Which of the following Form U4 reportable events leads to a statutory disqualification?

A felony conviction for a DUI charge leads to statutory disqualification because statutory disqualifications are prescribed by the Securities Exchange Act of 1934, which stipulates that certain criminal convictions can result in an individual being barred from association with any financial institution. A felony conviction is particularly significant in this context, as it signifies a serious breach of law that reflects negatively on a person's ability to conduct business in the securities industry.

In this case, a DUI conviction is classified as a felony and therefore falls under the criteria of being reportable on Form U4, leading to disqualification from employment in the industry. This is essential for maintaining the integrity of the financial services sector, as individuals with felony backgrounds may pose a higher risk to investors and the market.

Other events listed, while reportable on Form U4, do not lead to statutory disqualification. For instance, a suspended license for trading may affect an individual's ability to operate but does not automatically disqualify them under the statutory guidelines. Similarly, civil lawsuits and financial advisory complaints may reflect reputational damage or result in regulatory scrutiny, but they do not constitute statutory disqualifying events under the law.