| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
BRR SECURITIES PVT.LTD.
(Member : UPSE)
|
|
|
DECLARED DEFAULTER AND NOT RE-ADMITTED WITHIN A PERIOD OF SIX MONTHS
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 28-SEP-2006
28-SEP-2006
|
|
| 22 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF BOLTON PROPERTIES LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BOLTON PROPERTIES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BOLTON PROPERTIES LTD.
|
IMPOSED PENALTY RS.5,00,000
13-OCT-2010
|
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 23 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF OASIS CINE COMMUNICATIONS LTD.
DID NOT MAINTAIN 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) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF OASIS CINE COMMUNICATIONS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS CINE COMMUNICATION LTD.
|
IMPOSED PENALTY RS.3,00,000
03-JAN-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 24 |
|
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SANGOTRI CONSTRUCTIONS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SANGOTRI CONSTRUCTIONS LTD.
DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SANGOTRI CONSTRUCTIONS LTD.
|
IMPOSED PENALTY RS.7,50,000
21-JAN-2011
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
SEBI VIDE ITS NOTICE DATED 15/12/2023 DIRECTED TO PAY RS.19,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 25 |
|
|
C.P.SIKARIA & CO.
(Member : CSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT COLLECT MARGINS FROM CLIENTS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DEFICIENCIES IN REGISTRATION FORMS
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-JUN-2006 TO 11-DEC-2006
22-MAY-2006
|
|
| 26 |
|
|
CHANDRAKANT GANDHI STOCK BROKERS PVT.LTD.
(CIN:U67120GJ1997PTC033351)
(Member : VSE)
|
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
|
IMPOSED PENALTY RS.15,000
15-DEC-1999
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 15/12/1999 SET ASIDE
|
| 27 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : BSE/NSE/MSEI)
|
|
|
DID NOT ADHERE TO ‘KNOW YOUR CLIENT’ (KYC), CLIENT DUE DILIGENCE (CDD), ANTI-MONEY LAUNDERING (AML)/PREVENTION OF MONEY LAUNDERING ACT, 2002 (PMLA) AND COMBATING FINANCING OF TERRORISM (CFT)
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT FOLLOW NORMS FOR NOMENCLATURE OF ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
DID NOT FURNISH REQUISITE INFORMATION TO SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT REDRESS INVESTOR COMPLAINTS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 20-SEP-2023
20-SEP-2023
|
|
| 28 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE/BSE/MSEI)
|
|
|
|
ANUJ GARG
PAN:AHEPG5644F
|
|
|
DINESH KUMAR
PAN:ABKPK0853A
|
|
|
PAWAN KUMAR GARG
DIN:0, , , ,
PAN:AAPPG1517R
|
|
|
SHASHI GARG
PAN:AIGPG7786F
|
|
DID NOT CAPTURE INCOME DETAILS OF CLIENTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT FOLLOW NORMS FOR NOMENCLATURE OF ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
DID NOT FURNISH REQUISITE INFORMATION TO SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS
|
IMPOSED PENALTY RS.4,00,000
22-MAY-2023
|
SEBI VIDE ITS NOTICE DATED 14/09/2023 DIRECTED TO PAY RS.4,21,000.00 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
|
| 29 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE)
|
|
|
CONNECTED TO SECONDARY SERVER WITHOUT ANY SUFFICIENT REASON DURING INVESTIGATION PERIOD VIOLATING NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH POINT 2(A) OF CHAPTER V OF NSE BYE-LAWS READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ACCESSING SECONDARY SERVER OF NSE COLOCATION IN LINE WITH INSTRUCTION OF NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES VIOLATING CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
CONNECTED TO SECONDARY SERVER REPEATEDLY WITHOUT VALID REASON VIOLATING REGULATIONS 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF NSE CO-LOCATION FACILITY
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY OF SEBI
|
IMPOSED PENALTY RS.12,00,000
16-APR-2021
|
SEBI VIDE ITS NOTICE DATED 20/04/2022 DIRECTED TO PAY RS.13,57,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 10/05/2022 DIRECTED ALL THE BANKS 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
|
| 30 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
INDULGED IN CIRCULAR, SYNCHRONIZED AND REVERAL OF TRADE TRANSACTIONS IN SCRIP OF ROBINSON WORLDWIDE TRADE LTD.
|
IMPOSED PENALTY RS.4,00,000
28-JUL-2008
|
SEBI VIDE ITS NOTICE DATED 11/07/2014 DIRECTED ALL THE BANKS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 31 |
|
|
DWIJENDRA NATH HAZARIKA,M/S
(Member : GSE)
|
|
|
|
DWIJENDRA NATH HAZARIKA
|
|
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 23-FEB-1999 TO 22-AUG-1999
18-FEB-1999
|
|
| 32 |
|
|
ECHOLAC FINVEST PVT.LTD.
(Member : NSE)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF GUJARAT HEAVY CHEMICALS LTD.
|
IMPOSED PENALTY RS.1,50,000
16-DEC-2010
|
|
| 33 |
|
|
ESHA SECURITIES LTD.
