Regulatory Alerts2026-06-15
Added · Updated
Final Order — Investment Adviser/Associated Person
The Florida Office of Financial Regulation issued a Final Order against Dorothy Pratt Mannix for rendering investment advice in Florida without proper registration as an associated person of Gratus Wealth Advisors LLC. The order incorporates a Stipulation and Consent Agreement requiring Mannix to cease violations and pay an administrative fine of $8,125.00. Upon payment and entry of the order, the Office will approve Mannix's pending registration application, while Mannix waives her right to an administrative hearing or judicial appeal.
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