If you hold a FINRA license, an investment advisor registration, or an insurance producer license, a DWI arrest can show up on your regulatory record in ways that go well beyond the criminal case. Disclosure questions on these licenses are broad, and getting them wrong creates a separate problem on top of the DWI itself.
What Financial Professionals Need to Know
- FINRA disclosure requirements. Registered representatives are generally required to disclose criminal charges, not just convictions, on Form U4 within a short window.
- It becomes part of your public record. Disclosed events typically appear on BrokerCheck, visible to clients and employers alike.
- Insurance license disclosure. The Texas Department of Insurance has its own reporting requirements for licensed producers with similar timing pressure.
- Firm-level review. Many firms run their own internal compliance review independent of what the regulator ultimately decides.
Why Timing and Accuracy Both Matter
Missing a disclosure deadline or describing the charge inaccurately on a regulatory form can create issues that are harder to fix than the DWI case itself. Coordinating the criminal defense with what has to be disclosed, and when, protects both sides of the problem at once.
Facing a DWI With a Securities or Insurance License on the Line? Contact Blass Law Now
Contact Blass Law for a confidential case evaluation or call (713)-664-4000.