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Nature of Inquiry: Employment Law: specifically within the realm of Finance. Jurisdiction: Massachusetts Last year a friend was arrested and charged with a felony assault and battery with a dangerous weapon (a glass cup). The case was continued without a finding. Probation is to last until mid 2013. My friend is not currently in violation of their probation. They wish to become affiliated with a FINRA self regulated organization as a registered trader and as a result they have to undergo a considerable background check. The HR department at the firm where they are applying for trade registration is uncertain of the potential outcome of a submission for hire/affiliation and recommends that they submit the paperwork and see what happens. I did a little research into the by-laws governing FINRA decisions under SEC regulations and came across this redacted statutory disqualification. The findings herein clearly indicate that someone in the position of a CWOF is not subject to statutory disqualification. While this guy had to go before the National Adjudicatory Council under NASD in order for his decision to be made, it would appear as though my friend should be able to register without facing prejudice based on this precedent. While it appears that one should be able to go through with the application, my friend does not wish to risk being barred or having to appeal. Should they return an unfavorable decision they are not currently monetarily equipped to appeal it. Any help is appreciated. IED enthusiast fucked around with this message at 05:58 on Feb 14, 2019 |
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Dec 4, 2010 10:56
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I have a scenario I have a few questions on. In this scenario Person A was arrested for underage possession of alcohol. They went through the diversion program and 6 months later after completing the program the case was dismissed and the arrest record expunged. Lets say a few years later this same person gets arrested for minor misdemeanor marijuana possession and a paraphernalia charge. Ohio drug law as far as I've been able to dig up shows the possession charge is just a citable offense that comes with a fine but the paraphernalia charge comes with a larger fine and possible jail time if the max penalty is given. Ohio I think only allows for 1 offense to be expunged. Since the first expungement was only an arrest record rather than a criminal conviction would Person A have a shot at expunging the new conviction supposing they get convicted instead of another diversion program? Would it even be possible to get into another diversion program since they already did one for the underage alcohol offense?
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Dec 4, 2010 17:17
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Jaweeeblop posted:I have a scenario I have a few questions on. In this scenario Person A was arrested for underage possession of alcohol. They went through the diversion program and 6 months later after completing the program the case was dismissed and the arrest record expunged. Lets say a few years later this same person gets arrested for minor misdemeanor marijuana possession and a paraphernalia charge. Ohio drug law as far as I've been able to dig up shows the possession charge is just a citable offense that comes with a fine but the paraphernalia charge comes with a larger fine and possible jail time if the max penalty is given. Ohio I think only allows for 1 offense to be expunged. Since the first expungement was only an arrest record rather than a criminal conviction would Person A have a shot at expunging the new conviction supposing they get convicted instead of another diversion program? Would it even be possible to get into another diversion program since they already did one for the underage alcohol offense? I am an Ohio lawyer who has handled expungements for people, and I can't answer this question without some research. I don't think you are going to get an accurate answer without hiring a lawyer.
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Dec 4, 2010 18:34
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dsfg
Nazi Zombies fucked around with this message at 22:49 on Dec 15, 2010 |
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Dec 5, 2010 19:37
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Nazi Zombies posted:Basically there is this idiot I'm forced to hang out with that I recorded singing rihanna and posted on youtube after his steadfast claim that he isn't embarrassed by it. I bolded some points in your post that stood out to me. Based on the wording you chose to use, it seems that they had previously contacted you about taking it down, and you were in the process of doing it, which I'm assuming has been over some time, even if just a day or two. Since it was still up, then they were getting frustrated and started sending additional emails, threats, etc. Either way, just take it down and be done with it.
