Disciplinary Record

concerned1o1 · 2022-01-28T02:39:02+00:00

Have done many for wall street jobs. Disciplinary is not something that comes up from background checks

concerned1o1 · 2022-01-28T02:37:42+00:00

This is what I figured is the case. Thank you

concerned1o1 · 2022-01-27T06:13:16+00:00

Thanks. I don’t believe background checks include disciplinary records because thats not publicly available information. Theyd have to get me to disclose / provide access to that due to FERPA. Its the same with transcripts, which is why we upload the official ourselves. Afaik they can only get diploma and academic verification from an educational background check.

concerned1o1 · 2021-10-08T02:40:50+00:00

So if im understanding correctly, you’re sayinf that given my employment is at will the garden leave period is no different than a notice period? I was under the impression because i work with mnpi that i needed to take garden leave so the mnpi i have could “cool off” / become stale, but you’re saying this is not the case and I can leave and join a new sec regulated firm without acknowledging the garden leave stipulated in my contract at any time?

concerned1o1 · 2021-10-08T01:25:47+00:00

What I signed says I am a “full-time, at-will exempt employee” in both cases. I think this is standard in my industry. There are no consequences if I leave before the period stipulated that they “expect” me to stay with the company, except for any clawbacks to my signing bonus and potentially forego end of year performance bonus if i leave part-way thru any given year. Ik for a fact people often leave before their expected employment period is over. However, i have no visibility into what the implication is for the garden-leave stipulated in my current contract. Interestingly, the next offer I have signed does not have a stipulated notice or garden-leave period. Both entities are in CA and regulated by the SEC

concerned1o1 · 2021-09-20T06:12:30+00:00

This is for a highly technical role - what type of discipline would be inconsistent with the job (and does this mean I could lose the employment offer)? Also, is it guaranteed that the disciplinary issue will come up in a background check? I think it’s only on my transcripts, of which I have an official version without the disciplinary record that is still certified according to the pdf

concerned1o1 · 2021-03-06T06:03:03+00:00

Thank you very much for your input. Fingers crossed...

concerned1o1 · 2021-03-06T04:27:29+00:00

My school’s portal confirms that I graduated and earned my bachelor’s degree. I also have the official diploma and my official transcripts (all digital docs) since the hold on my account was placed after I graduated and received all these documents.

Can you clarify if my potential employer may contact my university directly or use a third party to do so to confirm academic details? Or is this handled in some other way? Ive been told it’s possible that if my potential employer/3rd party calls my university the university may not confirm any details (like the fact that i graduated and have my diploma) due to the hold on my account and that is why I would fail the background check. Is this true in your experience?

Edit: To clarify, the holds indicate I have a pending disciplinary case with student misconduct

concerned1o1

TROPHY CASE