DWI : Need to report on U-4?

Quote from cashonly:

Knowing traders, I think that if a U-4 was turned in that DIDN'T have a DUI on it, it would raise eyebrows! :eek: :D
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That is too funny because I know of many traders and those working in the industry who have multiple DWIs....
 
Quote from JohnnyGunn:

Cash that is a ridiculous statement.

Do not report it.
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Uh-Oh... a man with a gunn without a sense of humor... we're in trouble! :p
 
Quote from John Smith:

so basically, should i report it or not? i plead guilty so the expunging doesn't apply to me.
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well which question are you going to apply it to.... in my opinion there is no applicable question where this offense would qualify. you said it is a class b misdemeanor.....i don't recall any questions where this offense would apply.
 
Quote from jungleland78:

if you pleaded gulity, it can not get expunged...
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The thread starter already said (earlier today) that he had pleaded guilty.
 
Quote from John Smith:

so basically, should i report it or not?
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Quote from ChicagoSaint:

No, it doesn't. 100% sure.
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Was I not clear? :)

I just went through NASD registration and I got a DWI in college, that's how I know.
 
so if i got hired by a prop firm (100% backed +salary etc) and needed to get S7, and i have had many convictions(simple assault, simple possestion, DUI, underage poss o alcohol etc etc.) but none of a financial nature, no theft etc. would i be well advised to get registered somewhere ELSE first? before taking the position, then re park my lisc with this firm??? so that they wont be aware of my previously illustrious lifestyle??? heheh
 
If it isn't a felony, I wouldn't report it-- however I would disclose the DWI with your employer.

Now if your offense was along the lines of theft or something similar then I would think about reporting it.

NASD isn't concerned with drunks; they're concerned about petty thieves who threaten the status quo of the institutional thieves.
 
Quote from phenomena:

so if i got hired by a prop firm (100% backed +salary etc) and needed to get S7, and i have had many convictions(simple assault, simple possestion, DUI, underage poss o alcohol etc etc.) but none of a financial nature, no theft etc. would i be well advised to get registered somewhere ELSE first? before taking the position, then re park my lisc with this firm??? so that they wont be aware of my previously illustrious lifestyle??? heheh
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no...each time you move you would have to disclose the same info with each new firm.
 
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