SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE � PRESS RELEASES/ CHAIRMAN�S AND MEMBER�S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: VIOLATED CODE OF CONDUCT

S.No.

ENTITY

PERSONS

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

BAHUBALI FOREX PVT.LTD.

(PAN:AAECB6882G)

DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE

IMPOSED PENALTY RS.5,00,000

31-MAR-2023

SEBI VIDE ITS NOTICE DATED 26/07/2023 DIRECTED TO PAY RS.5,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 30/10/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6984 OF 2023 DATED 26/07/2023

BMA WEALTH CREATORS LTD.

(PAN:AACCB5141L)

IMPOSED PENALTY RS.2,00,000

31-MAR-2023

SEBI VIDE ITS NOTICE DATED 10/07/2023 DIRECTED TO PAY RS.2,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 03/08/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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

C.V.PABARI & CO.

(PAN:AABPP5757A)

Click here to view complete history of this specific entity/person

CHETAN PABARI

CERTIFIED ACCOUNTS OF LISTED COMPANY NEGLIGENTLY

DID NOT MAINTAIN PROFESSIONAL STANDARD IN AUDIT

RESTRAINED FROM ISSUING ANY CERTIFICATE, DIRECTLY OR INDIRECTLY, REQUIRED UNDER SECURITIES LAWS I.E.SEBI ACT FROM 31-OCT-2018 TO 30-OCT-2023

DIRECTED NOT TO DIRECTLY OR INDIRECTLY ISSUE ANY CERTIFICATE OF AUDIT OF LISTED COMPANIES, COMPLIANCE OF OBLIGATIONS OF LISTED COMPANIES AND INTERMEDIARIES REGISTERED WITH SEBI AND REQUIREMENTS UNDER SEBI ACT, 1992, SCRA 1956, THE DEPOSITORY ACT, 1996 AND COMPANIES ACT 2013 FROM 31-OCT-2018 TO 30-OCT-2023

30-AUG-2017

SEBI VIDE ITS ORDER DATED 31/10/2018 DIRECTED 1) NOT TO DIRECTLY OR INDIRECTLY ISSUE ANY CERTIFICATE OF AUDIT OF LISTED COMPANIES, COMPLIANCE OF OBLIGATIONS OF LISTED COMPANIES AND INTERMEDIARIES REGISTERED WITH SEBI AND REQUIREMENTS UNDER SEBI ACT, 1992, SECURITIES CONTRACTS (REGULATION) ACT, 1956, DEPOSITORY ACT,1996 AND COMPANIES ACT, 2013 FOR A PERIOD OF FIVE YEARS AND DIRECTED LISTED COMPANIES AND INTERMEDIARIES REGISTERED WITH SEBI NOT TO ENGAGE WITH C. V PABARI & CO. AND MR.C.V.PABARI FOR ISSUING ANY CERTIFICATE WITH RESPECT TO COMPLIANCE OF STATUTORY REQUIREMENTS FOR FIVE YEARS

CONCORD VINIMAY PVT.LTD.

(PAN:AADCC4910B)

IMPOSED PENALTY RS.5,00,000

31-MAR-2023

SEBI VIDE ITS NOTICE DATED 24/07/2024 DIRECTED TO PAY RS.5,86,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 20/08/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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

CPR CAPITAL SERVICES LTD.

(PAN:AAACC3235A)

FACILITATED CLIENTS IN EXECUTING MANIPULATIVE REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE WITHOUT HAVING A MECHANISM IN PLACE TO RECOGNIZE THE SAME VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992

IMPOSED PENALTY RS.2,00,000

17-MAY-2023

SEBI VIDE ITS NOTICE DATED 07/08/2024 DIRECTED TO PAY RS.2,33,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 10/01/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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

CROWN INTERNATIONAL

(Along with : ADANI ENTERPRISES LTD.)

