| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF BLUE PRINT SECURITIES 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 BLUE PRINT SECURITIES LTD.
|
IMPOSED PENALTY RS.4,00,000
15-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 42 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH MATCHED TRANSACTIONS IN SCRIP OF SAUMYA CONSULTANTS 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) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SAUMYA CONSULTANTS LTD.
|
IMPOSED PENALTY RS.3,00,000
28-JAN-2010
|
SAT: IMPUGNED ORDER DATED 28/01/2010 MODIFIED AND PENALTY AMOUNT REDUCED TO RS.1,50,000 FROM RS.3,00,000 ,VIDE ORDER DATED 30/03/2010. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 43 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
FAILED IN MAINTAINING INTEGRITY, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) AND B(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF TWENTY FIRST CENTURY (INDIA) LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/CROSS DEALS IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
|
IMPOSED PENALTY RS.3,00,000
11-AUG-2009
|
SAT: IMPUGNED ORDER DATED 11/08/2009 MODIFIED AND PENALTY AMOUNT REDUCED TO RS.1,50,000 FROM RS.3,00,000 ,VIDE ORDER DATED 30/03/2010. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 44 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
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 PARBATI HOLDINGS LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/CROSS DEALS IN SCRIP OF PARBATI HOLDINGS LTD.
|
IMPOSED PENALTY RS.3,00,000
24-SEP-2009
|
SAT: IMPUGNED ORDER DATED 24/09/2009 MODIFIED AND PENALTY AMOUNT REDUCED TO RS.1,50,000 FROM RS.3,00,000 ,VIDE ORDER DATED 30/03/2010. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 45 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND CROSS DEALS IN SCRIP OF BRAHMANAND HIMGHAR LTD.
FAILED IN MAINTAINING INTEGRITY, DUE SKILL & CARE 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 BRAHMANAND HIMGHAR LTD.
|
IMPOSED PENALTY RS.2,00,000
24-JUL-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 46 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND CROSS-TRADES IN SCRIP OF G.K.CONSULTANTS 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 G.K.CONSULTANTS LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2011
|
SEBI VIDE ITS NOTICE DATED 18/07/2014 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
|
| 47 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND CROSS DEALS IN SCRIP OF LIMTEX INVESTMENTS LTD.
|
IMPOSED PENALTY RS.5,00,000
01-DEC-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 48 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(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 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 SANGOTRI CONSTRUCTIONS LTD.
|
IMPOSED PENALTY RS.4,00,000
04-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 49 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF MINOLTA FINANCE LTD
INDULGED IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF MINOLTA FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
09-JUL-2009
|
SAT: APPEAL FAILED AND DISMISSED. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 50 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(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.
|
IMPOSED PENALTY RS.4,00,000
31-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 51 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE TRADING ON BEHALF OF CLIENTS IN SCRIP OF SARANG VINIYOG LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SARANG VINIYOG LTD.
|
IMPOSED PENALTY RS.3,00,000
08-APR-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 52 |
|
|
AISHWARYA AVENUES PVT.LTD.
(PAN:AAECA1109R)
(Member : SKSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RAJESH EXPORTS 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),A(2),D(1),(4) AND (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RAJESH EXPORTS LTD.
|
IMPOSED PENALTY RS.50,000
29-SEP-2010
|
|
| 53 |
|
|
AJMERA ASSOCIATES LTD.
(PAN:AADCA7062J)
(Member : BSE)
|
|
|
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) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JINDAL POLYSTER LTD.
|
IMPOSED PENALTY RS.75,000
31-MAR-2010
|
|
| 54 |
|
|
AJMERA ASSOCIATES LTD.
(PAN:AADCA7062J)
(Member : BSE)
|
|
|
INDULGED IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF ADVIK LABORATORIES 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 ADVIK LABORATORIES LTD.
|
IMPOSED PENALTY RS.5,00,000
10-FEB-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 10/02/2009 SET ASIDE AND CASE REMANDED TO SEBI FOR FRESH ENQUIRY WITH NO ORDER AS TO COSTS.
|
| 55 |
|
|
AJMERA ASSOCIATES LTD.
(PAN:AADCA7062J)
(Member : BSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF HIGHLAND INDUSTRIES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF HIGHLAND INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
11-SEP-2009
|
SAT: APPEAL PARTLY ALLOWED AND IMPUGNED ORDER DATED 11/09/2009 MODIFIED BY REDUCING MONETARY PENALTY OF RS.1,00,000 TO RS.50,000 WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/09/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 56 |
|
|
AJMERA ASSOCIATES LTD.
(PAN:AADCA7062J)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RAJESH EXPORTS 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 RAJESH EXPORTS LTD.
|
IMPOSED PENALTY RS.1,00,000
13-SEP-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 57 |
|
|
AJMERA ASSOCIATES LTD.
(PAN:AADCA7062J)
(Member : BSE)
|
|
|
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 ADVIK LABORATORIES LTD.
|
IMPOSED PENALTY RS.1,00,000
03-MAY-2012
|
INCLUDED IN SEBI LIST DATED 30/09/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
|
| 58 |
|
|
AJMERA ASSOCIATES LTD.
(PAN:AADCA7062J)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTONS IN SCRIP OF KRBL LTD.
DID NOT MAINTAINING 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 KRBL LTD.
|
IMPOSED PENALTY RS.2,00,000
20-OCT-2010
|
|
| 59 |
|
|
ALACRITY SECURITIES LTD.
(Member : BSE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8A(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ODYSSEY CORP.LTD.
|
IMPOSED PENALTY RS.3,00,000
03-MAY-2013
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 60 |
|
|
ALICE BLUE COMMODITIES PVT.LTD.
(PAN:AAGCA0378L)
(Member : MCX/NCDEX/NMCE/NSEL)
|
|
|
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
|
IMPOSED PENALTY RS.5,00,000
25-OCT-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 46
|
