Florida Office of Financial Regulation

Rendered investment advice, from a location within Florida, without being registered by the Office.

Order

Cease and Desist

Civil and Administrative Penalty(ies)/Fine(s)

$9,375.00

On May 4, 2023, the Office of Financial Regulation (Office) entered a Final Order adopting the Stipulation and Consent Agreement in the matter of Joshua Carl Bousfield (Bousfield). Bousfield neither admitted nor denied the allegations but consented to the entry of findings by the Office. The Office found that Bousfield violated Section 517.12(4), Florida Statutes, by rendering investment advice, from a location within Florida, without being registered by the Office. Bousfield agreed to Cease and Desist from violations of Chapter 517, Florida Statutes, and the Administrative Rules adopted thereto, and to pay an administrative fine in the amount of $9,375. The Office agreed to approve Bousfield's application as an associated person (RA) with Wells Fargo Clearing Services, LLC effective May 4, 2023. This was an Administrative error by my previous Firm, Copperleaf Capital. I believed that they had taken care of all the proper filing with the state to keep me in compliance. They held my license in North Carolina where the Firm is located but failed to hold my license in the state of Florida where I was living. All CE was maintained in this time frame and I have never had any complaints or issues in my past.