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Dec 5, 2010 20:35
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I was charged with Intentional Destruction of Property. I live in multi story high rise and two people lives 2 floors below me. They allege they witnessed me vomit from my balcony onto a $500 patio chair. I have no idea if she is making this up, but I have in the past puked after drinking too much. There was also an incident in past where someone threw a bottle off my balcony and it landed on their patio and I got charged with littering, so these people probably don't like me much. I figure I don't stand a chance if two older women claim they witnessed me do this. Anyway, is this completely bogus? Intentional destruction for an involuntary bodily function? That seems a tad ridiculous to me. Also, would it be wise simply to offer to pay for the chair if they agree to drop criminal and civil charges? I found a sample letter related to accord, but that would seem to only satisfy any future civil complaint, not the criminal charge. This happened in Virginia.
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Dec 6, 2010 19:47
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Corsair Jr posted:I was charged with Intentional Destruction of Property. From the facts you provided, it sounds like the prosecutor might have a hard time proving that you intentionally vomited on the chair. It seems to be a class 1 misdemeanor if intentional and a class 3 if not. They might have charged you with intentional destruction on the hope that you would plea bargain for unintentional destruction. Or maybe not, who knows. Destruction of property statute: http://leg1.state.va.us/cgi-bin/legp504.exe?000+cod+18.2-137 Punishment for misdemeanors: http://leg1.state.va.us/cgi-bin/legp504.exe?000+cod+18.2-11 The person whose chair was damaged cannot choose to drop a criminal lawsuit, although if he or she asked the prosecutor to drop it, the prosecutor very well might. You should probably lawyer up.
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Dec 6, 2010 20:26
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Corsair Jr posted:I was charged with Intentional Destruction of Property. I live in multi story high rise and two people lives 2 floors below me. They allege they witnessed me vomit from my balcony onto a $500 patio chair. I have no idea if she is making this up, but I have in the past puked after drinking too much. There was also an incident in past where someone threw a bottle off my balcony and it landed on their patio and I got charged with littering, so these people probably don't like me much. I figure I don't stand a chance if two older women claim they witnessed me do this. In Virginia, voluntary intoxication is no defense to a crime (with the exception of murder). You can certainly be charged and convicted under Va. Code Section 18.2-137 for what you've been charged with. I assume 18.2-137 is the code provision that you were charged under. Under 18.2-137, you can be charged with a class 1 misdemeanor if they can prove intent, or a class 3 misdemeanor if they can only prove criminal negligence. Personally, I think you might be able to fight the "intentional" part of the crime, but that only drops you down to the class 3 misdemeanor, it doesn't get you off completely. (And you could very well be found to have "intentionally" committed the act, because in Virginia "a person is presumed to intend the immediate, direct, and necessary consequences of his voluntary act." Perhaps the prosecutor successfully argues that your vomiting off the porch was an immediate, direct, and necessary consequence of your voluntary drunkenness. Seems like a stretch to me, but you could get unlucky on that front.) You should be prepared to pay for the chair, but don't go handing out cash or checks just yet - you don't want that to be construed as an admission of guilt, when you have (at least so far) expressed doubt that you did this. And, in Virginia, even if you pay for the damage you can still be convicted of the crime and sentenced, but the judge does have discretion to dismiss the charges. Given that you have priors and your behavior is generally pretty rude, I wouldn't expect a Virginia judge to look kindly on you. You would want an attorney to argue for dismissal under the Virginia statute (Section 19.2-151) that permits a judge to dismiss charges if the defendant has paid the victim - it's entirely within the judge's discretion and you don't want to be one arguing with the judge about it. Also, understand this: if you've already been charged with a crime under Section 18.2-137, the women can't "drop the charges" - that's a movie thing. If you can get the women to submit a written statement that you have reimbursed them, that will permit the judge to dismiss the charges, but it does not require him to. Nothing the women do will bind the judge. If you care about your criminal record at all, (and you should), you should go hire a criminal defense attorney who will help strike a deal. S/he may be able to get the prosecutor to agree to drop the charges in exchange for reimbursement to the women plus some community service or something. If you roll into court without an attorney, and just expect that you'll be treated leniently because you paid for the chair, then you should think again - especially (!) if you have priors on your record. entris fucked around with this message at 21:24 on Dec 6, 2010 |
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Dec 6, 2010 20:46
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entris posted:You should be prepared to pay for the chair, but don't go handing out cash or checks just yet - you don't want that to be construed as an admission of guilt, when you have (at least so far) expressed doubt that you did this. And, in Virginia, even if you pay for the damage you can still be convicted of the crime and sentenced, so don't expect the judge to just say "Welp, he's paid up, let's just drop these charges." It doesn't happen that way here. CA has civil compromise, which allows a case to be dismissed over a prosecutor's objection, if the victim is made whole in purely property crimes (excepting domestic violence type claims)? I agree, he should talk to a criminal attorney before doing anything though.
