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Regulatory Actions Covered By This Website

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The new records added to the website are listed in an alphabetical order.

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

ENTITY

ABCDEFGHIJKLMNOPQRSTUVWXYZALL

S. NO. ENTITY PERSON COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1.
History of entity/person A.C.CHOKSI SHARE BROKERS PVT.LTD.     
BSE  DID NOT DELIVER SHARES  CLAIM ADMITTED

DIRECTED TO DELIVER SHARES
AWARD AMOUNT: RS.10,000

05-JUN-2009
COMPANY VIDE TRANSACTION STATEMENT DATED 08/06/2009 DELIVERED 40 SHARES OF JAI CORP.LTD. AND PAID RS.10,250.00 VIDE CHEQUE NO.529437 DATED 08/06/2009 DRAWN ON AXIS BANK TO MR.GIRDHAR B.VAISHNAV
2.
History of entity/person ABHI CAPITAL SERVICES LTD.     
SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF & ON MARKET TRANSACTIONS IN SCRIP OF RICHA INDUSTRIES LTD.  IMPOSED PENALTY RS.6,00,000

19-MAY-2015
3.
History of entity/person ACCLAIM INDUSTRIES LTD.     
BSE  DID NOT COMPLY WITH LISTING AGREEMENT  COMPANIES SUSPENDED FOR TRADING FROM 15-MAY-2015

23-APR-2015
4.
History of entity/person ADAM CAPITAL 

(Sub-Broker of ANAND RATHI SHARE & STOCK BROKERS LTD. , Member : BSE)    
History of entity/person ARVIND DESHWAL
SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

01-MAR-2015
5.
History of entity/person ADAM CAPITAL 

(Sub-Broker of ANAND RATHI SHARE & STOCK BROKERS LTD. , Member : NSE)    
History of entity/person ARVIND DESHWAL
SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

01-MAR-2015
6.
History of entity/person AFTEK LTD.     
BSE  DID NOT COMPLY WITH LISTING AGREEMENT  COMPANIES SUSPENDED FOR TRADING FROM 15-MAY-2015

23-APR-2015
7.
History of entity/person AJAY KUMAR KAPOOR (HUF)     
SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF & ON MARKET TRANSACTIONS IN SCRIP OF RICHA INDUSTRIES LTD.  IMPOSED PENALTY RS.5,00,000

19-MAY-2015
8.
History of entity/person ALMONDZ ENTERTAINMENT PVT.LTD.     
SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF & ON MARKET TRANSACTIONS IN SCRIP OF RICHA INDUSTRIES LTD.  IMPOSED PENALTY RS.5,00,000

19-MAY-2015
9.
History of entity/person ALPESH RAMESHBHAI BHATTI,M/S 

(Sub-Broker of DANI SHARES & STOCKS PVT.LTD. , Member : NSE)    
History of entity/person ALPESH RAMESHBHAI BHATTI
SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

05-MAR-2015
10.
History of entity/person AMIT ARRAWATIA,M/S 

(Sub-Broker of ANAND RATHI SHARE & STOCK BROKERS LTD. , Member : NSE)    
History of entity/person AMIT ARRAWATIA
SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

01-MAR-2015
11.
History of entity/person AMRITA MUNDHRA,M/S 

(Sub-Broker of ANAND RATHI SHARE & STOCK BROKERS LTD. , Member : BSE)    
History of entity/person AMRITA MUNDHRA
SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

01-MAR-2015
12.
History of entity/person ANJALI SUPPLIERS PVT.LTD.     
SEBI  MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER OF PINE ANIMATION LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2015 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2015 TILL FURTHER ORDERS

08-MAY-2015
13.
History of entity/person ANKIT GOEL,M/S 

(Sub-Broker of ANAND RATHI SHARE & STOCK BROKERS LTD. , Member : BSE)    
History of entity/person ANKIT GOEL
SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

01-MAR-2015
14.
History of entity/person ANKUSH GUPTA,M/S 

(Sub-Broker of ANAND RATHI SHARE & STOCK BROKERS LTD. , Member : NSE)    
History of entity/person ANKUSH GUPTA
SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

01-MAR-2015
15.
History of entity/person ANKUSH GUPTA,M/S 

(Sub-Broker of ANAND RATHI SHARE & STOCK BROKERS LTD. , Member : BSE)    
History of entity/person ANKUSH GUPTA
SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

01-MAR-2015
16.
History of entity/person ANKUSH R.BIRADAR,M/S 

(Sub-Broker of ANAND RATHI SHARE & STOCK BROKERS LTD. , Member : NSE)    
History of entity/person ANKUSH R.BIRADAR
SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

01-MAR-2015
17.
History of entity/person ANTARYAMINI TRADERS PVT.LTD.     
SEBI  MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER OF PINE ANIMATION LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2015 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2015 TILL FURTHER ORDERS

08-MAY-2015
18.
History of entity/person APEX COMMOTRADE PVT.LTD.     
SEBI  MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER OF PINE ANIMATION LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2015 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2015 TILL FURTHER ORDERS

08-MAY-2015
19.
History of entity/person ARIHANT INDUSTRIES LTD. 

(Old Name : ARIHANT FABRICS LTD.)    
NSDL  HIGH PENDING DEMAT REQUESTS  PUT UP ON NSDL WEBSITE FOR PUBLIC NOTICE

08-MAY-2015
NOT APPEARING IN THE LIST DATED 15/05/2015
20.
History of entity/person ASHOK DEVI PRASAD TULSYAN,M/S 

(Sub-Broker of ANUGRAH STOCK & BROKING PVT.LTD. , Member : BSE)    
History of entity/person ASHOK DEVI PRASAD TULSYAN
SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

30-JAN-2015

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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