| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
PAWAN J.CHAUDHARY,M/S
(PAN:AABPC4327R)
(Member : BSE)
|
|
|
|
PAWAN J.CHAUDHARY
PAN:AABPC4327R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
IMPOSED PENALTY RS.7,00,000
25-MAY-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 20/09/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 202 |
|
|
PAWANKUMAR PARMESHWARLAL,M/S
(Member : BSE)
|
|
|
|
PAWANKUMAR PARMESHWARLAL CHOUDHARY
|
|
|
R.K.PANDAY
|
|
AIDED AND ABETTED CLIENTS IN CREATING ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRABHU STEELS INDUSTRIES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-JUL-2007 TO 17-SEP-2007
27-JUN-2007
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 203 |
|
|
PDC SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GLOBE STOCKS & SECURITIES LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN SCRIP OF GLOBE STOCKS & SECURITIES LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 25-APR-2007 TO 24-OCT-2007
05-APR-2007
|
|
| 204 |
|
|
PILOT CREDIT CAPITAL LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE CARE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENT JAY SHAH IN SCRIP OF IFSL LTD.
|
IMPOSED PENALTY RS.5,00,000
05-APR-2007
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 205 |
|
|
PIONEER TCP STOCK BROKERS LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF VERONICA LABORATORIES LTD.
|
IMPOSED PENALTY RS.75,000
17-FEB-2010
|
|
| 206 |
|
|
PLATINUM STOCK BROKING SERVICES LTD.
(Member : NSE/CSE)
|
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED CONDITIONS OF CERTIFICATE OF REGISTRATION
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-SEP-2001
24-SEP-2001
|
|
| 207 |
|
|
PRABHAT INVESTMENTS
(Member : DSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING ON BEHALF OF CLIENTS IN SCRIP OF TACTFULL INVESTMENTS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-SEP-2007 TO 10-OCT-2007
21-AUG-2007
|
|
| 208 |
|
|
PRABHAT INVESTMENTS
(Member : DSE)
|
|
|
IRREGULARITIES IN DEALING IN SCRIP OF VATSA WORLD LTD.
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF VATSA WORLD LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-SEP-2004 TO 20-NOV-2004
31-AUG-2004
|
|
| 209 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
(PAN:AAACP2733Q)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH ITS SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
18-JAN-2006
|
|
| 210 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
(PAN:AAACP2733Q)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF MISLEADING APPEARANCE OF TRADING THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD. AND DSQ BIOTECH LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SECURITIES MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,05,00,000 VIDE CONSENT ORDER)
16-FEB-2009
|
|
| 211 |
|
|
PRAKASH BAID SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
|
PRAMOD BAID
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF PATRIOT TRADING CO.LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-APR-2007 TO 18-OCT-2007
29-MAR-2007
|
|
| 212 |
|
|
PRAKASH K.SHAH,M/S
(Member : BSE)
|
|
|
|
PRAKASH K.SHAH
|
|
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF AMARA RAJA BATTERIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-AUG-2002 TO 11-OCT-2002
12-AUG-2002
|
SAT: APPEAL ALLOWED
|
| 213 |
|
|
PRAKASH NAHATA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TOPLIGHT COMMERCIAL LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-JUL-2009 TO 11-AUG-2009
22-JUN-2009
|
|
| 214 |
|
|
PRAKASH NAHATA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF CYBER FAMILY.COM LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF CYBER FAMILY.COM LTD.
|
IMPOSED PENALTY RS.3,00,000
02-JUL-2009
|
|
| 215 |
|
|
PRAKASH NAHATA & CO.
(Member : CSE)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF ASHIKA CREDIT CAPITALS LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF ASHIKA CREDIT CAPITALS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-DEC-2008 TO 25-JAN-2009
05-DEC-2008
|
|
| 216 |
|
|
PRAMODKUMAR JAIN SECURITIES PVT.LTD.
(PAN:AAACP6229P)
(Member : BSE)
|
|
|
ALLEGED MARKET MANIPULATION IN SCRIP OF MOREPEN LABORATORIES LTD.AND ENTERED INTO STRUCTURED DEALS WITH KETAN SHAH WITH A VIEW TO CREATE ARTIFICIAL LIQUIDITY
DID NOT ACT PROFESSIONALLY AND ENSURING CONFIDENTIALITY OF DEALINGS OF ITS CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2003
|
|
| 217 |
|
|
PRAMODKUMAR JAIN SECURITIES PVT.LTD.
(PAN:AAACP6229P)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
25-OCT-2003
|
|
| 218 |
|
|
PRASHANT JAYANTILAL PATEL,M/S
(PAN:AABPP2156M)
(Member : NSE)
|
|
|
|
PRASHANT JAYANTILAL PATEL
PAN:AABPP2156M
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
IMPOSED PENALTY RS.22,00,000
31-AUG-2009
|
|
| 219 |
|
|
PRASIDDHI MARKETING & SHARE
(Member : BGSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
DID NOT SUBMIT COPIES OF CONTRACT NOTES FOR INSPECTION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-MAR-2007 TO 29-MAR-2007
22-FEB-2007
|
|
| 220 |
|
|
PRAVIN V.SHAH STOCK BROKING PVT.LTD.
(Member : BSE)
|
|
|
|
DHITESH M.SHAH
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRADES IN SCRIP OF AFTEK INFOSYS LTD.
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY WHILE DEALING IN MARKET
|
IMPOSED PENALTY RS.5,00,000
14-JUN-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 14/06/2006 SET ASIDE AND DIRECTED SEBI TO REFUND THE AMOUNT DEPOSITED BY APPLICANT
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 11 of 16
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