| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
B.M.GANDHI SECURITIES PVT.LTD.
(PAN:AABCB3557B)
(Member : BSE)
|
|
|
|
PARESH GANDHI
|
|
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
25-AUG-2011
|
|
| 22 |
|
|
BHARAT J.PATEL,M/S
(PAN:AAAPP6652R)
(Member : BSE)
|
|
|
|
BHARAT JAYANTILAL PATEL
PAN:AAAPP6652R
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE WHILE DEALING IN SCRIP OF SUNEARTH CERAMICS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
01-FEB-2010
|
|
| 23 |
|
|
BHARAT RAMKRISHNA SEKHSARIA,M/S
(PAN:AAVPS1689L)
(Member : BSE)
|
|
|
|
BHARAT RAMKRISHNA SEKHSARIA
PAN:AAVPS1689L
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENT DAMAYANTI FINVEST IN SCRIP OF KRIB BIOCHEMICALS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-JAN-2006
|
SEBI VIDE ITS NOTICE DATED 17/03/2016 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
SAT: SAT VIDE ITS ORDER DATED 11/01/2018 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 24 |
|
|
BHUWALKA & SONS
(Member : CSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-JAN-2006
|
|
| 25 |
|
|
BIPIN R.VORA,M/S
(Member : BSE)
|
|
|
|
BIPIN R.VORA
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-DEC-2005
|
|
| 26 |
|
|
BONANZA PORTFOLIO LTD.
(CIN:U65991DL1993PLC052280
PAN:AAACB0764B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME IN SCRIP OF SHREE YAAX PHARMA & COSMETICS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-AUG-2008
|
|
| 27 |
|
|
CLARIDGES INVESTMENTS & FINANCE PVT.LTD.
(PAN:AAACC1607N)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CYBERSPACE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
09-APR-2012
|
|
| 28 |
|
|
CONSORTIUM SECURITIES PVT.LTD.
(PAN:AAACC5554G)
(Member : NSE)
|
|
|
DID NOT MAINTAIN RECORD OF TIME CLIENT PLACED ORDER AS PER SEBI CIRCULAR DATED 11/02/1997
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-JUL-2010
|
|
| 29 |
|
|
CONSORTIUM SECURITIES PVT.LTD.
(PAN:AAACC5554G)
(Member : NSE)
|
|
|
|
MADAN MOHAN SINGH
|
|
|
P.S.KALRA
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-JUL-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE DATED 31/07/2009
|
| 30 |
|
|
CSL SECURITIES PVT.LTD.
(Member : DSE)
|
|
|
|
P.S.KALRA
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN EVASION OF MARGIN MONEY
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-NOV-2009
|
|
| 31 |
|
|
DEEPAK JHUNJHUNWALA & CO.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RADIANT FINANCIAL SERVICES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
26-JUL-2010
|
|
| 32 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE WHILE DEALING IN SCRIP OF G-TECH INFO TRAINING LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
29-JAN-2010
|
|
| 33 |
|
|
EDELWEISS BROKING LTD.
(Member : NSE/BSE)
|
|
|
DID NOT REPORT SUSPICIOUS TRANSACTIONS TO FIU VIOLATING CLAUSE A(2) OF CODE OF CONDUCT AS SPECIFIED SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 21/11/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 34 |
|
|
EQUISEARCH BROKING PVT.LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE TRADING ON BEHALF OF ITS CLIENTS IN SCRIP OF SHREE YAAX PHARMA & COSMETICS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-DEC-2008
|
|
| 35 |
|
|
FAIR INTERMEDIATE INVESTMENT PVT.LTD.
(PAN:AAACF7530K)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PFL INFOTECH LTD.
|
RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-NOV-2022
|
SAT: SAT VIDE ITS ORDER DATED 07/06/2023 DISMISSED THE APPEAL. NO COSTS
|
| 36 |
|
|
FLORA SECURITIES
(Member : NSE)
|
|
|
DID NOT FRAME SPECIFIC CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING AS REQUIRED UNDER REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEFICIENCIES IN REGISTRATION FORMS
PAN NO. OF CLIENTS NOT APPEARING ON CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
03-MAR-2010
|
|
| 37 |
|
|
FMS SECURITIES LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2),A(3) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ADITYA INFOSOFT LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
23-JUL-2013
|
|
| 38 |
|
|
FMS SECURITIES LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF OASIS MEDIA MATRIX LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-MAY-2010
|
|
| 39 |
|
|
FMS SECURITIES LTD.
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SAARC NET LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
26-APR-2010
|
|
| 40 |
|
|
GNH GLOBAL SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KREB BIOCHEMICALS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-DEC-2005
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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