Tr?id=566623520170033&ev=PageView&noscript=1

ÍøÆØ³Ô¹Ï

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 ÍøÆØ³Ô¹Ï.

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.

ÍøÆØ³Ô¹Ï 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
Quotes Bigger

As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.

Bill C. and Dan M.

LATEST NEWS AND ARTICLES

1783957061 Law
July 13, 2026
FINRA Warns of Growing Risks From Finfluencers and AI-Driven Investment Content

Financial Industry Regulatory Authority (FINRA) regulators are raising concerns about the increasing influence of social media personalities and artificial intelligence (AI) on retail investors, particularly those managing their own investments without professional guidance.

1783615970 Law
July 9, 2026
FINRA Suspends Former Branch Manager for Supervisory Failures Linked to Excessive Trading and Churning

A former regional branch manager at a broker-dealer has agreed to Financial Industry Regulatory Authority (FINRA) sanctions after the regulator found that he failed to supervise registered representatives who engaged in excessive trading and churning of customer accounts.

1783525964 Law
July 8, 2026
SEC Sanctions David Lerner Associates for Regulation Best Interest Violations

David Lerner Associates has agreed to settle Securities and Exchange (SEC) charges alleging violations of Regulation Best Interest (Reg BI) that resulted in unnecessary costs to retail investors, according to InvestmentNews.