Legal Question in Employment Law in New York

Question regarding background checks and perspective employment

Hope someone can answer this.

I've been an independent contractor for some time in the Information Technology field. I've been presented an offer to go back to a former client (I was there as a contractor in 1999 and 2000) for a long term assignment. I was brought into this firm through a merger from another. I was at the acquired firm, and through the interview process, I was brought into the buying firm.

The original firm did a background check, and accepted my two misdeameanors from 1990 and 1991 respectively. But there wasn't any background check done when the merger happened. I was just brought in, and started working.

I left there on a positive note in August 2001.

Here's my questions

Since this firm is a large investment bank, what are the labor laws that govern decisions made on background checks? SEC or NYS?

If I accept the contractual offer (I'm going to be a contractor on site at the firm, through a service agency) there will be a drug test and background check actioned. I am willing to disclose the convictions on the forms, is there any other actions I should do to alert them to this or let it go through the process and let them question me about it? I'm willing to pay for consultation.


Asked on 9/22/05, 1:04 pm

1 Answer from Attorneys
Mark S. Moroknek Kelly & Curtis, PLLC.

Re: Question regarding background checks and perspective employment

Hi, I can help you with this but I am not exactly clear on what you want? Are you asking should you volunteer conviction information to the company who is asking you for drug testing?

They most likely have your application records from the prior bank, before the merger , no?

Depending on your position (which I am sure you know) there are disclosure requirements for certain professions. That would be toward the exhange, and other required agencies.

But as an IC I think they either know or will ask

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Answered on 9/23/05, 2:38 pm


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