(CIN:U99999DL1994PLC059396
PAN:AAACE2862P)
(Member : DSE)
|
|
|
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT AFFIX STAMPS ON CONTRACT NOTES
DID NOT ISSUANCE OF CONTRACT NOTES IN TIME
DID NOT SUBMIT COPIES OF CONTRACT NOTES FOR INSPECTION
DID NOT MAINTAIN DESPATCH RECORDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH UN-REGISTERED SUB-BROKERS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT APPOINT COMPLIANCE OFFICER
DELAYED SUBMISSION OF BROKER'S DATABASE TO INSPECTING AUTHORITY
EXECUTED TRADES IN FICTITIOUS NAMES
DID NOT OBTAIN PRIOR PERMISSION FROM SEBI PERTAINING TO CHANGE IN THE CONSTITUTION OF BOARD OF DIRECTORS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
EXCEEDED PERMISSIBLE TURNOVER LIMITS AT STOCK EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-JUN-2006 TO 19-DEC-2006
30-MAY-2006
|
|
| 34 |
|
|
F6 FINSERVE PVT.LTD.
(PAN:AABCF0080D)
(Member : BSE/NSE)
|
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH REQUISITE INFORMATION TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 21-JUN-2023
21-JUN-2023
|
|
| 35 |
|
|
F6 FINSERVE PVT.LTD.
(PAN:AABCF0080D)
(Member : BSE/NSE)
|
|
|
|
DEEPAK GOEL
PAN:ADEPG1122G
|
|
|
MEENU GOEL
PAN:AFSPG7531F
|
|
|
PANKAJ GOEL
PAN:ACTPG7828D
|
|
|
RUCHIKA GOEL
PAN:AIAPG7306B
|
|
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT CO-OPERATE AND NOT SUBMITTED DOCUMENTS DURING INSPECTION
|
IMPOSED PENALTY RS.89,00,000
18-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 01/06/2023 DIRECTED TO PAY RS.97,02,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 15/09/2023 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
|
| 36 |
|
|
FAIRWEALTH SECURITIES LTD.
(PAN:AAACF8795N)
(Member : BSE/NSE)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF IRREGULAR TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
IMPOSED PENALTY RS.1,00,000
10-MAY-2012
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
|
| 37 |
|
|
FAIRWEALTH SECURITIES LTD.
(PAN:AAACF8795N)
(Depository Participants : CDSL,Member : NSE/MSEI/BSE)
|
|
|
UNAUTHORISED OFF-MARKET TRANSACTIONS IN CLIENTS’ ACCOUNTS
TRANSFERRED CLIENTS SECURITIES TO ITS RELATED ENTITIES
MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
MISUSED PLEDGING OF CLIENT’S SECURITIES
DID NOT ISSUE STATEMENT OF PLEDGING TO CLIENTS SECURITIES
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT MAINTAIN EVIDENCE/PRE TRADE AUTHORIZATION/CONFIRMATION IN RESPECT OF ORDERS PLACED BY CLIENTS
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
PAID EMPLOYEES SALARY FROM CLIENTS ACCOUNT AND EXCESSIVE CASH TRANSACTIONS
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
REPORTED WRONG NET WORTH TO EXCHANGE
ENGAGED IN BUSINESS OTHER THAN SECURITIES
DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS
PURCHASED SECURITIES IN UN-REGISTERED CLIENT CODES
PLEDGED CLIENT’S SECURITIES FROM OTHER THAN CLIENT’S ACCOUNTS
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-JUL-2023
CANCELLED REGISTRATION AS DEPOSITORY PARTICIPANT
26-JUL-2023
|
|
| 38 |
|
|
FICUS SECURITIES PVT.LTD.
(PAN:AAACV0429K)
(Member : BSE/MSEI/NSE)
|
|
|
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT REDRESS INVESTOR COMPLAINTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAKE DISCLOSURE OF DP ACCOUNTS AND/OR BANK ACCOUNT TO STOCK EXCHANGES
DID NOT FURNISH REQUISITE INFORMATION TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-SEP-2022
23-SEP-2022
|
|
| 39 |
|
|
FORD BROTHERS CAPITAL SERVICES LTD.
(PAN:AAACF0757E)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NANDAN EXIM LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF NANDAN EXIM LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO 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 NANDAN EXIM LTD.
|
IMPOSED PENALTY RS.20,00,000
14-MAY-2013
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 23/04/2014 SET ASIDED PENALTY OF RS.10 LACS IMPOSED UNDER SECTION 15HA OF SEBI ACT. NO COSTS
|
| 40 |
|
|
FRIENDS PORTFOLIO PVT.LTD.
(Member : DSE)
|
|
|
|
BISHAN CHAND AGGARWAL
|
|
|
MANOJ KUMAR AGGARWAL
|
|
|
MEENU AGGARWAL
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2005
|
SEBI VIDE ITS NOTICE DATED 03/02/2015 DIRECTED ALL THE BANKS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 7
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