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Dec 6, 2010 21:09
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How the hell does 'I puked on my neighbor's chair' get turned into a criminal case?
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Dec 6, 2010 21:17
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nm posted:Does VA not have something similar to a civil compromise? Good point! We do have something similar, I'll edit my post. Our statute allows the judge to exercise discretion and dismiss the charges, but it's entirely within the judge's discretion. (And in Virginia, judges tend to be good ol' boys who aren't going to look kindly at a young man with priors who vomited off his balcony.) I'm always amazed that people seem to think that victims control the prosecution process, and that victims can force the courts to drop charges. It's not the victim who is charging you, it's the state, which has an interest in pursuing justice against you regardless of what your victim wants. entris fucked around with this message at 21:25 on Dec 6, 2010 |
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Dec 6, 2010 21:21
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Solomon Grundy posted:I am an Ohio lawyer who has handled expungements for people, and I can't answer this question without some research. I don't think you are going to get an accurate answer without hiring a lawyer. Follow-up in case you are interested, I spoke with a lawyer today. Basically what he told me was after finishing the diversionary program it gets entered as not guilty for the defendant and the case is sealed. Since I was never actually convicted of anything I still have the ability to get this new charge expunged 1 year after completion of the case.  Edit: The guy in my avatar is me right now after this meeting with my lawyer. Lots of good news came out of that office. Jaweeeblop fucked around with this message at 22:47 on Dec 6, 2010 |
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Dec 6, 2010 22:44
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the littlest prince posted:How the hell does 'I puked on my neighbor's chair' get turned into a criminal case? Seriously. Is there more to this story, or what?
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Dec 6, 2010 23:03
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SWATJester posted:Seriously. Is there more to this story, or what? What more do you need? In the past someone dropped (and probably broke) a bottle on their porch and they called the police. This time he barfed on their patio furniture. The guy like to party and his neighbors aren't big fans of it.
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Dec 6, 2010 23:11
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SWATJester posted:Seriously. Is there more to this story, or what? It sounds a bit cray, but I'd guess the intentional part would come from the fact there were a lot of places he could have decided to vomit (toilet, sink, his own chair), but chose to do it over the balcony on to the neighbours patio.
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Dec 6, 2010 23:39
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ChubbyEmoBabe posted:What more do you need? In the past someone dropped (and probably broke) a bottle on their porch and they called the police. This time he barfed on their patio furniture. Yeah, that coupled with the fact they call the police whenever I have people over on my balcony (same cop comes out and threatens a noise ordinance violation, oftentimes when its before the noise ordinance comes into effect at 11PM). So basically this cop hates me and so do the women. I wouldn't be surprised if they made this whole thing up just as payback for annoying parties I have every few weeks. I need to move, but there are serious financial issues with that (unit is now worth way less than what I paid). hookerbot 5000 posted:It sounds a bit crazy, but I'd guess the intentional part would come from the fact there were a lot of places he could have decided to vomit (toilet, sink, his own chair), but chose to do it over the balcony on to the neighbours patio. I'm definitely going to lawyer up based on what entris and talibananas said (thanks guys), but I really wouldn't have many "puke options". When its cold outside and I'm smoking on my balcony, making it to a sink/toilet inside would be pretty difficult, so if I did puke it would probably be off the balcony.
