Regulatory Alerts2026-08-03
Added
Final Order — Investment Adviser/Associated Person
The Office of Financial Regulation adopts a Stipulation and Consent Agreement resolving an enforcement action against Joseph Frank Darpel, III for rendering investment advice in Florida without registration. Darpel agrees to cease and desist from violations of chapter 517, Florida Statutes, and pays an administrative fine of $6,000. The Office approves Darpel's pending application for registration as an associated person of Smart Steps Wealth Management, LLC, contingent upon receipt of the fine and entry of the Final Order.
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