| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
ISJ SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF PEACOCK INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
09-MAR-2010
|
|
| 242 |
|
|
ISJ SHARE & STOCK BROKERS PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF PEACOCK INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
09-MAR-2010
|
|
| 243 |
|
|
ITI FINANCIAL SERVICES LTD.
(PAN:AAACI8316C)
(Member : BSE/NSE/MCX)
|
|
|
ALLEGED FAILURE IN SETTLEMENT OF FUND OF ALL CLIENTS AT LEAST ONCE IN A CALENDER QUARTER OR MONTH
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.42,90,000 VIDE CONSENT ORDER)
21-MAR-2017
|
|
| 244 |
|
|
ITI FINANCIAL SERVICES LTD.
(PAN:AAACI8316C)
(Member : NSE/BSE)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
16-MAR-2009
|
|
| 245 |
|
|
JAI SHAREFIN LTD.
(Member : ASE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATION IN SCRIPS OF HINDUSTAN CONTINENTAL LTD. AND PRIYANS SAREE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 15-OCT-2009 TO 14-OCT-2011
09-OCT-2009
|
|
| 246 |
|
|
JAICO SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF JINDAL STAINLESS LTD.,BSEL INFRASTRUCTURE REALTY LTD. ,MAHARASHTRA SEAMLESS LTD.AND COSMO FILMS LTD.
ALLEGED INDULGENCE IN VIOLATION OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JINDAL STAINLESS LTD.,BSEL INFRASTRUCTURE REALTY LTD. ,MAHARASHTRA SEAMLESS LTD.AND COSMO FILMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 26-OCT-2009 TO 25-DEC-2009
23-OCT-2009
|
|
| 247 |
|
|
JAINAM BROKING LTD.
(CIN:U67120GJ2003PLC043162
PAN:AABCJ3918N)
(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
|
|
| 248 |
|
|
JAINAM BROKING LTD.
(CIN:U67120GJ2003PLC043162
PAN:AABCJ3918N)
(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
|
|
| 249 |
|
|
JAS-ONE SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF MIRC ELECTRONICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
13-MAY-2010
|
|
| 250 |
|
|
JAYANTILAL KHANDWALA & SONS PVT.LTD.
(PAN:AAACJ9403D)
(Member : BSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED MAINTENANCE OF ACCOUNT WITHOUT CONSENT OF CLIENTS AND TRANSFER OF FUNDS FROM ACCOUNT OF ONE CLIENT TO ANOTHER
ALLEGED PERMITTING CLIENTS TO TRADE WITHOUT OBTAINING MARGINS
ALLEGED DELAY IN REDRESSAL OF COMPLAINTS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
30-SEP-2008
|
|
| 251 |
|
|
JAYSUKHLAL JAGJIVAN STOCK BROKING PVT.LTD.
(Member : BSE)
|
|
|
|
NITIN JAYSUKHLAL DOSHI
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF INDUSTRIAL & PRUDENTIAL INVESTMENT CO.LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGENCE IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF INDUSTRIAL & PRUDENTIAL INVESTMENT CO.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,93,457 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-AUG-2009
|
|
| 252 |
|
|
JBS SECURITIES PVT.LTD.
(PAN:AAACJ5485F)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET BY STRUCTURED DEALS IN SCRIP OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE TRADING IN SCRIP OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
08-OCT-2008
|
|
| 253 |
|
|
JCL SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF SUN INFOWAY LTD.
ALLEGED INDULGENCE IN MATCHED TRADES AND CROSS DEALS IN SCRIP OF SUN INFOWAYS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
20-APR-2009
|
|
| 254 |
|
|
JCP SHARES & SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-FEB-2009
|
|
| 255 |
|
|
JCP SHARES & SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN CASE OF ASIAN CERC INFORMATION TECHNOLOGIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
10-OCT-2008
|
|
| 256 |
|
|
JHAVERI SECURITIES LTD.
(PAN:AAACJ4727A)
(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.6,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 257 |
|
|
JHAVERI SECURITIES LTD.
(PAN:AAACJ4727A)
(Member : NSE/BSE)
|
|
|
|
KAMLESH JHAVERI
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS
27-APR-2006
|
REVOKED PROHIBITION IMPOSED FOR DEALING IN CAPITAL MARKET
|
| 258 |
|
|
JK SECURITIES PVT.LTD.
(PAN:AAACJ4979J)
(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
|
|
| 259 |
|
|
JM FINANCIAL SERVICES LTD.
(PAN:AAACJ5977A)
(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
|
|
| 260 |
|
|
JM FINANCIAL SERVICES LTD.
(PAN:AAACJ5977A)
(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
|
|
| 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 13 of 33
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