| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
O.P.GUPTA & CO.
(Member : LSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR AND FICTITIOUS TRADING VIOLATING SECTION 16 OF SECURITES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF SRU SHARE BROKERS LTD.
ALLEGED INDULGENCE IN IRREGULAR AND FICTITIOUS TRANSACTIONS IN SCRIPS OF SG GLOBAL EXPORTS LTD. AND SRU SHARE BROKERS LTD.
ALLEGED NON COMPLIANCE WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SG GLOBAL EXPORTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION 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 09-DEC-2009 TO 08-DEC-2010
06-DEC-2009
|
|
| 402 |
|
|
ODYSSEY SECURITIES PVT.LTD.
(PAN:AABCO1366R)
(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
|
|
| 403 |
|
|
OMEGA EQUITIES PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-OCT-2008 TO 16-OCT-2009
06-JUN-2007
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 17-OCT-2008 TO 16-OCT-2009
17-OCT-2008
|
SAT: ORDER DATED 06/06/2007 DISPOSED OFF, AS APPLICANT VOLUNTARILY OFFERED TO SUSPEND ITS OPERATIONS AS A STOCK BROKER FOR A PERIOD OF ONE YEAR AS PER CONSENT ORDER DATED 17/10/2008
|
| 404 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATION 6 (GG) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 READ WITH SCHEDULE II OF SEBI (INTERMEDIARIES) REGULATIONS, 2008
ALLEGED VIOLATION OF REGULATION 5 (E) READ WITH 5A OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.16,80,000 VIDE CONSENT ORDER)
09-FEB-2017
|
|
| 405 |
|
|
OPG SECURITIES PVT.LTD.
(PAN:AAACO1081C)
(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
|
|
| 406 |
|
|
ORION STOCKS LTD.
(PAN:AABCO0296Q)
(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.5,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 407 |
|
|
P R B SECURITIES PVT.LTD.
(PAN:AABCP5425G)
(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
|
|
| 408 |
|
|
P SURYAKANT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AACCP3112F)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF HAVELLS INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
27-APR-2009
|
|
| 409 |
|
|
P SURYAKANT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AACCP3112F)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CIRCULAR TRADING IN SCRIP OF STOCKNET INTERNATIONAL LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (1) TO A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF STOCKNET INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
21-JAN-2011
|
|
| 410 |
|
|
P SURYAKANT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AACCP3112F)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
27-APR-2009
|
|
| 411 |
|
|
P SURYAKANT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AACCP3112F)
(Member : BSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE OVER TRADES EXECUTED BY SUB-BROKER IN MATTER OF DESIGN AUTO SYSTEMS LTD.
ALLEGED ACTIVATION OF SUB-BROKER TERMINALS BEFORE GETTING SEBI REGISTRATION
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 412 |
|
|
PADMAKANT DEVIDAS SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 06-MAR-2009 TO 05-JUN-2009
06-MAR-2009
|
|
| 413 |
|
|
PARAG JHAVERI & CO.
(Member : VSE)
|
|
|
|
PARAG P.JHAVERI
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
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.1,80,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,00,000 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 01-MAR-2009 TO 29-FEB-2012
10-FEB-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
REVOKED DIRECTIONS ISSUED IN AD-INTERIM CONFIRMATORY ORDER DATED 09/05/2007. DIRECTED TO DISGORGE UNLAWFUL GAIN OF RS.24 LACS AND RS.180.00 LACS TOWARDS SETTLEMENT CHARGES AND UNDERGO VOLUNTARY DEBARMENT FOR 3 YEARS FROM 01/03/2009.DIRECTED NSDL TO PERMIT OPERATION OF DEMAT ACCOUNT FOR LIMITED PURPOSE OF SALE OF SPECIFIED SHARES.INSTRUCTED KARVY STOCKBROKING LTD. (DP) AND KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD. (STOCK BROKER) TO TAKE PRIOR CLEARANCE FROM NSDL AND AMOUNT OF SHARES SOLD SHOULD NOT EXCEED RS.2.04 CRORES. DIRECTED NSE TO PAY ENTIRE SALE PROCEEDS DIRECTLY TO SEBI WITHIN 7 DAYS. FURTHER DIRECTED TO COMPLETE SALE OF SHARES LATEST BY 20/02/2009KHANDWALA (STOCK BROKER) TO TAKE PRIOR CLEARANCE FROM NSDL AND AMOUNT OF SHARES SOLD SHOULD NOT EXCEED RS.2.04 CRORES.DIRECTED NSE TO PAY ENTIRE SALE PROCEEDS DIRECTLY TO SEBI WITHIN 7 DAYS. FURTHER DIRECTED TO COMPLETE SALE OF SHARES LATEST BY 20/02/2009
|
| 414 |
|
|
PARAG P.JHAVERI
|
|
|
|
PARAG JHAVERI & CO.
(Member : VSE)
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
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.1,80,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,00,000 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 01-MAR-2009 TO 29-FEB-2012
10-FEB-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
REVOKED DIRECTIONS ISSUED IN AD-INTERIM CONFIRMATORY ORDER DATED 09/05/2007. DIRECTED TO DISGORGE UNLAWFUL GAIN OF RS.24 LACS AND RS.180.00 LACS TOWARDS SETTLEMENT CHARGES AND UNDERGO VOLUNTARY DEBARMENT FOR 3 YEARS FROM 01/03/2009.DIRECTED NSDL TO PERMIT OPERATION OF DEMAT ACCOUNT FOR LIMITED PURPOSE OF SALE OF SPECIFIED SHARES.INSTRUCTED KARVY STOCKBROKING LTD. (DP) AND KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD. (STOCK BROKER) TO TAKE PRIOR CLEARANCE FROM NSDL AND AMOUNT OF SHARES SOLD SHOULD NOT EXCEED RS.2.04 CRORES. DIRECTED NSE TO PAY ENTIRE SALE PROCEEDS DIRECTLY TO SEBI WITHIN 7 DAYS. FURTHER DIRECTED TO COMPLETE SALE OF SHARES LATEST BY 20/02/2009
|
| 415 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
|
RUPESHBHAI DEVENDRABHAI SHAH
|
|
|
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
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,64,054, (DISGORGEMENT AMOUNT RS.11,78,46,946,INTEREST RS.2,36,61,550 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
20-APR-2009
|
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 AND PAY RS.11,64,054.00 TOWARDS SETTLEMENT CHARGES SEPERATELY, AS PER CONSENT ORDER DATED 20/04/2009
|
| 416 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
|
HASMUKHLAL N.VORA
|
|
|
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.59,00,000 VIDE CONSENT ORDER)
22-SEP-2008
|
|
| 417 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS LTD.
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
09-APR-2009
|
|
| 418 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF STOCKNET INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
04-SEP-2009
|
|
| 419 |
|
|
PARKLIGHT SECURITIES LTD.
(PAN:AABCP6609A)
(Member : ASE/CSE)
|
|
|
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 (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 22-SEP-2008 TO 21-DEC-2008
22-SEP-2008
|
|
| 420 |
|
|
PARKLIGHT SECURITIES LTD.
(PAN:AABCP6609A)
(Member : ASE/CSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF STOCKNET INTERNATIONAL 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 21-SEP-2009 TO 20-DEC-2009
15-SEP-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 21 of 33
|
