| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
CRB CAPITAL MARKETS LTD.
(Along with : S.K.JAIN,M/S)
|
|
|
CEASED TO BE FIT AND PROPER PERSON TO CONTINUE IN SECURITIES MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-APR-2003
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-APR-2003
03-APR-2003
|
DISPOSED OFF PROCEEDINGS
|
| 42 |
|
|
CREDIT SUISSE FIRST BOSTON (INDIA) SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 43 |
|
|
CSL STOCK BROKING PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2005 TILL FURTHER ORDERS
29-NOV-2005
|
CONFIRMED INTERIM ORDER DATED 29/11/2005
|
| 44 |
|
|
DIMENSIONAL SECURITIES PVT.LTD.
(PAN:AABCD1804D)
(Member : BSE/NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 45 |
|
|
DINESH KUMAR SINGHANIA & CO.
(Member : CSE)
|
|
|
|
DINESH KUMAR SINGHANIA
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
18-OCT-2002
|
|
| 46 |
|
|
DOE JONES INVESTMENTS & CONSULTANTS PVT.LTD.
(Member : CSE)
|
|
|
|
GOPAL SINGHANIA
|
|
|
RAJ KUMAR PATNI
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
18-OCT-2002
|
|
| 47 |
|
|
DOE JONES INVESTMENTS & CONSULTANTS PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DSQ INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JAN-2005 TO 18-JAN-2007
19-JAN-2005
|
|
| 48 |
|
|
DSE FINANCIAL SERVICES LTD.
(PAN:AABCD7233N)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KONKAN TYRES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
|
| 49 |
|
|
F6 COMMODITIES PVT.LTD.
(PAN:AACCF1155G)
(Member : MCX/NMCE/NCDEX)
|
|
|
|
MEENU GOEL
PAN:AFSPG7531F
|
|
|
PANKAJ GOEL
PAN:ACTPG7828D
|
|
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 09-JUN-2022 TO 08-JUN-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JUN-2022 TO 08-JUN-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 09-JUN-2022 TO 08-JUN-2027
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
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO REFUND MONEY TO THE INVESTORS
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 A) RESTRAINED FROM ACCESSING SECURITIES MARKET IN ANY MANNER AND ARE ALSO PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR FIVE YEARS B) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS, TILL SUCH TIME THE REFUNDS/REPAYMENTS C) BANKS TO ENSURE THAT NO DEBITS ARE MADE IN THE BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY NOTICES EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO THE CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF THE CONCERNED STOCK EXCHANGE D) JOINTLY AND SEVERALLY, LIABLE TO REPAY/REFUND THE INVESTORS/CLIENTS’ MONEY WITH INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL DATE OF ACTUAL REPAYMENT UNDER SUPERVISION OF NSE E) JOINTLY AND SEVERALLY, LIABLE TO RETURN THE SECURITIES DUE TO THE CLIENTS/INVESTORS OF F6 FINSERVE OR THEIR MONETARY VALUE AS ON THE DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SHARES, UNDER THE SUPERVISION OF NSE F) JOINTLY AND SEVERALLY, LIABLE TO REPAY/REFUND THE INVESTORS/CLIENTS’ MONEY WITH INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL THE DATE OF ACTUAL REPAYMENT UNDER THE SUPERVISION OF MCX AND B) JOINTLY AND SEVERALLY, LIABLE TO RETURN THE SECURITIES DUE TO THE CLIENTS/INVESTORS OF F6 COMMODITIES OR THEIR MONETARY VALUE AS ON DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SECURITIES, UNDER SUPERVISION OF MCX
|
| 50 |
|
|
F6 FINSERVE PVT.LTD.
(PAN:AABCF0080D)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
|
MEENU GOEL
PAN:AFSPG7531F
|
|
|
PANKAJ GOEL
PAN:ACTPG7828D
|
|
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
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
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 09-JUN-2022 TO 08-JUN-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JUN-2022 TO 08-JUN-2027
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 09-JUN-2022 TO 08-JUN-2027
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
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO REFUND MONEY TO THE INVESTORS
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 A) RESTRAINED FROM ACCESSING SECURITIES MARKET IN ANY MANNER AND ARE ALSO PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR FIVE YEARS B) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS, TILL SUCH TIME THE REFUNDS/REPAYMENTS C) BANKS TO ENSURE THAT NO DEBITS ARE MADE IN THE BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY NOTICES EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO THE CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF THE CONCERNED STOCK EXCHANGE D) JOINTLY AND SEVERALLY, LIABLE TO REPAY/REFUND THE INVESTORS/CLIENTS’ MONEY WITH INTEREST OF 15% P.A. FROM THE DATE WHEN THE REPAYMENT BECAME DUE TILL DATE OF ACTUAL REPAYMENT UNDER SUPERVISION OF NSE E) JOINTLY AND SEVERALLY, LIABLE TO RETURN THE SECURITIES DUE TO THE CLIENTS/INVESTORS OF F6 FINSERVE OR THEIR MONETARY VALUE AS ON THE DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SHARES, UNDER THE SUPERVISION OF NSE
|
| 51 |
|
|
FICUS COMMODITIES PVT.LTD.
