Brokers and Bankers Charged with DUI
Can We Help You? Call 614-481-7215 (Everyday 7 a.m. - 10 p.m.)
If you work for JP Morgan / Chase, UBS , Merrill Lynch, J.W. Baird, Nationwide, Smith Barney, Charles Schwab or any other securities-regulated entity, get familiar with your U-4 and your Compliance Manuals. Odds are, you have 30 days to notify Compliance of your DUI arrest. The other big problem you are going to have is alcohol counseling - the NASD and SEC view 3-day programs and court-ordered alcohol facilities with disdain. The regulators and your Compliance Officers are going to have some concerns about your judgment ( drinking then driving) and whether or not you have a problem with alcohol. In the "Sarbanes-Oxley" and "Spitzer" eras, liability comes at your employers fast and furious. We don't want you viewed as a potential liability.