Will my U-4 Form be approved by the SEC with misdomeanors?

I had a DUI, 2 noise ordinance violations, 2 Alcohol intox violations, and a marijuana possession in a state I don't and have never lived in. Would I ever be able to trade securities? ...





I had a DUI, 2 noise ordinance violations, 2 Alcohol intox violations, and a marijuana possession in a state I don't and have never lived in. Would I ever be able to trade securities?

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Posted in Marijuana DUI

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One Response to “Will my U-4 Form be approved by the SEC with misdomeanors?”

  1. Supra1Q says:
    June 4, 2010 at 4:10 am

    yes.

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