DISCIPLINED PERSONS LIST
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| Name | Gartland, Douglas James |
|---|---|
| Date of Order or Settlement | January 7, 2000 |
| 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 |
| Payment Agreed / Ordered | $20,000 plus $5,000 in costs |
| Violation |
Failure to comply with the "Know Your Client" rule Failure to disclose a possible conflict of interest |
| Ruling Body | BCSC |
| Supporting Documents |
Settlement/Order 
|
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