, possession of a fake ID). I am most concerned about the fake ID situation, however it was a low level misdemeanor charge not a felony. To further complicate my situation, I recently received and accepted a FA position at a large firm and when filling out the background screening information there was a question asking if I had been charged or convicted of a misdemeanor involving "forgery, fraud, perjury, theft, extortion, counterfeiting, check-kiting, etc".... well I answered NO and didn't think anything of it until I read this blog. So, my question is: how will all of this affect me? Thank you in advance for your help.

Oct 13, 2011 3:05 am

I usually don't get into some of these posts, but Christ Almighty, can't our industry do better than this? It's no wonder we're being regulated to death. Someone who was okay with fake ID's (and multiple convictions to boot, meaning the rule of law isn't high on this guy's list), getting the chance to handle elderly people's money. We deserve all the oversight we can get with crap like this.

I am not one to say there is no redemption for people, and none of us are perfect, but we have GOT to hold our collective standards higher as an industry. In all fairness, your past should have excluded you from serious consideration during the interview process. No wonder we're viewed with so much contempt.

End of rant.

Now, to answer your question, I would believe it IS going to present a problem. You got one chance to come clean on your background when you completed your U4. They didn't expect you to be a saint in your past, but they did expect full and total disclosure now. It might have been an oversight, but I highly doubt it'll be given a pass, considering all the fun stuff they get to read on your background report.

I wish you well, man, but don't be surprised if your firm "86-es" you for that oversight.