| S.No. |
ENTITY |
DIRECTORS/ PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BDS SHARE BROKERS PVT.LTD.
(PAN:AACCB0124D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF NAGPUR POWER & INDUSTRIES LTD.
|
IMPOSED PENALTY RS.7,00,000
09-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/05/2022 ALLOWED THE APPEAL AND QUASHED AND SET ASIDE IMPUGNED ORDER DATED 09/09/2020.NO COSTS
|
| 2 |
|
|
BHARAT H.BHAVSAR,M/S
|
|
|
|
BHARAT H.BHAVSAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.15,000
05-JAN-2009
|
|
| 3 |
|
|
HPG FINANCIAL SERVICES PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.5,00,000
12-MAY-2010
|
SAT: APPEAL FAILED AND DISMISSED. NO ORDER AS TO COSTS
|
| 4 |
|
|
HPG FINANCIAL SERVICES PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.20,000
27-JUL-2010
|
|
| 5 |
|
|
HPG FINANCIAL SERVICES PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.1,00,000
31-JAN-2011
|
|
| 6 |
|
|
MEGA MILLENNIUM SECURITIES PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS INTERMEDIARY WITHOUT SEBI REGISTRATION UNDER SECURITIES LENDING SCHEME, 1997
|
IMPOSED PENALTY RS.4,50,000
18-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 25/05/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS , DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 7 |
|
|
MPC STOCK BROKING PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUBHASH PROJECTS & MARKETING LTD.
|
IMPOSED PENALTY RS.1,20,000
28-FEB-2011
|
|
| 8 |
|
|
NORTHEAST COMMODITIES PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HINDUSTAN BIO SCIENCES LTD.
|
IMPOSED PENALTY RS.1,50,000
19-JAN-2009
|
|
| 9 |
|
|
PMJ PROPERTIES PVT.LTD.
(PAN:AABCP6791K)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.2,00,000
03-OCT-2012
|
|
| 10 |
|
|
V.S.SUNDARARAMAN,M/S
|
|
|
|
V.S.SUNDARARAMAN
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.7,50,000
11-JAN-2013
|
|
| 11 |
|
|
WINDFALL SECURITIES PVT.LTD.
(Sub-Broker of
ANGEL BROKING LTD.
, Member : BSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.20,000
17-SEP-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
