Receiving rental income on the list of outside activities not disclosed to firm.
Regulator levies $15,000 in penalties and costs.
Research shows positive performance in October and November helped full year results.
President’s List for October 2022 sitting of the Certified Financial Planner exam announced.
Inflation, interest rates and recession also of concern, according to survey.
Billing errors between 2014 and 2021 refunded to clients and self-reported to enforcement staff.
Regulator says he failed in his gatekeeper obligations.