| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
RATNABALI CAPITAL MARKETS LTD.
(Member : NSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT COLLECT MARGINS FROM CLIENTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
COMMITTED IRREGULARITIES IN SHARE LENDING/BORROWING
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-FEB-2002
|
|
| 222 |
|
|
RENAISSANCE SECURITIES LTD.
(Member : BSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
29-NOV-2002
|
|
| 223 |
|
|
RENAISSANCE SECURITIES LTD.
(Member : BSE/OTC)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
08-AUG-2005
|
|
| 224 |
|
|
RICHMEN SECURITIES PVT.LTD.
(Member : HSE)
|
|
|
ROUTED FICTITIOUS TRANSACTIONS IN THE FORM OF SPOT TRANSACTIONS AND LATER REVERSED THE TRANSACTIONS WITH A SALE TRANSACTION IN THE REGULAR SETTLEMENT TRADING
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-FEB-2000
|
|
| 225 |
|
|
ROSY BLUE SECURITIES PVT.LTD.
(PAN:AAACR4082Q)
(Member : BSE)
|
|
|
|
BIMAL PAREKH
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE AS STOCK BROKER WHILE DEALING WITH CLIENTS IN SCRIP OF RAVALGAON SUGAR FARMS LTD. & SHRENUJ & CO.LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
29-FEB-2008
|
|
| 226 |
|
|
S.L.GUPTA & CO.
(Member : DSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
ENTERED INTO PRINCIPAL TO PRINCIPAL TRANSACTIONS FOR WHICH BROKERAGE WAS CHARGED AND CONTRACT NOTES IN FORM 'A ' WERE ISSUED
SETTLED PAYMENT FOR TRANSACTIONS WITH OTHER MEMBERS OF EXCHANGE THROUGH SETTLEMENT SYSTEM OF EXCHANGE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-APR-2001
|
|
| 227 |
|
|
S.P.RAKHECHA & CO.
(Member : CSE)
|
|
|
|
SHANTI PRASAD RAKHECHA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-MAR-2007
|
|
| 228 |
|
|
S.R.UPPAL & CO.
(Member : LSE)
|
|
|
DEFAULTED IN MAINTENANCE OF CHOPRI
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
DID NOT AFFIX BROKER NOTE STAMPS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
MISUTILIZED EXCHANGE MECHANISM TO FINANCE DEALS
DID NOT ROUTE CLIENT'S MONEY THROUGH SEPARATE BANK ACCOUNT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUN-1998
|
|
| 229 |
|
|
S.S.KANTILAL ISHWARLAL SECURITIES LTD.
(Member : BSE)
|
|
|
DID NOT SETTLE OFF-THE-FLOOR TRANSACTIONS IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-AUG-2000
|
|
| 230 |
|
|
SAMIR JAYANTILAL SHAH,M/S
(Member : ASE)
|
|
|
|
SAMIR J.SHAH
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
20-FEB-2002
|
|
| 231 |
|
|
SANCHIT FINANCIAL & MANAGEMENT SERVICES LTD.
(Member : NSE)
|
|
|
|
HARSH AGRAWAL
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF EIDER INFOTECH LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JAN-2009
|
|
| 232 |
|
|
SANJAY C.BAXI,M/S
(Member : BSE)
|
|
|
|
SANJAY C.BAXI
|
|
DEFAULTED IN MAINTENANCE OF MARGIN REGISTER
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-MAR-2002
|
|
| 233 |
|
|
SANJAY CAPITAL SERVICES PVT.LTD.
(Member : DSE)
|
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEFICIENCIES IN CLIENT DATABASE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DELAYED SUBMISSION OF AUDIT REPORT TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-AUG-2001
|
|
| 234 |
|
|
SATCO SECURITIES & FINANCIAL SERVICES LTD.
(Member : BSE)
|
|
|
|
S.S.BHARWANI
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2009
|
|
| 235 |
|
|
SATISH GUPTA,M/S
(Member : DSE)
|
|
|
|
SATISH GUPTA
|
|
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
ATTESTED FORGED SIGNATURE OF TRANSFEROR
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
03-MAR-2000
|
|
| 236 |
|
|
SHAILESH SHAH SECURITIES PVT.LTD.
(PAN:AAECS3607E)
(Member : BSE)
|
|
|
|
ASHISH D.JHAVERI
|
|
|
HARENDRA DOLATRAI SHAH
PAN:AAFPS1912G
|
|
|
PANKAJ DOLATRAI SHAH
PAN:AAFPS1913H
|
|
|
RAJENDRA DOLATRAI SHAH
PAN:AAFPS1910E
|
|
|
SHAILESH DOLATRAI SHAH
PAN:AAFPS1911F
|
|
INDULGED IN NEGOTIATED DEALS WITH MATCH TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.,GLOBAL TELE-SYSTEMS LTD.,HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,HINDUSTAN LEVER LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-AUG-2007
|
|
| 237 |
|
|
SHAILESH SHAH SECURITIES PVT.LTD.
(PAN:AAECS3607E)
(Member : BSE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
20-FEB-2002
|
|
| 238 |
|
|
SHARAD KUMAR BALCHAND SHAH,M/S
(Member : PSE)
|
|
|
|
SHARAD KUMAR BALCHAND SHAH
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-SEP-2006
|
|
| 239 |
|
|
SHAREDEAL FINANCIAL CONSULTANTS PVT.LTD.
(Member : BSE)
|
|
|
IN THE CASE OF SOUNDCRAFT INDUSTRIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUL-2002
|
|
| 240 |
|
|
SHESHANKA SECURITIES PVT.LTD.
(PAN:AACCS0878D)
(Member : NSE)
|
|
|
MANIPULATION IN SCRIP OF AMARA RAJA BATTERIES LIMITED DURING THE PERIOD AUGUST 2000 TO MARCH 2001
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-JUL-2002
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 12 of 15
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