| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ORION BROKING SERVICES (INDIA) PVT.LTD.
(PAN:AABCO2694L)
(Member : UCX)
|
|
|
|
CINZY JOHNSON
(PAN:AHNPC5874A)
|
|
|
JOHNSON PUTHIAPARAMBIL JOSE
(PAN:AFZPJ2029Q)
|
|
DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
|
SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
|
| 2 |
|
|
ORION BROKING SERVICES (INDIA) PVT.LTD.
(PAN:AABCO2694L)
(Member : NCDEX)
|
|
|
|
CINZY JOHNSON
(PAN:AHNPC5874A)
|
|
|
JOHNSON PUTHIAPARAMBIL JOSE
(PAN:AFZPJ2029Q)
|
|
DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
|
SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
|
| 3 |
|
|
ORION BROKING SERVICES (INDIA) PVT.LTD.
(PAN:AABCO2694L)
(Member : MCX)
|
|
|
|
CINZY JOHNSON
(PAN:AHNPC5874A)
|
|
|
JOHNSON PUTHIAPARAMBIL JOSE
(PAN:AFZPJ2029Q)
|
|
DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
|
SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
|
| 4 |
|
|
ORION BROKING SERVICES (INDIA) PVT.LTD.
(PAN:AABCO2694L)
(Member : ACE)
|
|
|
|
CINZY JOHNSON
(PAN:AHNPC5874A)
|
|
|
JOHNSON PUTHIAPARAMBIL JOSE
(PAN:AFZPJ2029Q)
|
|
DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
|
SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
|
| 5 |
|
|
ORION BROKING SERVICES (INDIA) PVT.LTD.
(PAN:AABCO2694L)
(Member : NMCE)
|
|
|
|
CINZY JOHNSON
(PAN:AHNPC5874A)
|
|
|
JOHNSON PUTHIAPARAMBIL JOSE
(PAN:AFZPJ2029Q)
|
|
DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
|
SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
|
| 6 |
|
|
ORION CAPITAL & DEBT MARKET
(PAN:AACFO9456G)
(Member : MCX)
|
|
|
|
CINZY JOHNSON
(PAN:AHNPC5874A)
|
|
|
JOHNSON PUTHIAPARAMBIL JOSE
(PAN:AFZPJ2029Q)
|
|
|
JOSEPH PUTHIAPARAMBIL CHACKO
(PAN:AKUPJ0403G)
|
|
DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
|
SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
|
| 7 |
|
|
ORION CAPITAL & DEBT MARKET
(PAN:AACFO9456G)
(Member : NSE)
|
|
|
|
CINZY JOHNSON
(PAN:AHNPC5874A)
|
|
|
JOHNSON PUTHIAPARAMBIL JOSE
(PAN:AFZPJ2029Q)
|
|
|
JOSEPH PUTHIAPARAMBIL CHACKO
(PAN:AKUPJ0403G)
|
|
DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
|
SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
|
| 8 |
|
|
ORION CAPITAL & DEBT MARKET
(PAN:AACFO9456G)
(Member : BSE)
|
|
|
|
CINZY JOHNSON
(PAN:AHNPC5874A)
|
|
|
JOHNSON PUTHIAPARAMBIL JOSE
(PAN:AFZPJ2029Q)
|
|
|
JOSEPH PUTHIAPARAMBIL CHACKO
(PAN:AKUPJ0403G)
|
|
DID NOT ADHERE TO REQUIREMENTS AND CONDITIONS OF REGISTRATION VIOLATING REGULATION 9 READ WITH CLAUSES A(1),A(3),A(5) AND B(1) UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2017 TO 28-AUG-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-AUG-2017 TO 28-AUG-2027
DIRECTED NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
18-MAR-2016
|
SEBI VIDE ITS ORDER DATED 29/08/2017 1) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER ) NOT TO ALIENATE ANY ASSETS IN ANY FORM TILL THE FULL SETTLEMENT OF CLAIMS OF INVESTORS ARE EFFECTED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