VIOLATED SEBI CODE OF CONDUCT

AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009

25-MAY-2007

SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)

24-APR-2008~

SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER

D.K.CONSULTANCY

NEERAV BHAGAT

DELIVERED FAKE/FORGED SHARES

CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012

27-AUG-2007

DESTINY SECURITIES LTD.

(PAN:AABCD9470H)

IMPOSED PENALTY RS.2,00,000

31-MAR-2023

SEBI VIDE ITS NOTICE DATED 07/07/2023 DIRECTED TO PAY RS.2,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 04/08/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6801 OF 2023 DATED 07/07/2023

DOSHI, CHATTERJEE, BAGRI & CO.LLP

R.K.BAGRI

PAN:ADAPB9341A

CERTIFIED ACCOUNTS OF LISTED COMPANY NEGLIGENTLY

DID NOT MAINTAIN PROFESSIONAL STANDARD IN AUDIT

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-FEB-2017 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-FEB-2017 TILL FURTHER ORDERS

RESTRAINED FROM ISSUING ANY CERTIFICATE, DIRECTLY OR INDIRECTLY, REQUIRED UNDER SECURITIES LAWS I.E.SEBI ACT FROM 16-FEB-2017 TILL FURTHER ORDERS

16-FEB-2017

ESS ESS INTERMEDIARIES PVT.LTD.

(PAN:AAACE7722Q)

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ADANI EXPORTS LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 15 READ WITH CLAUSES A(1),A(2),D(1),D(4) AND D(5) OF CODE OF CONDUCT FOR SUB-BROKERS UNDER SCHEDULE II OF SEBI BROKER REGULATIONS, 1992 IN MATTER OF ADANI EXPORTS LTD. (NOW KNOWN AS ADANI ENTERPRISES LTD.)

IMPOSED PENALTY RS.10,00,000

14-DEC-2012

SAT: SAT VIDE ITS ORDER DATED 19/06/2013 MODIFIED SEBI'S ORDER DATED 14/12/2012 BY REDUCING PENALTY AMOUNT TO RS.1 LAC FROM RS.10 LACS. NO ORDER AS TO COSTS

F6 FINSERVE PVT.LTD.

(PAN:AABCF0080D)

DEEPAK GOEL

PAN:ADEPG1122G

RUCHIKA GOEL

PAN:AIAPG7306B

DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS

FUNDS RECEIVED IN CLIENT A/C TRANSFERRED TO OVERDRAFT BANK A/C

USED SECURITIES FROM CLIENTS TO MEET OBLIGATION OF ANOTHER CLIENT

MIS-UTILIZED SECURITIES FOR SETTLEMENT OF PRO/OWN OBLIGATION

RECEIVED SECURITIES FROM THIRD PARTY IN ITS CLIENTS A/C

DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS

RAISED FUNDS BY PLEDGING SECURITIES OF CLIENTS

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

INDULGED IN TRANSFER OF RS.5.51 CRORE (APPROX) BETWEEN F6 SECURITIES PVT.LTD. AND F6 COMMODITIES PVT.LTD.

DID NOT CO-OPERATE AND PROVIDE COMPLETE INFORMATION TO INSPECTION AUTHORITY VIOLATING OF REGULATION 21 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992

DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO THE STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JUN-2022 TO 08-JUN-2027

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JUN-2022 TO 08-JUN-2027

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 09-JUN-2022 TO 08-JUN-2027

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI

DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 09-JUN-2022 TO 08-JUN-2027

DIRECTED TO REFUND MONEY TO THE INVESTORS

29-MAY-2018

F6 FINSERVE PVT.LTD.

(PAN:AABCF0080D)

IMPOSED PENALTY RS.2,00,000

31-MAR-2023

SEBI VIDE ITS NOTICE DATED 10/07/2023 DIRECTED TO PAY RS.2,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 03/02/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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

F6 FINSERVE PVT.LTD.

