| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ARVIND MULRAJ UDESHI
(PAN:AAOPU9404C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 22 |
|
|
ASHA SHARMA
(PAN:AWHPS6616H)
|
|
|
|
F6 FINSERVE PVT.LTD.
PAN:AABCF0080D
|
|
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
|
SEBI VIDE ITS ORDER DATED 14/12/2018 A) CONFIRMED THE DIRECTIONS ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 29/05/2018 B) DIRECTED DEPOSITORIES, REGISTRAR AND TRANSFER AGENTS AND BANKS THAT NO DEBITS/TRANSFER MADE FROM THE ACCOUNTS OF THE NOTICEES
SEBI VIDE ITS ORDER DATED 09/06/2022 DIRECTED TO BE CAREFUL BEFORE ASSOCIATING THEMSELVES AS A DIRECTOR IN ANY INTERMEDIARY OF THE SECURITIES MARKET
|
| 23 |
|
|
ASHADEVI BERIWALA
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF SURYA ROSHNI LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-MAR-2010
|
|
| 24 |
|
|
ASHOK GAGWANI
(PAN:AAFPG0318J)
|
|
|
VIOLATED SECTIONS 12A(A) TO (C) OF THE SEBI ACT READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF K SERA SERA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 25 |
|
|
ASHOK KUMAR CHATURVEDI
|
|
|
|
BOEING INVESTMENTS PVT.LTD.
|
|
INDULGED IN CREATION OF SYNCHRONIZED TRANSACTIONS IN SCRIP OF FLEX INDUSTRIES LTD. (NOW KNOWN AS UFLEX LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-JAN-2009
|
|
| 26 |
|
|
ASHOK KUMAR PODDAR
(PAN:AFTPP2389D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CYBERSPACE MULTIMEDIA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
23-SEP-2011
|
|
| 27 |
|
|
ASHOK PAMANI
(PAN:AOQPP2675G)
|
|
|
VIOLATED SECTIONS 12A(A) TO (C) OF THE SEBI ACT READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF K SERA SERA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 28 |
|
|
BABITABEN MAHENDRAKUMAR JAIN
(PAN:AAJPJ4929L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 29 |
|
|
BALASAHEB JAGANNATH KAMBLE
(PAN:AQUPK2396P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 30 |
|
|
BHARAT AMAN
(PAN:AERPA6411N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF RAM MINERALS & CHEMICALS LTD. (FORMERLY KNOWN AS IVCL CHEMICALS LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
04-JUN-2019
|
|
| 31 |
|
|
BHARAT PRANJIVANDAS MERCHANT
(PAN:ANGPM6837N)
|
|
|
|
URJA GLOBAL LTD.
PAN:AAACC0367M
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF URJA GLOBAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-MAY-2022
|
|
| 32 |
|
|
BHARAT SHANTILAL THAKKAR
(PAN:AAZPT9542R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 33 |
|
|
BHAVARLAL SONAJI MALVI
(PAN:AUXPM5267G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 34 |
|
|
BHAVESH PRAKASH PABARI
(PAN:AKGPP8679N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, CIRCULAR, SYNCHRONIZED AND SELF TRADES IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-FEB-2015 TO 09-FEB-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-FEB-2015 TO 09-FEB-2017
10-FEB-2015
|
|
| 35 |
|
|
BHUPENDRA KANSAGRA
(DIN:01897676)
|
|
|
INDULGED IN ISSUANCE OF GDRS OF CALS REFINERIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-DEC-2014
|
|
| 36 |
|
|
CHAMPALAL MOHANLAL JAIN
(PAN:AAAPJ9174C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 08/04/2022 CONDONED THE DELAY IN FILING OF APPEALS. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 37 |
|
|
CHANDRAKANT KERU SHINDE
(PAN:ALUPS1679Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 38 |
|
|
CHANDRIKA DHARMENDRA SANGHAVI
(PAN:AABPS8536Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 39 |
|
|
CHARANJEET SINGH
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 40 |
|
|
CHAYA DEEPAK THAKKER
(PAN:ABWPT3678G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 11
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