FINRA Bars Former Northwestern Mutual Advisor For Allegedly Cheating on CFP Exam

Posted on December 7th, 2022 at 1:52 PM
FINRA Bars Former Northwestern Mutual Advisor For Allegedly Cheating on CFP Exam

From the Desk of Jim Eccleston at Eccleston Law.

The Financial Industry Regulatory Authority (FINRA) has barred a former Northwestern Mutual advisor after he failed to cooperate with the regulator’s probe into the Certified Financial Planner Board of Standards’ (CFP Board’s) decision to bar the advisor for alleged “exam misconduct.”

The former Northwestern Mutual advisor, Brandon Self, consented to the bar without admitting or denying any of FINRA’s investigatory findings. According to the CFP Board, Self engaged in exam misconduct by joining a GroupMe chat group titled “March 2021 CFP Exam” where “on five separate occasions he solicited assistance from group chat members who had already taken” the March 2021 CFP Exam by requesting information about examination questions.

Self “knowingly gained an advantage over other March 2021 CFP Exam-takers when he studied topics based on the information he received from those individuals who had taken” the exam previously, according to the CFP Board. The CFP Board issued an administrative order in May 2022 permanently barring Self from obtaining the CFP certification marks after Self failed to file an answer to a CFP Board complaint alleging exam misconduct following the March 2021 CFP Exam.

Eccleston Law LLC represents investors and financial advisors nationwide in securities, employment, regulatory and disciplinary matters before FINRA and the CFP Board.

Tags: eccleston, eccleston law, advisors, law, finra

Return to Archive

TESTIMONIALS

Previous
Next

I cannot thank you enough for your guidance. It's a good feeling knowing someone is fighting for you.

Matt J.

LATEST NEWS AND ARTICLES

October 29, 2025
FINRA Foundation Study Reveals Alarming Investor Susceptibility to Fraudulent Offers

The FINRA Investor Education Foundation (FINRA Foundation) has released preliminary findings from its upcoming report, Investors in the United States: A Report of the National Financial Capability Study.

October 28, 2025
UBS Seeks Court Order Against $1.4 Billion Florida Advisory Team Over Client Solicitation Allegations

UBS Wealth Management USA has filed a lawsuit and requested a temporary restraining order (TRO) against a $1.4 billion advisory team that recently departed to join Elevation Point, a West Palm Beach-based registered investment advisor launched just 15 months ago.

October 27, 2025
FINRA Panel Orders Charles Schwab to Pay Damages Over Structured Product Losses Sold by Vora Wealth Management

A three-person FINRA arbitration panel ordered Charles Schwab & Co. to pay $165,440 in compensatory damages to a former client of Vora Wealth Management, after losses tied to complex structured products.