| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
TRIVENI MANAGEMENT CONSULTANCY SERVICES LTD.
(PAN:AABCT4249C)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SPECULATIVE TRANSACTIONS DONE BY THE CLIENTS WITHOUT ANY INTENTION OF GIVING OR TAKING DELIVERY OF SHARES OF MOREPEN HOTELS LTD.
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
27-DEC-2005
|
|
| 302 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
|
MILAN DALAL
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS ON BEHALF OF CLIENTS IN SCRIP OF DCM SHRIRAM CONSOLIDATED LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DCM SHRIRAM CONSOLIDATED LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-FEB-2009 TO 03-AUG-2009
14-JAN-2009
|
|
| 303 |
|
|
TRUSTED SHARES & INVESTMENTS LTD.
(Member : BSE)
|
|
|
INVOLVED IN UNBUSINESS LIKE ACTIVITY
|
WARNED TO REFRAIN FROM INVOLVING IN UN-BUSINESS LIKE ACTIVITY WHICH MAY LEAD TO INTERFERENCE WITH SMOOTH FUNCTIONING OF MARKET
03-MAR-2000
|
|
| 304 |
|
|
UNIQUE STOCKBRO PVT.LTD.
(PAN:AAACU2884M)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
22-FEB-2007
|
|
| 305 |
|
|
UNIQUE STOCKBRO PVT.LTD.
(PAN:AAACU2884M)
(Member : BSE)
|
|
|
|
ASHISH V.POPAT
|
|
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
|
|
| 306 |
|
|
UTTAM FINANCIAL SERVICES LTD.
(Member : BSE)
|
|
|
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.5,00,000
22-MAY-2009
|
|
| 307 |
|
|
V & U SECURITIES PVT.LTD.
(PAN:AAACV6984H)
(Member : ASE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF OJAS TECHNOCHEM PRODUCTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 308 |
|
|
VEEKRANT STOCKS & FINANCE PVT.LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRADES IN SCRIP OF SAWACA COMMUNICATIONS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-JAN-2006
|
|
| 309 |
|
|
VENTURA SECURITIES LTD.
(PAN:AAACV1361J)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE, SKILL AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF SMR UNIVERSAL SOFTECH LTD.
DEFICIENCIES IN REGISTRATION FORMS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
29-AUG-2007
|
|
| 310 |
|
|
VIDYUT DEVENDRAKUMAR,M/S
(Member : BSE)
|
|
|
|
VIDYUT DEVENDRAKUMAR
|
|
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT EXERCISE DUE CARE AND DILIGENCE AT THE TIME OF ADMITTING CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-DEC-2005
|
|
| 311 |
|
|
VIJAY VYAS,M/S
(Member : MPSE)
|
|
|
|
VIJAY VYAS
|
|
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF EONOUR TECHNOLOGIES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF EONOUR TECHNOLOGIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-NOV-2003 TO 17-JAN-2004
29-OCT-2003
|
|
| 312 |
|
|
VINITHA ASSOCIATES
(Member : MDSE)
|
|
|
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY AND FAIRNESS IN CONDUCT OF BUSINESS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-MAR-1998 TO 17-JUN-1998
28-FEB-1998
|
|
| 313 |
|
|
VISHAL J.SHAH & CO.
(Member : CSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
AIDED ASHWIN MEHTA IN PRICE MANIPULATION IN SCRIP OF WESTERN PROJECTS LTD.
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
23-FEB-2007
|
|
| 314 |
|
|
VN PAREKH SECURITIES PVT.LTD.
(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
|
|
| 315 |
|
|
VYOMIT SHARES STOCKS & INVESTMENTS PVT.LTD.
(PAN:AAACV3499H)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ALLOWING SUB BROKER TO TRADE IN SCRIP OF SAWACA COMMUNICATIONS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-JAN-2006
|
|
| 316 |
|
|
WOODSTOCK BROKING PVT.LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-SEP-2004
|
|
| 317 |
|
|
WOODSTOCK SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
|
SURESH K.JAJOO
|
|
|
VIMLA JAJOO
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-SEP-2004
|
|
| 318 |
|
|
WYSCARE SECURITIES PVT.LTD.
(Member : BGSE)
|
|
|
DID NOT MAINTAIN CLIENT AGREEMENTS
ALLOWED THIRD PARTY TO PLACE ORDERS FOR CLIENTS WITHOUT OBTAINING WRITTEN CONSENT FROM CLIENTS
DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-OCT-2006 TO 07-NOV-2006
03-OCT-2006
|
|
| 319 |
|
|
YATIN D.SHAH,M/S
(Member : PSE)
|
|
|
|
YATIN D.SHAH
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
INVOLVED IN CREATION OF FALSE MARKET, CIRCULAR TRADING AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-DEC-2007 TO 19-JUN-2009
29-NOV-2007
|
|
| 320 |
|
|
YOHA SECURITIES LTD.
(PAN:AAACY0254D)
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 07-OCT-2002
16-SEP-2002
|
SAT: APPEAL DISMISSED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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