(PAN:AABCV4377P)
(Member : NCDEX/MCX)
|
|
|
|
VINOD KUMAR BANSAL
PAN:AAGPB8255Q
|
|
DID NOT MAKE DISCLOSURE OF ALL OF DP A/CS TO STOCK EXCHANGES VIOLATING CLAUSES A(1), A(4) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
RAISED FUNDS BY PLEDGING CLIENTS SECURITIES VIOLATING CLAUSE A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT REPORT CORRECT MARGIN TO EXCHANGES IN CD AND FO SEGMENT VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
TRANSFERRED CLIENTS FUNDS TO FCPL AND FSPL ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-AUG-2022 TO 24-AUG-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-AUG-2022 TO 24-AUG-2029
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 25-AUG-2022 TO 24-AUG-2029
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 BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO REFUND MONEY TO THE INVESTORS
20-MAR-2018
|
SEBI VIDE ITS ORDER DATED 17/01/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 20/03/2018
SEBI VIDE ITS ORDER DATED 25/08/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET IN ANY MANNER AND ALSO PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER, FOR SEVEN YEARS B) JOINTLY AND SEVERALLY TO REPAY/REFUND THE INVESTORS/CLIENTS’ MONEY WITH INTEREST OF 15% P.A. FROM DATE WHEN REPAYMENT BECAME DUE TILL THE DATE OF ACTUAL REPAYMENT, UNDER THE SUPERVISION OF NCDEX C) JOINTLY AND SEVERALLY TO RETURN THE SECURITIES DUE TO THE CLIENTS/INVESTORS OF FICUS COMMODITIES OR THEIR MONETARY VALUE AS ON THE DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SECURITIES UNDER THE SUPERVISION OF NCDEX D) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS, TILL SUCH TIME THE REFUNDS/REPAYMENTS E) NO DEBITS TO BE MADE IN THE BANK ACCOUNTS HELD JOINTLY OR SEVERALLY, EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER THE WRITTEN CONFIRMATION OF THE CONCERNED STOCK EXCHANGES F) NCDEX’S DEFAULTERS COMMITTEE TO, AS EXPEDITIOUSLY AS POSSIBLE OPEN AND OPERATE DEDICATED DEMAT ACCOUNT WHERE ALL THE SECURITIES LYING IN THE DEMAT ACCOUNTS OF FICUS COMMODITIES SHALL BE TRANSFERRED G) NCDEX’S DEFAULTERS COMMITTEE TO OPEN AND OPERATE DEDICATED INTEREST BEARING BANK ACCOUNT WITH NATIONALIZED BANK WHERE ALL THE FUNDS LYING IN VARIOUS BANK ACCOUNTS HELD IN THE NAME OF FICUS COMMODITIES AND MR.VINOD BANSAL SHALL BE TRANSFERRED H) MODALITIES OF SELLING THE ASSETS, DEPOSITING THE PROCEEDS THEREOF IN THE ESCROW ACCOUNT(S) TO BE WORKED OUT BY NCDEX I) NCDEX TO DEAL WITH CLAIMS OF THEIR CLIENTS/INVESTORS IN ACCORDANCE WITH THEIR RESPECTIVE BYE-LAWS AND PROCEDURES AFTER ADJUSTING THE DISBURSEMENTS MADE THROUGH THE DEFAULTERS COMMITTEE MECHANISM J) PROCEED WITH THE RECOVERY OF FUNDS AND SECURITIES FROM THE ASSETS OF RESPECTIVE NOTICEES TO COVER ANY SHORTFALL IN FUNDS AND SECURITIES IN THE ESCROW ACCOUNTS(S) AND DEMAT ACCOUNT
|
| 52 |
|
|
FICUS SECURITIES PVT.LTD.
