| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
NAVRATAN CAPITAL & SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
UNDER SECTION 11B OF SEBI ACT.1992
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 12-MAR-2001 TILL FURTHER ORDER
12-MAR-2001
|
|
| 22 |
|
|
NH SECURITIES LTD.
(PAN:AAACS7140Q)
(Member : BSE/NSE)
|
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 21-JUN-2001 TILL PENDING ENQURY
21-JUN-2001
|
|
| 23 |
|
|
NIRMAL BANG SECURITIES PVT.LTD.
(PAN:AAACN7369L)
(Member : BSE)
|
|
|
|
DILIP M.BANG
|
|
|
KISHORE M.BANG
|
|
|
NIRMAL BANG
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-JUN-2001 TILL FURTHER ORDER
04-JUN-2001
|
SAT: OPERATION OF ORDER CANCELLING REGISTRATION GRANTED TO APPELLANTS STAYED FOR 10 WEEKS AND RESPONDENT WILL FILE REPLY WITHIN 3 WEEKS FROM DATE OF ORDER
SAT: PART OF ORDER I.E.CANCELLING CERTIFICATE OF REGISTRATION OF BANG SECURITIES PVT.LTD. SET ASIDE AND APPEAL DISPOSED OF
|
| 24 |
|
|
P.R.SHAH SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 25 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
|
HASMUKHLAL N.VORA
|
|
|
RUPESHBHAI DEVENDRABHAI SHAH
|
|
|
UDAY H.VORA
PAN:AAMPV2972L
|
|
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
INDULGED IN SYNCHRONIZED DEALS
EXECUTED FICTITIOUS TRANSACTIONS
INFLUENCED PRICE OF SCRIPS
POSSIBILITY OF INSIDER TRADING IN VIEW OF PRICE SENSITIVE INFORMATION BEING MADE AVAILABLE TO IT AS A RESULT OF ITS ASSOCIATION WITH THE COMPANIES
INVOLVED IN FLOATING BOGUS ENTITIES
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 29-JAN-2004 TILL FURTHER ORDER
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JAN-2004 TILL FURTHER ORDER
29-JAN-2004
|
|
| 26 |
|
|
PARKLIGHT SECURITIES LTD.
(PAN:AABCP6609A)
(Member : ASE)
|
|
|
|
HITESHBHAI RAVINDRABHAI BHATT
|
|
|
RUPESHBHAI DEVENDRABHAI SHAH
|
|
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
INDULGED IN SYNCHRONIZED DEALS
EXECUTED FICTITIOUS TRANSACTIONS
INFLUENCED PRICES OF SEVERAL COMPANIES
POSSIBILITY OF INSIDER TRADING IN VIEW OF PRICE SENSITIVE INFORMATION BEING MADE AVAILABLE TO IT AS A RESULT OF ITS ASSOCIATION WITH THE COMPANIES
INVOLVED IN FLOATING BOGUS ENTITIES
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 29-JAN-2004 TILL FURTHER ORDER
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JAN-2004 TILL FURTHER ORDER
29-JAN-2004
|
|
| 27 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
|
A.HAMEED A.GAFFAR MEMON
|
|
|
ABDUL HAMEED ABDUL GAFFER MEMON
|
|
|
ABDULHAMED A.GAFFAR MEMON
|
|
|
ABDULSAMAD ABDUL GAFFER MEMON
|
|
|
AHMED ZAFAR SARESHWALA
|
|
|
AMENA MAKSUD KOTHAWALA
|
|
|
ASLAMKHAN REHMATKHAN PATHAN
|
|
|
ASMA UVES SARESHWALA
|
|
|
FATEMA MUKHTAR KOTHAWALA
|
|
|
FATEMA UVES SARESHWALA
|
|
|
GULAM RASOOL MOHIUDDIN BOMBAYWALA
|
|
|
HABIB ZAFAR SARESHWALA
PAN:BGKPS5329B
|
|
|
IFTEKHAR MOHAMMED YUSUF MANSOORI
|
|
|
KHADIJA ZAFAR SARESHWALA
|
|
|
MAKSUD YUSUFBHAI KOTHAWALA
|
|
|
MANSURI IFTEKHAR M.YUSUF
|
|
|
MARIAM YUSUF KOTHAWALA
|
|
|
MOHAMMED A.KOTHAWALA
