| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 281 |
|
SRI GOPAL JAJU,M/S
(Member : HSE,Sub-Broker of BNR CAPITAL SERVICES PVT.LTD., Member : BSE, HSE SECURITIES LTD., Member : NSE)
|
|
|
|
SRI GOPAL JAJU
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
IMPOSED PENALTY RS.1,00,000
17-SEP-2007
|
|
| 282 |
|
|
STEEL CITY SECURITIES LTD.
(PAN:AAECS0970L)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN FUTURE AND OPTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
IMPOSED PENALTY RS.1,00,000
22-MAY-2009
|
|
| 283 |
|
|
STEEL CITY SECURITIES LTD.
(PAN:AAECS0970L)
(Member : NSE)
|
|
|
|
SATISH KUMAR ARYA
PAN:ADPPA5763Q
|
|
|
V.SRINIVAS
|
|
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
|
|
| 284 |
|
|
SUBH STOCK BROKING PVT.LTD.
(PAN:AAHCS7985C)
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE TRADING ON BEHALF OF CLIENTS IN SCRIP OF SARANG VINIYOG LTD.
|
IMPOSED PENALTY RS.50,000
30-SEP-2010
|
|
| 285 |
|
|
SUBH STOCK BROKING PVT.LTD.
(PAN:AAHCS7985C)
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE TRADING ON BEHALF OF CLIENTS IN SCRIP OF SARANG VINIYOG LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SARANG VINIYOG LTD.
|
IMPOSED PENALTY RS.3,00,000
08-APR-2009
|
SAT: IMPUGNED ORDER DATED 08/04/2009 SET ASIDE AND CASE REMANDED TO SEBI FOR FRESH ENQUIRY. NO ORDER AS TO COSTS
|
| 286 |
|
|
SUBHASH GANGWAL,M/S
(Member : JSE)
|
|
|
|
SUBHASH GANGWAL
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
COMMITTED IRREGULARITIES/DEFAULTED IN ISSUANCE OF CONFIRMATION MEMOS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DEFICIENCIES IN CLIENT DATABASE
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
IMPOSED PENALTY RS.40,000
03-NOV-2004
|
|
| 287 |
|
|
SUNCHAN SECURITIES LTD.
(PAN:AAFCS8953A)
(Depository Participants : CDSL,Member : BSE/NSE/OTC)
|
|
|
|
AJAY JANARDAN KOTWAL
|
|
|
KANCHAN MANSINGHANI
|
|
|
RIYAZ ISMAIL SHAIKH
|
|
|
SUNIL MANSINGHANI
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
FAILED TO DELIVER SHARES TO CLIENTS
DID NOT MAKE PAYMENT TO CLIENTS
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
SUBMITTED WRONG INFORMATION TO SEBI
FAILED TO COMPLY WITH THE UNIQUE CLIENT CODE AS PRESCRIBED BY SEBI
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-JAN-2009 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
DIRECTED NOT TO ACT AS DEPOSITORY PARTICIPANT FROM 30-JAN-2009 TILL FURTHER ORDERS
DIRECTED BSE, NSE, OTCEI AND THEIR CLEARING HOUSES NOT TO RELEASE FUNDS OR SECURITIES
DIRECTED BSE, NSE, OTCEI AND THEIR CLEARING HOUSES TO SECURE ALL ASSETS INCLUDING REALIZATION OF BANK GUARANTEES
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JAN-2009 TILL FURTHER ORDERS
30-JAN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 30/01/2009 CONFIRMED
SEBI VIDE ORDER DATED 08/12/2010 CANCELLED CERTIFICATE OF REGISTRATION AS STOCK BROKER W.E.F. 29/12/2010
|
| 288 |
|
|
SUNIDHI SECURITIES & FINANCE LTD.
(PAN:AADCS1657D)
(Member : BSE/NSE/OTC)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE AS A STOCK BROKER
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIP OF SOFTBPO GLOBAL SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
17-MAR-2009
|
|
| 289 |
|
|
SUNIL GUPTA & CO.
(Member : LSE)
|
|
|
|
SUNIL GUPTA
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
INDULGED IN MANIPULATIVE TRANSACTIONS IN SCRIP OF SHIVALIK LOHA MILLS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-AUG-2002 TO 09-FEB-2003
27-JUL-2002
|
|
| 290 |
|
|
SURESH RATHI SECURITIES PVT.LTD.
(PAN:AABCS5554M)
(Member : BSE/NSE)
|
|
|
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-2004
|
|
| 291 |
|
|
SVS SECURITIES PVT.LTD.
(PAN:AABCS5982K)
(Member : BSE/NSE/OTC)
|
|
|
|
RESHAD CHESSON
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENTS IN SCRIP OF MAZDA FABRICS PROCESSORS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-FEB-2007 TO 28-FEB-2007
02-FEB-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
10-NOV-2008~
|
SAT: SINCE APPLICANT FILED APPLICATION WITH SEBI TO PASS CONSENT ORDER TO DISPOSE OFF ORDER DATED 02/02/2007, ORDER ACCORDINGLY DISPOSED OFF WITH NO ORDER AS TO COSTS
SAT: ORDER DISPOSED OFF AS APPLICANT DEPOSITED RS.10,00,000 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 10/11/2008 WITH NO ORDER AS TO COSTS
|
| 292 |
|
|
SWADHA SECURITIES LTD.
(Member : CSE)
|
|
|
|
NARESH KUMAR JALAN
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 293 |
|
|
TANDON & CO.
(Member : LSE,Sub-Broker of LSE SECURITIES LTD., Member : BSE)
|
|
|
|
PRIYA TANDON
|
|
DID NOT ISSUE CONFIRMATION MEMOS IN PRESCRIBED FORMAT
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT ADHERE TO DIRECTIVES ISSUED BY SEBI
|
IMPOSED PENALTY RS.75,000
14-NOV-2007
|
|
| 294 |
|
|
TEES & TOES FINANCE & INVESTMENTS LTD.
(Member : NSE)
|
|
|
|
ANIL KISHORE
|
|
|
ARUN KISHORE
|
|
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT ADHERE TO ALBM OPERATIONAL DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
IMPOSED PENALTY RS.40,000
02-NOV-2004
|
|
| 295 |
|
|
TOSS FINANCIAL SERVICES PVT.LTD.
(PAN:AAACT1625K)
(Member : NSE)
|
|
|
|
M.Z.REHMAN
|
|
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
21-MAY-2007
|
|
| 296 |
|
|
TRENDZ INVESTMENTS PVT.LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
27-FEB-2002
|
|
| 297 |
|
|
TRIMITI INVESTMENTS & FINANCIAL SERVICES PVT.LTD.
(Member : PSE)
|
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES
DID NOT MAINTAIN CLIENT DATABASE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-SEP-2006 TO 03-OCT-2006
24-AUG-2006
|
|
| 298 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
(Member : NSE)
|
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 21-JUN-2001 TILL PENDING ENQUIRY
21-JUN-2001
|
|
| 299 |
|
|
TRIUMPH SECURITIES LTD.
(PAN:AAACT2152P)
(Member : BSE)
|
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 21-JUN-2001 TILL PENDING ENQUIRY
21-JUN-2001
|
|
| 300 |
|
|
TRIVENI MANAGEMENT CONSULTANCY SERVICES LTD.
(PAN:AABCT4249C)
(Member : NSE)
|
|
|
|
N.B.SHETTY
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF SNOWCEM INDIA LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-JUN-2007
|
|
| 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 15 of 16
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