UBS background checks: misdemeanors

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May 2, 2013 11:44 pm


So I applied for a marketing position with UBS and I'm afraid of not being hired because of a misdemeanor case I have. I was not convicted of a crime, but the record has not been expunged yet, although it is qualified to. It was for disorderly intoxication last year on Halloween. I was at a bar with friends, a fight broke out, and all those right next to those people in the fight were arrested. Wrong place, wrong time for me unfortunately, and now that's ruining my life. What are the chances of UBS disregarding me completely, even if I were to explain the story? It's sad to see a good opportunity go because two drunken men couldn't handle each other and therefore ruined the lives of innocent bystanders.


May 6, 2013 5:32 pm

I would not worry about this. I am not sure if this is a even reportable. It is a misdemeanor but it not securities related and not one of the ones on the list. Even if was reportable to FINRA or your firm, I doubt anyone is going to care about your binge on Halloween.

May 6, 2013 7:51 pm

I would agree loki.
If even visible on a background check, the only time it will hurt you is if you’re up against someone with equal qualifications and they’re looking for a way to make a decision on hiring between the two of you.
Some of the stories you hear in this industry about “the good old days” make your issue a non-issue…
Be upfront with them if it comes up during the interview process, let them know you’re handling it, and leave it at that.