| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : NSE/BSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE IN CONDUCT OF BUSINESS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,10,000 VIDE CONSENT ORDER)
02-JAN-2013
|
|
| 202 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND B(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,00,000 VIDE CONSENT ORDER)
19-DEC-2014
|
|
| 203 |
|
|
INDIRA SECURITIES PVT.LTD.
(PAN:AABCI2772F)
(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
|
|
| 204 |
|
|
INDO THAI SECURITIES LTD.
(PAN:AAACI4380E)
(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
|
|
| 205 |
|
|
INDO THAI SECURITIES LTD.
(PAN:AAACI4380E)
(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
|
|
| 206 |
|
|
INDUS PORTFOLIO PVT.LTD.
(PAN:AABCI3730R)
(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
|
|
| 207 |
|
|
INFINITY.COM STOCK BROKING PVT.LTD.
(Member : BSE,Sub-Broker of ANAGRAM SECURITIES LTD., Member : NSE/ASE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIP OF GREENFIELD TRADING & FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 28-NOV-2008 TO 27-NOV-2009
28-NOV-2008
|
|
| 208 |
|
|
INVENTURE GROWTH & SECURITIES LTD.
(PAN:AAACI2044K)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
07-JUN-2010
|
|
| 209 |
|
|
ISE SECURITIES & SERVICES LTD.
(PAN:AAACI6011L)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) AND (26(XV)) READ WITH CLAUSES A(1),A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
23-MAR-2018
|
|
| 210 |
|
|
ISJ SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKETS BY SYNCHRONIZED TRADES AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,000 VIDE CONSENT ORDER)
08-OCT-2008
|
|
| 211 |
|
|
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
|
|
| 212 |
|
|
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
|
|
| 213 |
|
|
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
|
|
| 214 |
|
|
ITI FINANCIAL SERVICES LTD.
(PAN:AAACI8316C)
(Member : NSE/MCX/BSE)
|
|
|
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
|
|
| 215 |
|
|
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
|
|
| 216 |
|
|
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
|
|
| 217 |
|
|
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
|
|
| 218 |
|
|
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
|
|
| 219 |
|
|
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
|
|
| 220 |
|
|
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
|
|
| 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 11 of 28
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