California  |  Securities Law

Legal Question

Asked on: 4/22/13, 10:36 am

I got arrested in NY for a drug charge but the case was dismissed - adjournment in contemplation of dismissal (ACD). I am applying for a job at Merrill Lynch, will this show up if they ask if i have ever been arrested?

Also, when I go to take the series 7 certification exam, they do a fingerprint background check, will this effect me in any way? how can i deal with this?

1 Answer


Answered on: 4/22/13, 11:00 am by Bryan Whipple

A New York lawyer would have to comment upon whether an arrest followed by a dismissal (and no conviction) would show up, but if asked, you should mention the arrest but follow up by stressing that you weren't convicted (if that's accurate). I'd hope that the securities industry still adheres to the philosophy that one is innocent until proven guilty. However, you'll risk creating a problem for yourself unless you own up to the arrest.


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Bryan R. R. Whipple, Attorney at Law P O Box 318 Tomales, CA 94971-0318

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