(PAN:AABCF0080D)

ASHA SHARMA

PAN:AWHPS6616H

KAVITA ANAND

PAN:ABHPA9289M

PRAVEEN SHARMA

PAN:ACDPS3164Q

SANJAY ANAND

PAN:AADPA9398N

DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS

FUNDS RECEIVED IN CLIENT A/C TRANSFERRED TO OVERDRAFT BANK A/C

USED SECURITIES FROM CLIENTS TO MEET OBLIGATION OF ANOTHER CLIENT

MIS-UTILIZED SECURITIES FOR SETTLEMENT OF PRO/OWN OBLIGATION

RECEIVED SECURITIES FROM THIRD PARTY IN ITS CLIENTS A/C

DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

RAISED FUNDS BY PLEDGING SECURITIES OF CLIENTS

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

DID NOT CO-OPERATE AND PROVIDE COMPLETE INFORMATION TO INSPECTION AUTHORITY VIOLATING OF REGULATION 21 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992

DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO THE STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992

INDULGED IN TRANSFER OF RS.5.51 CRORE (APPROX) BETWEEN F6 SECURITIES PVT.LTD. AND F6 COMMODITIES PVT.LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAY-2018 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAY-2018 TILL FURTHER ORDERS

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-MAY-2018 TILL FURTHER ORDERS

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI

DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

29-MAY-2018

FERRARI TEXTILES PVT.LTD.

TOHID HAZI GAFFAR

DELIVERED FAKE/FORGED SHARES

CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012

27-AUG-2007

FICUS COMMODITIES PVT.LTD.

(PAN:AABCV4377P)

PRASHANT KUMAR NAYAK

PAN:AFTPN9303D

DID NOT MAKE DISCLOSURE OF ALL OF DP A/CS TO STOCK EXCHANGES VIOLATING CLAUSES A(1), A(4) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992

RAISED FUNDS BY PLEDGING CLIENTS SECURITIES VIOLATING CLAUSE A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992

DID NOT REPORT CORRECT MARGIN TO EXCHANGES IN CD AND FO SEGMENT VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT SETTLE CLIENT�S FUNDS AND/OR SECURITIES

TRANSFERRED CLIENTS FUNDS TO FCPL AND FSPL ACCOUNTS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-MAR-2018 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAR-2018 TILL FURTHER ORDERS

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-MAR-2018 TILL FURTHER ORDERS

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI

DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES

20-MAR-2018

FICUS COMMODITIES PVT.LTD.

(PAN:AABCV4377P)

NEENA BANSAL

PAN:AIDPB7112P

POONAM RAJBHAR

PAN:AGQPR0343D

SHABNAM JOHN

PAN:AGUPJ1830F

TRIPTA KAPOOR

PAN:ASVPK5946Q

WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

20-MAR-2018

FICUS SECURITIES PVT.LTD.

(PAN:AAACV0429K)

NEENA BANSAL

PAN:AIDPB7112P

POONAM RAJBHAR

PAN:AGQPR0343D

SHABNAM JOHN

PAN:AGUPJ1830F

TRIPTA KAPOOR

PAN:ASVPK5946Q

WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

20-MAR-2018

GOGIA INTERNATIONAL SECURITIES LTD.

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH CIRCULAR/REVERSAL OF TRADE/SYNCHRONIZED TRANSACTIONS IN SCRIP OF TODAY�S WRITING PRODUCTS LTD.

ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF TODAY�S WRITING PRODUCTS LTD.

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,75,000 VIDE CONSENT ORDER)

31-DEC-2009

GRD SECURITIES LTD.

(PAN:AABCG7534M)

INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATION ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

IMPOSED PENALTY RS.3,00,00,000

25-MAR-2014

SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS

SAT: SAT VIDE ITS ORDER DATED 13/01/2025 DIRECTED RESPONDENT TO FILE REPLY WITHIN 10 DAYS FROM DATE OF THIS ORDER

GREENBUCKS SECURITIES PVT.LTD.

(PAN:AADCG6149A)

IMPOSED PENALTY RS.5,00,000

31-MAR-2023

SEBI VIDE ITS NOTICE DATED 28/07/2023 DIRECTED TO PAY RS.5,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 22/08/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.