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Background Check (Finra) Question (New York State)

New York, NY |

I was arrested and charged with grand larceny and I pled guilty to disorderly conduct (basically, the prosecutor did not have enough evidence to prosecute me for the felony charge). I called the court and was informed the record had been sealed and that they recalled my fingerprints from the FBI. I know that the record is still there, but I recently applied for a job that requires a FINRA check, and I was wondering if this would show up? MY lawyer is clueless and I want to trust what the clerk told me about my record, but I can't. Also, I have ran several regular background checks and they have all come up clean, but I know the FBI is a different story.

Will it show up when FINRA runs their check?

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Attorney answers 4


The arrest will show up on an FBI background check (the Feds rarely, if ever, respect state law).


Very likely it will.
Although it is a non-criminal disposition, you should disclose it in an application like this.

Joseph A. Lo Piccolo, Esq.
Immediate Past President, Criminal Courts Bar Association 11'-12'
Hession Bekoff & Lo Piccolo
1103 Stewart Ave, Suite 200
Garden City, NY 11530
516-408-3666 (o) / 516-408-3833 (f)

I am a criminal defense attorney practicing in Nassau, Suffolk and New York City. The above information is not a substitution for a meeting whereas all potential legal issues can be discussed.


It is not supposed to. It is supposed to seal.

I am a former federal and State prosecutor and now handle criminal defense and personal injury/civil rights cases. Feel free to check out my web site and contact me at (212) 385-8015 or via email at The above answer is for informational purposes only and not meant as legal advice.


I handle FINRA matters regularly. My best guess is that it will show up, albeit it will show up as sealed and dismissed for failure to prosecute. You may need an attorney to jockey your registration papers through FINRA and with your new firm. Just make sure you've answered "yes" to everything that you should answer "yes" to, as the omission or lie is worse than the actual event in many cases.

Happy to assist further.

The foregoing is not legal advice nor is it in any manner whatsoever meant to create or impute an attorney/client relationship.

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