Statutory Disqualification and U-4

Discussion in 'Professional Trading' started by sacramento343, Oct 19, 2006.

  1. Hi, I'm wondering if anyone has any advice/opinions on Statutory Disqualification for criminal history on the U-4 form.
    In 2000 I was charged with a misdemeanor theft, conviced and fined. There was no arrest, and the police officer gave me a "ticket", and I went to court (just like traffic court) and they gave me a fine, etc.

    I am wondering since this involves "theft, and wrongful taking of property" if this means I have no hope, and am automatically statutorily disqualified, and barred from the securities industry. Any advice is appreciated, thanks.