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Dec 7, 2010 00:13
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I was mostly trying to figure out how this would proceed from police intervention to prosecution. Wouldn't the cops choose to go talk to the guy about it first? It sounds like he probably did it (or maybe one of his friends), so I imagine he'd be willing to reimburse his neighbors if notified. But we won't know unless he explains it, so there's little point in guessing. edit: Hah, OK, that would be the explanation, I guess. the littlest prince fucked around with this message at 00:34 on Dec 7, 2010 |
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Dec 7, 2010 00:14
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ChubbyEmoBabe posted:What more do you need? In the past someone dropped (and probably broke) a bottle on their porch and they called the police. This time he barfed on their patio furniture. The relative rarity of being prosecuted with a specific intent crime for something so minor and with such obviously unprovable intent would indicate to me that something else is going on. Typically an officer would just say "OK, well we'll take a statement and it's between you two". What did he do to piss the officer off enough that he not only gave him a written arrest, but the prosecutor actually is going through with it? Seems like there's something more to the story. Maybe someone was disrespectful to the officer on scene, maybe there is prior history between the parties, I don't know.
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Dec 7, 2010 00:20
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SWATJester posted:The relative rarity of being prosecuted with a specific intent crime for something so minor and with such obviously unprovable intent would indicate to me that something else is going on. Typically an officer would just say "OK, well we'll take a statement and it's between you two". What did he do to piss the officer off enough that he not only gave him a written arrest, but the prosecutor actually is going through with it? Second post above yours, until the guy realizes that he should remove it.
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Dec 7, 2010 00:27
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SWATJester posted:Seems like there's something more to the story. Maybe someone was disrespectful to the officer on scene, maybe there is prior history between the parties, I don't know. Read his last post. Put through the filter of 'everything has been written entirely biased in his favour'. Picture forms. Dude needs to stop throwing parties where people throw poo poo off his balcony and throw up onto the neighbour's stuff. e: PS. Corsair, it's not 'payback' when someone finally loses patience with your disrespectful and antisocial behaviour and seeks legal redress. Alchenar fucked around with this message at 00:29 on Dec 7, 2010 |
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Dec 7, 2010 00:27
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Corsair Jr posted:... I'll give you some neighborly advice. Lawyer up if you will, but maybe just apologizing for being a nuisance and not only telling them you will but actually knocking it off and realizing your neighbors deserve to live in relative peace will solve some of your legal troubles.
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Dec 7, 2010 00:43
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Alchenar posted:Read his last post. Put through the filter of 'everything has been written entirely biased in his favour'. Picture forms. When I said payback I meant they might be making this whole thing up. The only evidence I saw was a tiny picture of a roughly 2" in diameter red spot on a white cushion on a chair. It didn't look like vomit, more like someone spilled a glass of red wine or something. Also, they just replaced the cushion (which I found online for $40), and they were asking for payment on the whole chair for much more.
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Dec 7, 2010 00:46
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SWATJester posted:...Typically an officer would just say "OK, well we'll take a statement and it's between you two". What did he do to piss the officer off enough that he not only gave him a written arrest... I'm not sure who took the charge in this particular case, but, in Virginia, citizens can go to a magistrate and file a criminal complaint; criminal charges don't have to be taken by a law enforcement officer. SWATJester posted:...but the prosecutor actually is going through with it? The job of a Commonwealth's Attorney when handling citizen complaints is to keep the circus organized. I doubt he/she has any emotional investment in this case.
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Dec 7, 2010 00:48
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entris posted:Good point! That said, always, always talk to an attorney before doing this as you can gently caress yourself over if you don't know what you're doing (and doing it right will always have a 3rd party intermediary like a lawyer doing the deal making). They also know the judges, which can help a lot.
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Dec 7, 2010 00:49
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Corsair Jr posted:When I said payback I meant they might be making this whole thing up. The only evidence I saw was a tiny picture of a roughly 2" in diameter red spot on a white cushion on a chair. But you're not sure you didn't do it?
