Disciplined List
Gartland, Douglas James
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Date of Order or Settlement:
2000-01-07
Sanction:
- An undertaking to comply with the Securities Act, Securities Rules, and all other applicable securities legislation
- An undertaking to sucessfully complete the Partners, Directors and Senior Officers Qualifying Examination by December 31, 2000
Supporting Documents:
Violation:
- Failure to comply with the "Know Your Client" rule
- Failure to disclose a possible conflict of interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$20,000 plus $5,000 in costs