Howdy,

I recently had a couple of phone interviews with a large investment firm that seem to have gone well. They just emailed me an application packet and want it returned ASAP. I got myself into trouble a bit in college (1995-2000) and this is what I recall:

-Assault in San Antonio
-At least one Public Intoxication in College Station, maybe 2
-Fighting on Northgate

Unfortunately I don't have records for any of these but I know they were misdemeanors.

I don't know if they were technically convictions or if I plead guilty, no contest, etc. I don't know if there were arrangements for them not to appear on my record or if that even matters.

I also had one issue shortly after college. I got a DUI or DWI in New Iberia, Louisiana. This was a misdemeanor and the punishment/cost at the time was very light compared to Texas. From what I recall, as long as it didn't happen again it would be as if it never happened and wouldn't appear on any record. However I don't know how true that is and how it applies to a criminal background check for employment.

So I need to figure out all this fast and need advice. Can anyone help?

Here are the sections I'm concerned with:

Application-



Authorization and Release-





[This message has been edited by Mr. Snerdley (edited 2/8/2013 12:42p).]

You need to disclose everything. If Finra uncovers something in a background check that you haven't disclosed you are going to have problems. Non of those offenses should preclude you from becoming licensed, they are more concerned with crimes of moral turpitude. Not sure what your prospective employer's policy is though.

You should be able to run a background check on yourself at like backgroundchecks.com or something to see if it comes up.

If you can't do that or you don't know for sure these are off your record, I would list everything. If something comes up that you do not list you could end up getting an offer rescinded. We had a candidate that we had to rescind an offer because he ended up with a DWI that he did not put on his application.

We would have hired him with a DWI on his background, but in not disclosing it, the company considered it a falsification on his application.

That is not every companies policy, but better safe than sorry. (In my opinion)

Is there a time frame they asked about? last 5 years? 10? everything

No time frame listed, just as listed in the images above.

I don't know exactly when these things happened or if they are a considered convictions or what the disposition was.

Is there a reputable "one-stop" site that I can get all this from?

Google justice web for brazos county. Type your name in.

Bexar county may have something similar

I would follow the advice above about disclosing everything. Also did you serve any jail time? You might be ok if the answer is no.

No time served. Fines, community service, probation, and alcohol/anger programs, yes.

I did a lot of calling yesterday and I am confident this the complete list:

1997 - Assault with Bodily Injury, Class A Misdemeanor, received Deferred Adjudication

1999 - Public Intoxication

2001 - Disorderly Conduct

2002 - OWI (same as DWI in LA as I understand). They did tell me I plead guilty under article 894. Quick search results on article 894:

http://thomasvalonzo.com/blog/2010/11/article-893-894-pleas-for-louisiana-first-time-offenders/

http://brcc.brgov.com/Forms%20IS%20Permissions/TrafficInteractivePDFs/Article%20894%20Guidelines.pdf


My buddy tells me not to list the Assault because Deferred Adjudication is not a conviction. He also says not to list the OWI because article 894 dismissal is not a conviction either. These may show up on arrest records but are not convictions and the application is specifically asking for convictions.

Thoughts?


[This message has been edited by Mr. Snerdley (edited 2/9/2013 7:37p).]

Maybe this will help:

http://www.finra.org/ArbitrationAndMediation/Arbitrators/Responsibilites/DisqualificationCriteria/

Thank you but no, that doesn't help.

The criminal disclosure part of the FINRA application only deals with felonies or misdemeanors involving "investments or an investment-related business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses" so I'm okay there.

In retrospect I shouldn't have listed FINRA in the subject line. It's just the application specific to the employer I am concerned with.

Are you asking for advice on what you should put on that application, or if your record will disqualify you from employment? I am in HR with my current company. We, and most companies, check for felonies/misdemeanors for generally drugs, theft, or violence. While one misdemeanor assault may or may not pass their background, typically several misdemeanors wont. Some companies are different and only care if you have a previous felony. I would double check if your cases were dismissed or if you received deferred. Someone told me that an employer cannot discriminate against your background if your case was dismissed or if you received deferred. Hope this helps.

I am specifically asking what I should put. Based on the information I have and the advice I have been given I'm thinking I will only list 2 of the 4. If the question was asking about arrests that would be a different situation. But if we are talking about convictions I think I'm okay. At this point I guess I'm looking for reasons my line of thinking is wrong.

I would say that you should not list the crime that was deferred. However, you should list the crime if you did not have it expunged from your record. Individuals must understand that they have to have the case expunged once the probated sentence is completed successfully--otherwise it will comeback on a background check.

You must also list the OWI. If you're job does not involve driving a company vehicle, this should not pose too much of a problem. I would also list the P.I's and disorderly conduct.

My advice to you is that honesty is absolutely positively the best policy in this case. Good luck to you.

Semper Fi

quote:

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You should be able to run a background check on yourself at like backgroundchecks.com or something to see if it comes up.

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FINRA background checks - unlike every other check - run your prints through the FBI computer. All cases/arrests will show up including things expunged. Just be careful you answer each question correctly.

And, like Stan said, FINRA only cares if you stole money or lied in the recent future.

quote:

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I would say that you should not list the crime that was deferred. However, you should list the crime if you did not have it expunged from your record. Individuals must understand that they have to have the case expunged once the probated sentence is completed successfully--otherwise it will comeback on a background check.

You must also list the OWI. If you're job does not involve driving a company vehicle, this should not pose too much of a problem. I would also list the P.I's and disorderly conduct.

My advice to you is that honesty is absolutely positively the best policy in this case. Good luck to you.

Semper Fi

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This seems contradictory. You are saying even though I received deferred for the assault I should list it as a conviction because it wasn't expunged? Same for the article 894/OWI?

I agree that honesty is the best policy but you seem to be advocating volunteering more info than is asked.

Am I wrong? I am trying to take the question about convictions at face value.

[This message has been edited by Mr. Snerdley (edited 2/11/2013 3:44p).]

Well, if they were not expunged from your record they are still accessible and if you did not disclose it, then it maybe construed that you were being dishonest.

I have seen some instances where employers state that there is no need to list deferred sentences. You may just need to check and see if you had the assault and OWI charges expunged.

Semper Fi

Just disclose everything, tell them you got into a little stupid trouble in college with some of your fraternity brothers. I work in finance, trust me this will work we are all mostly drunks anyway. seriously though you will be fine if you disclose and you might be fine if you don't but there's no reason to risk it and no reason to not get a good job for lying about things in you background that if disclosed wouldn't prevent you from being hired.

[This message has been edited by Barryprofit (edited 2/12/2013 6:14a).]

How do you not remember exactly what happened in each of these cases?

If they truly wanted it back ASAP, you should probably make up your mind as you have had at least 4 days to complete it.

Good Luck

I sent it in last night listing just the two. I am good with this and am totally comfortable discussing the other two should they come up. And I am comfortable explaining they were not listed because they are not convictions.

As far as not remembering... this was well over 10 years ago when I lived life very recklessly without thought of the future. Hell, I didn't expect to make it past 30.

Things have obviously changed. I have a wife and two kids and the person I was in past is so foreign to me now it doesn't seem like it even happened.

Bet you have some good stories though.

People change, I would be upfront about it.