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Dec 7, 2010 01:02
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So I'm an idiot and missed the mail-in date/arraignment thingie for a speeding ticket. I just had it in my mind that the date was for the tenth, but it was for the second (of this month). My gut instinct is to just call the town tomorrow morning and see how to put this to rights, but I just wanted to check in with you guys to make sure I shouldn't like call a lawyer or something. The other, more unpleasant thing is that I had actually intended to fight this one seeing as it was 21 over, which is a huge headache in New York (and I'm sure everywhere). When I call up, should I even bother requesting a court date, or should I just be very contrite because they have me by the balls? And is there anything a local traffic attorney could do for me at this point? I had intended on looking into someone anyway, just because this is like two and a half hours away, but I don't know if that's likely to just antagonize the little town court. So yeah, this was in New York, and it was a local cop and not a trooper, if that matters. Thanks for any help you can give, guys. Edit: Never mind, guys. I just ended up calling a guy; it turns out he'll do the whole thing for about what I would've spent on gas and missed work, so the hell with it, I say. betaraywil fucked around with this message at 18:39 on Dec 7, 2010 |
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Dec 7, 2010 01:04
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I recently got a PACER account in order to do some research and since then I've been looking around just because. I'm just curious why when I click on some documents I get a "You do not have permission to view this document." and if it's an error in the system or by design. EDIT: GamingHyena posted:You know it cost 8 cents a page to view a document, right? I'm aware and i haven't spent like hundreds of dollars looking at random legal documents but it is a neat system. The SituAsian fucked around with this message at 03:21 on Dec 7, 2010 |
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Dec 7, 2010 01:32
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The SituAsian posted:I recently got a PACER account in order to do some research and since then I've been looking around just because. I'm just curious why when I click on some documents I get a "You do not have permission to view this document." and if it's an error in the system or by design. It is by design. You likely clicked on something that is sealed. Court documents can be sealed for a variety of reasons. A common reason would be a document that contains privileged information (i.e. medical records), proprietary business information (i.e. the patented formula for Coca-Cola) or criminal investigative materials (i.e. secret indicment entered while lining up warrants for further investigation).
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Dec 7, 2010 03:08
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The SituAsian posted:I recently got a PACER account in order to do some research and since then I've been looking around just because. I'm just curious why when I click on some documents I get a "You do not have permission to view this document." and if it's an error in the system or by design. You know it cost 8 cents a page to view a document, right?
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Dec 7, 2010 03:10
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GamingHyena posted:You know it cost 8 cents a page to view a document, right? It is free, really. Want to look some things up for me? 
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Dec 7, 2010 07:05
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LLCoolJD posted:I'm not sure who took the charge in this particular case, but, in Virginia, citizens can go to a magistrate and file a criminal complaint; criminal charges don't have to be taken by a law enforcement officer. I should probably study up if I'm going to waive into VA in a couple years; my background is Maryland. My broader point about the prosecutor's involvement was not about emotional involvement, but rather a full docket, with a defensible case (possibly), on some extremely minor property damage....I'm surprised they took the time. Leif. fucked around with this message at 07:50 on Dec 7, 2010 |
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Dec 7, 2010 07:48
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Nevermind.
Jesto fucked around with this message at 06:19 on Sep 12, 2014 |
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Dec 7, 2010 18:26
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I had a student loan with Sallie Mae. When the poo poo hit the fan for them a few years ago DoE took over my loan and garnished my income tax return. Now DoE has sold my account to a collection agency called CTI. They called me up on the 5th trying to collect. They offer me a deal where I would only have to pay 1/4 of the loan but it was a today only kind of deal. When I refused to give them my banking info on the grounds that they just coldcalled me and I have no idea who they were, the guy on the line said that if I didnt do it they govt would start garnishing my wages. Can the DoE do that since they sold my account to CTI? I still refused to give them my bank info, and told them I would research the company to make sure it was legit and would get back to them. Today I found out they called my employer to try and set up wage garnishment. Again are they allowed to do it? I thought for a company to garnish my wages it had to be court ordered. As far as I know I have not been sued by CTI and have not be served. Thanks in advance.
