| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
GAUTAMBHAI NANUBHAI JHAVERI,M/S
(PAN:ADAPJ5993J)
(Member : ASE)
|
|
|
|
RAJESH NANUBHAI JHAVERI
PAN:ADAPJ5993J
|
|
ALLEGED ENGAGEMENT IN MANIPULATIVE TRADES TO ASSIST VARIOUS PREFERENTIAL ALLOTTEES TO OFF-LOAD THEIR HOLDINGS AT JACKED UP PRICE IN SCRIP OF SWACA COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-SEP-2008 TO 03-SEP-2009
04-SEP-2008
|
|
| 182 |
|
|
GAUTAMBHAI NANUBHAI JHAVERI,M/S
(PAN:ADAPJ5993J)
(Member : ASE)
|
|
|
|
GAUTAM NANUBHAI JHAVERI
PAN:ADAPJ5993J
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.23,64,998, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,36,49,980 VIDE CONSENT ORDER)
25-JUN-2009
|
CONFIRMED INTERIM ORDER DATED 27/04/2006
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO COMPLETE ENQUIRIES BEFORE 31/10/2008.ADJUDICATION PROCEEDINGS SHOULD ALSO BE DISPOSED OF BEFORE END OF OCTOBER THIS YEAR
|
| 183 |
|
|
GEOJIT FINANCIAL SERVICES LTD.
(PAN:AABCG1935E)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 184 |
|
|
GEOJIT FINANCIAL SERVICES LTD.
(PAN:AABCG1935E)
(Member : NSE/BSE/COCSE)
|
|
|
ALLEGED INDULGENCE IN NEGOTIATED DEALS PROHIBITED VIDE SEBI CIRCULARS NO.SMDRP/POLICY/CIRCULAR-20/98 DATED 04/08/1998 AND SMDRP/POLICY/CIRCULAR-32/99 DATED 14/09/1999
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
11-AUG-2009
|
|
| 185 |
|
|
GEOMETRY VANIJYA PVT.LTD.
(PAN:AACCG6000B)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 186 |
|
|
GILL BROKING PVT.LTD.
(PAN:AAHCG0239K)
(Member : NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 187 |
|
|
GIRIRAJ STOCK BROKING PVT.LTD.
(PAN:AACCG7581R)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 188 |
|
|
GIRISH S.MEHTA
(PAN:AFMPM1006P)
|
|
|
|
ACCORD CAPITAL MARKETS LTD.
PAN:AACCA5695G
(Member : NSE)
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-SEP-2007 TO 16-SEP-2008
27-AUG-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 17-SEP-2007 TO 16-SEP-2008
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARY FOR DEBARMENT OF PROMOTERS FROM BEING PROMOTERS/DIRECTORS OF INTERMEDIARIES REGISTERED WITH SEBI) FROM 17-SEP-2007 TO 16-SEP-2008
29-JUN-2011
|
SEBI’S ORDER DATED 27/08/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,00,00,000.00 TOWARDS SETTLEMENT CHARGES AND TO VOLUNTARY DEBARMENT FROM BUYING,SELLING OR OTHERWISE DEALING IN SECURITIES MARKET FOR A PERIOD OF ONE YEAR FROM DATE OF CONSENT ORDER AND VOLUNTARY DEBARMENT OF PROMOTERS FROM BEING PROMOTERS/DIRECTORS OF INTERMEDIARIES REGISTERED WITH SEBI DURING THE SAID PERIOD OF DEBARMENT OF ONE YEAR,AS PER CONSENT ORDER DATED 29/06/2011
SAT: SAT VIDE IT’S ORDER DATED 13/09/2010 SET ASIDE SEBI’S ORDER DATED 27/08/2007 AND REMITTED CASE BACK TO SEBI TO CONCLUDE ENQUIRY PROCEEDINGS AND PASS FINAL ORDER BEFORE END OF MARCH 2011 WITH NO ORDER AS TO COSTS
|
| 189 |
|
|
GLOBALWORTH SECURITIES LTD.
(PAN:AADCG7624G)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 190 |
|
|
GLOBE CAPITAL MARKET LTD.
(PAN:AAACG4267G)
(Member : BSE/NSE/LSE)
|
|
|
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED INDULGENCE IN SENDING SMS AND EMAILS OF BEARISH OUTLOOK TO CLIENTS
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
22-DEC-2008
|
|
| 191 |
|
|
GLOBE CAPITAL MARKET LTD.
(PAN:AAACG4267G)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 192 |
|
|
GOODWILL WEALTH MANAGEMENT PVT.LTD.
(PAN:AAECG9766E)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 193 |
|
|
GRD SECURITIES LTD.
(PAN:AABCG7534M)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 194 |
|
|
GRD SECURITIES LTD.
(PAN:AABCG7534M)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 195 |
|
|
GRISHMA SECURITIES PVT.LTD.
(PAN:AABCG1300K)
(Member : NSE/BSE)
|
|
|
ALLEGED AIDING AND ABETTING ITS CLIENTS FOR HAVING INDULGED IN CIRCULAR TRADING IN SCRIP OF SHREE YAAX PHARMA & COSMETICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
30-JAN-2008
|
|
| 196 |
|
|
GRISHMA SECURITIES PVT.LTD.
(PAN:AABCG1300K)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN MARKET MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
13-AUG-2010
|
|
| 197 |
|
|
GSB CAPITAL MARKETS LTD.
(Member : BSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED EVASION OF MARGIN BY UNDER REPORTING OF CARRY FORWARD POSITION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
31-DEC-2008
|
|
| 198 |
|
|
GUINESS SECURITIES LTD.
(PAN:AAACG9843L)
(Depository Participants : NSDL,Member : BSE/NSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME
ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD
ALLEGED CHARGING OF HIGHER BROKERAGE FROM CLIENTS TOWARDS PURCHASED AND SALE OF SHARES
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING AND BORROWING FUNDS FOR TRANACTIONS OF CLIENTS AND CHARGING INTEREST
ALLEGED NON-COLLECTION OF MARGINS FROM CLIENTS AND PERMITTED THEM TO TRADE WITHOUT SUFFICIENT CASH BALANCE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
02-AUG-2011
|
|
| 199 |
|
|
H.NYALCHAND FINANCIAL SERVICES LTD.
(Member : ASE/NSE)
|
|
|
|
DHIRENBHAI H.VORA
PAN:AAWPV2756N
|
|
|
UDAY H.VORA
PAN:AAMPV2972L
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIPS OF ETP CORP.LTD.,E-STAR INFOTECH LTD., SMR UNIVERSAL SOFTECH LTD.,RANSI SOFTWARE LTD.,ACCURATE EXPORTS LTD.,BLUE COAST HOTELS & RESORTS PVT.LTD.,BIRMINGHAM THERMOTECH LTD.,SOMPLAST LEATHER INDUSTRIES LTD.,GENUS COMMU-TRADE LTD.,SOUNDCRAFT INDUSTRIES LTD.,TOP MEDIA ENTERTAINMENT LTD. AND UNIVERSAL MEDIA NETWORK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,00,000 VIDE CONSENT ORDER)
22-SEP-2008
|
|
| 200 |
|
|
H.NYALCHAND FINANCIAL SERVICES LTD.
(Member : NSE/ASE)
|
|
|
|
DHIRENBHAI H.VORA
PAN:AAWPV2756N
|
|
|
UDAY H.VORA
PAN:AAMPV2972L
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST, AS PER CONSENT ORDER DATED 20/04/2009
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 10 of 33
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