FINRA background check with an expunged record/(Discrimination Lawsuit?)
So for some background info.. when I was 18 I hung around some of the wrong people and ended up catching a misdemeanor theft charge. Went through a pre-trial avoidance program and had the entire incident erased from my record by having it (arrest & conviction) expunged and sealed. Now I'm having an employer ask me if I've ever had an expungement on a felony or misdemeanor (And if yes, to give them the case number and details). How is that legal? Doesn't that completely circumvent the point of an expungement? Also, need to turn in my fingerprint to FINRA for the U-4. I was told the record shouldn't show up, but I've heard it has for others. Not sure what to do.
Bump?
Should i move this to a different tag?
You should answer the question as though nothing ever happened. But that’s a big red flag if your employer is specifically asking about charges already expunged.
This is a major firm. I was genuinely shocked when I saw the question. It even said to answer it even if "A lawyer or Judge had told you not to". Not sure how that is in any way legal. Still waiting to hear back from FINRA.
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