Skip navigation

Finra u4 disclosure

or Register to post new content in the forum



  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Dec 11, 2011 3:45 pm

this is in the state of nj, i was charged with disorderly persons offense of shoplifting, however i was convicted of a petty disorderly persons offense of disorderly conduct.

does this info need to be disclosed on my u4? im looking to switch firms in the next couple weeks. my attorney who is not a securities lawyer said because its NOT labeled as a "misdemeanor" under nj law i would not have to disclose this... 

please help!!!

Dec 29, 2011 4:06 pm

Though your attorney may be correct on the conviction it would appear that your CHARGE is disclosable.  As a former CCO I've seen many cases where the rep got incorrect or incomplete advice.  The Form U4 is very broad and seeks to collect all felonies, charges and convictions as well as misdemeanors that cover theft, fraud or ethics.  If you do not disclose the charge and answer the U4 NO for that question, when your fingerprints come back from the FBI your firm will see the charge even though it was downgraded to a non-misdemeanor.  That will give the firm easy and quick grounds to term you for failure to disclose.

good luck

Jan 12, 2012 3:01 am

The stu [url=]San Francisco Escort[/url] you [url=]San Francisco Escorts[/url] from seven  to three days of the attack. Parcircumstances at the time, and how they felt. To find out whether the [url=]San Francisco Asian Escort[/url] memories formed would be lasting ones, the group [url=]San Francisco Asian Escorts

[/url] participants again