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Dec 8, 2010 07:41
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Simple question... I've got a date with a prosecutor tomorrow discussing a speeding ticket. What should I wear? A suit? Shirt and tie?
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Dec 9, 2010 16:31
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Any immigration folks around here? 10 second background: I have a friend, came here from Russia, applied for asylum, was denied, and a trial is set for 2011. He filed for his EAD a few weeks ago but Has'nt heard anything yet. He emailed me and wants to know if a future employer can apply for W-9 for him. He also wants to know if he can start working now without causing any issues for his employer. Anyone have any thoughts? It seems to me that, if you don't have your EAD, then you can't work until you receive it. commish fucked around with this message at 17:20 on Dec 9, 2010 |
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Dec 9, 2010 17:04
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manwithoutskin posted:Simple question... I've got a date with a prosecutor tomorrow discussing a speeding ticket. What should I wear? A suit? Shirt and tie? Suit if you've got it. Otherwise, shirt and tie and dress pants. And tell yourself to relax because the prosecutor probably has a trillion meetings like this a week, and probably has very little interest in screwing you over, so hopefully it will go just fine. Don't get heated or argumentative, just present your position and your understanding of the facts, and try to be as reasonable as you can. Attitude and appropriate dress will take you far.
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Dec 9, 2010 17:33
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Can someone tell me a bit about the 48-rule for warrantless arrests? When does the "timer", as it were, start and stop, and how picky are they about the actual time spent in custody? If someone spends 49 hours in police custody from the time they arrive at the station to the moment they enter the courtroom, have their rights been violated? What about 50? I understand you can sometimes go 72 hours if there's a good reason (jammed up courts or whatever), but is that the absolute maximum? I guess I'm wondering if they actually count hours spent in police custody or if just goes by day (one days is 24 hours, two is 48, etc.). I guess I'm asking about Minnesota if its relevant but I understand there was a Supreme Court ruling affecting this rule also? Edit: As long as I'm here, I was wondering: is it illegal to lie about your age on those age verification gateways come up on porn/M-rated videogame and trailers? What if you're over 18 and you lie anyway just because? Obviously its not something people actually get charged with, but I always find it funny/annoying how pointless those things are. Woozy fucked around with this message at 02:09 on Dec 10, 2010 |
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Dec 10, 2010 01:34
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SWATJester posted:My broader point about the prosecutor's involvement was not about emotional involvement, but rather a full docket, with a defensible case (possibly), on some extremely minor property damage....I'm surprised they took the time. Ah, I see what you were saying. Depending on the office, though, the prosecutor may not have to do much at all except check in with the complainant before court. A paralegal probably prepared the file, and the complainant should have filled in a request for any necessary subpoenas when they filed the criminal complaint.
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Dec 10, 2010 02:50
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commish posted:Any immigration folks around here? I am not a lawyer, but I do work in immigration. Unless he has some other basis for working (and it doesn't sound like it) he needs to wait for his EAD to come through before he starts doing anything, or he'll be making more trouble for himself. I am not sure that his employer can use the W-9 for him at all; part of the certification on the form is that he is a 'U.S. person', and seeing as he is apparently in proceedings I don't think he would qualify. There may be an alternative form that he could use (W-8) once his EAD comes through. This is way on the edge of my knowledge as we don't typically deal with contractors, he should probably consult with an employment or immigration attorney.
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Dec 10, 2010 16:02
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Here's my situation: About 4 months ago, my wife and I moved out of our rented apartment. 30 days later we get an email from the landlord saying they won't be refunding our security deposit. Okay fine, we think, and move on. 2 months after that we get a letter from the landlord/attorney's office saying we owe a couple thousand bucks for damages. There is a list, most of which is stuff that was never broken, or things that were broken/damaged when we moved in. They never did a walkthrough with us when we moved in. We did talk to a lawyer and he said that they would have to provide proof of all this stuff if they take it to court. My main question is, what should we do about the letter, and will we need a lawyer if it goes to court? Or should we try mediation or something first? State is Oklahoma.
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Dec 10, 2010 20:53
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