|
|
|
MOHAMMED ALIBHAI KOTHAWALA
PAN:ADUPK0440R
|
|
|
MUKHTAR YUSUFBHAI KOTHAWALA
|
|
|
NASIR MALIK
|
|
|
QUDSIYA TALHA SARESHWALA
|
|
|
SALEHA MOHAMMED YUNUS SARESHWALA
|
|
|
SUMAIYA TALHA SARESHWALA
|
|
|
TALHA SARESHWALA
|
|
|
TALHA YUNUS SARESHWALA
|
|
|
UMAR UVES SARESHWALA
PAN:BFQPS9169J
|
|
|
UVES MOHAMMED YUNUS SARESHWALA
DIN:00123493
PAN:AOFPS5856M
|
|
|
YUSUFBHAI UMARBHAI KOTHAWALA
|
|
|
ZAFAR YUNUS SARESHWALA
DIN:00123536
PAN:ANYPS8494D
|
|
INDULGED IN CONSPIRACY WITH REGISTRAR IN GETTING SHARES TRANSFERRED FRAUDULENTLY IN THEIR ACCOUNT IN MATTER OF PARSOLI CORP.LTD.
INDULGED IN CONSPIRACY WITH REGISTRAR IN DELAYING TRANSFER OF SHARES IN MATTER OF PARSOLI CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2009 TILL FURTHER ORDERS
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED TO REMOVE PINNACLE SHARES REGISTRY PVT.LTD. AS REGISTRAR AND TRANSFER AGENT AND APPOINT ANOTHER REGISTRAR AND TRANSFER AGENT WITHIN SIX MONTHS
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED TO CONDUCT SECRETARIAL AUDIT TO IDENTIFY ACTUAL SHAREHOLDERS AND RECONCILE THEIR RECORDS
20-FEB-2009
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SAT: DIRECTED SEBI TO CONCLUDE ENQUIRY PROCEEDINGS AT THE EARLIEST BUT NOT LATER THAN 31/07/2010, EVEN IF APPELLANT DOES NOT FILE ITS REPLY WITH NO ORDER AS TO COSTS
|
| 28 |
|
|
RAJRATAN R.MOHTA,M/S
(Member : BSE)
|
|
|
|
RAJRATAN R.MOHTA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 29 |
|
|
RAMRAKH R.BOHRA,M/S
(Member : BSE)
|
|
|
|
RAMRAKH R.BOHRA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 30 |
|
|
RATHI CAPITAL & SECURITIES LTD.
(Member : BSE)
|
|
|
UNDER SECTION 11B OF SEBI ACT.1992
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 12-MAR-2001 TILL FURTHER ORDER
12-MAR-2001
|
|
| 31 |
|
|
RATHI GLOBAL FINANCE LTD.
(Member : OTC)
|
|
|
UNDER SECTION 11B OF SEBI ACT.1992
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 12-MAR-2001 TILL FURTHER ORDER
12-MAR-2001
|
|
| 32 |
|
|
SATYANARAYAN NANGALIA,M/S
(Member : BSE)
|
|
|
|
SATYANARAYAN NANGALIA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 33 |
|
|
SHARUKH N.TARA,M/S
(Member : BSE)
|
|
|
|
SHARUKH N.TARA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 34 |
|
|
SONY SECURITIES LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-NOV-1998
30-OCT-1998
|
|
| 35 |
|
|
STAR SHARE & STOCK BROKERS LTD.
(PAN:AAACS9106Q)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-NOV-1998
30-OCT-1998
|
|
| 36 |
|
|
STENLY CREDIT CAPITAL LTD.
(CIN:L65910UP1990PLC012491)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-NOV-1998
30-OCT-1998
|
|
| 37 |
|
|
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
|
|
| 38 |
|
|
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
|
|
| 39 |
|
|
VALFIN FINANCIAL SERVICES PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-NOV-1998
30-OCT-1998
|
|
| 40 |
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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