| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
CHUKNOO SECURITIES LTD.
(PAN:AAACC6034B)
(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
|
|
| 122 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67120WB1993PLC060799)
(Member : OTC/CSE/NSE/BSE)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE , 1997 IN MATTER OF ACQUISITION OF SHARES OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
24-JAN-2008
|
|
| 123 |
|
|
CNB FINWIZ PVT.LTD.
(PAN:AABCB2613A)
(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
|
|
| 124 |
|
|
COIMBATORE CAPITAL LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN EXECUTION OF CROSS DEALS AND PRICE MANIPULATION IN SCRIP OF LUMAX INDUSTRIES LTD. AND CREW BOS PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.75,000 VIDE CONSENT ORDER)
29-DEC-2008
|
|
| 125 |
|
|
COMPOSITE INVESTMENTS PVT.LTD.
(PAN:AAACC7373B)
(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
|
|
| 126 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
31-MAR-2009
|
|
| 127 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
23-APR-2010
|
|
| 128 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
|
|
| 129 |
|
|
CROSSEAS CAPITAL SERVICES PVT.LTD.
(PAN:AACCC5470H)
(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
|
|
| 130 |
|
|
D.H.SHAH
|
|
|
|
RELIANCE SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE/NSE/CSE/VSE/BGSE/ASE/OTC)
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DID NOT ISSUE CONTRACT NOTES
DID NOT MENTION CLIENT NUMBERS ON CONTRACT NOTES
CARRIED OUT TRANSACTION IN ITS OWN NAME INSTEAD OF CLIENTS NAME
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
PAN NO. OF CLIENTS NOT APPEARING ON CONTRACT NOTES
SEBI REGISTRATION NO., TRADE NO. AND ORDER NO. NOT INDICATED ON CONTRACT NOTES
PENDING EXECUTION OF THE ORDER AS MANDATORY ACCORDING TO THE REGULATIONS 6(B) OF PFUTP
VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION
EXCEEDED INTRA DAY TRADING LIMITS
DID NOT MAINTAIN RECORD OF CLIENT'S ORDER
DID NOT ACCOUNT FOR MISSING CONTRACT NOTES
DID NOT KEEP PROPER PROPORTION OF CASH & FIXED DEPOSITS FOR CAPITAL ADEQUACY
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-JAN-2007 TO 30-APR-2007
11-DEC-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.48,00,000, LEGAL EXPENSES RS.2,00,000 VIDE CONSENT ORDER)
07-DEC-2007
|
SAT: IMPUGNED ORDER SHALL REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: ORDER SET ASIDE AS APPLICANT PAID RS.48,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,00,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 07/12/2007
|
| 131 |
|
|
D.K.MODI SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MARSON’S LTD.
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS VIOLATING REGULATIONS 3,4(1),(2) (A),(B),(E),(G),(N) AND (O) OF SEBI (PFUTP) REGULATIONS, 2003 IN SCRIP OF MARSON’S LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-OCT-2009
|
|
| 132 |
|
|
DAWNAY DAY AV SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF VISHESH INFOTECNICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 VIDE CONSENT ORDER)
09-SEP-2009
|
|
| 133 |
|
|
DB (INTERNATIONAL) STOCK BROKERS LTD.
(CIN:L67120HR1992PLC035349
PAN:AAACD0852G)
(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.2,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 134 |
|
|
DBS CHOLAMANDALAM SECURITIES LTD.
(Member : BSE/OTC/NSE/MDSE)
|
|
|
ALLEGED FAILURE IN OBTAINING APPROVAL FROM SEBI FOR CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 6A (1) (C) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,56,267, INTEREST RS.1,18,640 VIDE CONSENT ORDER)
21-MAY-2009
|
|
| 135 |
|
|
DEALMONEY SECURITIES PVT.LTD.
(PAN:AACCD2614A)
(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
|
|
| 136 |
|
|
DEEP STOCKBROKING PVT.LTD.
(Member : NSE)
|
|
|
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.3,68,176, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.19,31,824 VIDE CONSENT ORDER)
04-NOV-2008
|
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
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.3,68,176 AGAINST SETTLEMENT CHARGES AND RS.19,31,824 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 04/11/2008
|
| 137 |
|
|
DEEP STOCKBROKING PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
06-MAR-2009
|
|
| 138 |
|
|
DEEP STOCKBROKING PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIPS OF ETP CORP.LTD.,E-STAR INFOTECH LTD., SMR UNIVERSAL SOFTECH 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.50,000 VIDE CONSENT ORDER)
22-SEP-2008
|
|
| 139 |
|
|
DHAN STOCK & SHARE BROKERS PVT.LTD.
(PAN:AABCD2039A)
(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
|
|
| 140 |
|
|
DILIP H.BHANDARI
|
|
|
|
DILIP H.BHANDARI,M/S
(Member : PSE)
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
02-JUN-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 33
|