(PAN:AAACV0429K)
(Depository Participants : CDSL,Member : BSE/MSEI/NSE)
|
|
|
|
VINOD KUMAR BANSAL
PAN:AAGPB8255Q
|
|
DID NOT MAKE DISCLOSURE OF ALL OF DP A/CS TO STOCK EXCHANGES VIOLATING CLAUSES A(1), A(4) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
RAISED FUNDS BY PLEDGING CLIENTS SECURITIES VIOLATING CLAUSE A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT REPORT CORRECT MARGIN TO EXCHANGES IN CD AND FO SEGMENT VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
TRANSFERRED CLIENTS FUNDS TO FCPL AND FSPL ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-AUG-2022 TO 24-AUG-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-AUG-2022 TO 24-AUG-2029
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 25-AUG-2022 TO 24-AUG-2029
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 BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO REFUND MONEY TO THE INVESTORS
20-MAR-2018
|
SEBI VIDE ITS ORDER DATED 17/01/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 20/03/2018
SEBI VIDE ITS ORDER DATED 25/08/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET IN ANY MANNER AND ALSO PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER, FOR SEVEN YEARS B) JOINTLY AND SEVERALLY TO REPAY/REFUND THE INVESTORS/CLIENTS’ MONEY WITH INTEREST OF 15% P.A. FROM DATE WHEN THE REPAYMENT BECAME DUE TILL DATE OF ACTUAL REPAYMENT UNDER THE SUPERVISION OF NSE C) JOINTLY AND SEVERALLY TO RETURN THE SECURITIES DUE TO CLIENTS/INVESTORS OF FICUS SECURITIES OR THEIR MONETARY VALUE AS ON THE DATE OF ACTUAL PAYMENT OF MONEY IN LIEU OF SHARES UNDER THE SUPERVISION OF NSE D) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS, TILL SUCH TIME THE REFUNDS/REPAYMENTS E) NO DEBITS TO BE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY, EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER THE WRITTEN CONFIRMATION OF THE CONCERNED STOCK EXCHANGES E) NSE DEFAULTERS COMMITTEE TO, AS EXPEDITIOUSLY AS POSSIBLE OPEN AND OPERATE DEDICATED DEMAT ACCOUNT WHERE ALL THE SECURITIES LYING IN THE DEMAT ACCOUNTS OF FICUS SECURITIES TO BE TRANSFERRED F) NSE DEFAULTERS COMMITTEE TO OPEN AND OPERATE A DEDICATED INTEREST BEARING BANK ACCOUNT WITH NATIONALIZED BANK WHERE ALL THE FUNDS LYING IN VARIOUS BANK ACCOUNTS HELD IN THE NAME OF FICUS SECURITIES AND MR.VINOD BANSAL TO BE TRANSFERRED G) MODALITIES OF SELLING THE ASSETS, DEPOSITING THE PROCEEDS THEREOF IN THE ESCROW ACCOUNT(S) TO BE WORKED OUT BY NSE H) NSE TO DEAL WITH THE CLAIMS OF THEIR CLIENTS/INVESTORS IN ACCORDANCE WITH THEIR RESPECTIVE BYE-LAWS AND PROCEDURES AFTER ADJUSTING THE DISBURSEMENTS MADE THROUGH THE DEFAULTERS COMMITTEE MECHANISM I) PROCEED WITH THE RECOVERY OF FUNDS AND SECURITIES FROM THE ASSETS OF RESPECTIVE NOTICEES TO COVER ANY SHORTFALL IN FUNDS AND SECURITIES IN THE ESCROW ACCOUNTS(S) AND DEMAT ACCOUNT
|
| 53 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
|
MANISH BANTHIA
|
|
|
SURENDRA KUMAR BANTHIA
|
|
|
SUSHIL MANTRI
|
|
ISSUED BOGUS CONTRACT NOTES
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT PAYMENTS TO CLEARING BANKS IN TIME
EXECUTED ONE-SIDED TRANSACTIONS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JUL-2003 TILL FURTHER ORDERS
14-JUL-2003
|
|
| 54 |
|
|
FIRST GLOBAL STOCKBROKING PVT.LTD.
(PAN:AAACF0661K)
(Member : NSE)
|
|
|
|
DEVINA MEHRA
|
|
|
SHANKAR SHARMA
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
ARTIFICIALLY DEPRESSED PRICES OF SPECIFIED SCRIPS
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS PORTFOLIO MANAGER FROM 25-MAY-2001 TILL PENDING ENQUIRY
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK 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
|
| 55 |
|
|
FIRST NATIONAL SECURITIES (INDIA) LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN MATTER OF MEDIA VIDEO LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JUN-2007 TO 12-JUL-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JUN-2007 TO 12-JUL-2007
13-JUN-2007
|
|
| 56 |
|
|
FORTIS SECURITIES LTD.
(Member : BSE/OTC/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 57 |
|
|
FORTIS SECURITIES LTD.
(Member : BSE/NSE/OTC)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CROSS DEALS AND BULK DEALS IN SCRIP OF IND TRA DECO LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
SAT: APPEAL DISPOSED OFF
DIRECTED THAT INTERIM ORDER DATED 05/10/2005 SHALL REMAIN IN FORCE TILL FINAL ORDERS PASSED BY SEBI
|
| 58 |
|
|
FORTIS SECURITIES LTD.
(Member : NSE/OTC/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS BY MATCHING ORDER QUANTITY, PRICE AND TIMINGS OF BUY AND SELL ORDERS IN SCRIP OF MILLENNIUM CYBERTECH LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2006 TILL FURTHER ORDERS
24-JAN-2006
|
DIRECTIONS ISSUED VIDE SEBI ORDER DATED 24/01/2006 VACATED VIDE ORDER DATED 13/03/2010.
|
| 59 |
|
|
FORTIS SECURITIES LTD.
(Member : BSE/NSE/OTC)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2005 TILL FURTHER ORDERS
29-NOV-2005
|
CONFIRMED INTERIM ORDER DATED 29/11/2005
|
| 60 |
|
|
FORTIS SECURITIES LTD.
(Member : BSE/NSE/OTC)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MEGA CORP.LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-OCT-2005 TILL FURTHER ORDERS
24-OCT-2005
|
CONFIRMED INTERIM ORDER DATED 24/10/2005
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 3 of 12
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