According to FINRA, Brandon Self was barred from association with any FINRA member in all capacities for refusing to provide information and documents requested during a FINRA investigation.

The investigation was initiated after the Certified Financial Planner Board of Standards, Inc. (CFP Board) issued an administrative order permanently barring Self from applying for or obtaining the CFP certification marks. The CFP Board's sanction followed Self's failure to file an answer to a complaint alleging that he engaged in exam misconduct in connection with the CFP Exam.

Exam misconduct in connection with professional certification examinations is a serious matter that calls into question an individual's integrity and fitness for the financial services industry. The CFP designation is held out to the public as indicating adherence to high ethical standards and professional competence. Alleged exam misconduct undermines the integrity of the certification process.

FINRA's investigation sought to understand the circumstances surrounding the CFP Board's action and Self's fitness to remain registered. Self's refusal to provide requested information and documents prevented FINRA from fully investigating these matters and making an informed determination about appropriate action.

All registered persons must cooperate with regulatory investigations. When other regulators take action against a registered person, FINRA has a responsibility to investigate and determine what action may be necessary to protect investors. Those who refuse to provide information about such matters demonstrate unfitness for the industry.

The permanent bar protects investors from an individual who was permanently barred by the CFP Board for alleged exam misconduct and then refused to provide information to FINRA about these serious matters.