| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
SHRI PARSHWA FINANCE
(Sub-Broker of P.SURYAKANT SHARE & STOCK BROKERS PVT.LTD., Member : BSE)
|
|
|
|
PIYUSH SUBODHCHANDRA JHAVERI
|
|
CREATED ARTIFICIAL VOLUMES IN SCRIP OF SHALIBHADRA INFOSEC LTD. AND ASSISTED PROMOTERS OF THE COMPANY IN OFFLOADING ITS UNLISTED SHARES IN THE SECONDARY MARKET
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 22 |
|
|
SURANA CAPITAL MARKETS
(PAN:AAJPS3597H)
(Sub-Broker of MSE FINANCIAL SERVICES LTD., Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS IN SCRIP OF KWALITY DAIRY (INDIA) LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-DEC-2009 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
01-DEC-2009
|
AD-INTERIM EX-PARTE ORDER DATED 01/12/2009 CONFIRMED. VIDE ORDER DATED 25/03/2010
DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 01/12/2009 AND CONFIRMATORY ORDERS DATED 25/03/2010 AND 19/11/2010 REVOKED WITH IMMEDIATED EFFECT, VIDE ORDER DATED 31/03/2011
|
| 23 |
|
|
TIMES SECURITIES LTD.
(CIN:U67120OR1992PLC003204)
(Sub-Broker of ARUN KUMAR GIRDHAR, Member : BHSE)
|
|
|
SIPHONED FUNDS OUT OF BHUBANESWAR STOCK EXCHANGE TO THE TUNE OF RS. 1.30 CRORE INCLUDING INTEREST THROUGH THE EXCHANGE'S MEMBERS WELFARE TRUST
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-OCT-2002 TILL FURTHER ORDERS
29-OCT-2002
|
VACATED THE PROHIBITION IMPOSED VIDE ORDER DTD. OCTOBER 29,2002
|
| 24 |
|
|
VINTEL SECURITIES PVT.LTD.
(PAN:AABCV0925H)
(Sub-Broker of ISJ SECURITIES PVT.LTD., Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SUN INFOWAYS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) IN MATTER OF SUN INFOWAYS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-OCT-2011 TO 18-JAN-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-OCT-2011 TO 18-JAN-2012
19-OCT-2011
|
|
| 25 |
|
|
VRUDDHI CONFINVEST INDIA PVT.LTD.
|
|
|
|
DEVINA MEHRA
|
|
|
SHANKAR SHARMA
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS SUB BROKER FROM 25-MAY-2001 TILL PENDING ENQUIRY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2001 TILL PENDING ENQUIRY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2001 TILL PENDING ENQUIRY
25-MAY-2001
|
SAT: APPEAL DISMISSED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 2
|
