| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
GOLDCREST CAPITAL MARKETS LTD.
(Member : BSE/NSE)
|
|
|
|
TUSHAR T.TANNA
|
|
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
|
|
| 42 |
|
|
HARIKISHAN HIRALAL,M/S
(Member : BSE)
|
|
|
|
HARIKISHAN HIRALAL
|
|
FAILED IN MAINTAINING INTEGRITY, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(3),A(4) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SOMPLAST LEATHER INDUSTRIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-JUL-2009
|
|
| 43 |
|
|
HB SECURITIES LTD.
(Member : NSE)
|
|
|
|
PRAVEEN GUPTA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED DEALS IN SCRIP OF JINDAL STEEL & POWER LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
17-DEC-2009
|
|
| 44 |
|
|
INDIA INFOLINE LTD.
(PAN:AAACI7105D)
(Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-NOV-2015
|
|
| 45 |
|
|
INDIA INFOLINE LTD.
(PAN:AAACI7105D)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND B(2) 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
13-MAY-2013
|
|
| 46 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Depository Participants : CDSL/NSDL,Member : NSE/BSE)
|
|
|
ACCEPTED DEPOSITORY PARTICIPANT-CLIENT AGREEMENT FORM WITHOUT DATE
ACCEPTED POWER OF ATTORNEY FROM CLIENTS WITHOUT DATE AND COMPLETE DETAILS
ACCEPTED CLIENT AGREEMENTS WITHOUT WITNESS
ACCEPTED BLANK UNCROSSED OR INCOMPLETE NOMINATION FORMS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
29-MAY-2009
|
|
| 47 |
|
|
INSIGHT SHARE BROKERS PVT.LTD.
(Member : NSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
COMMITTED IRREGULARITIES/DEFAULTED IN ISSUANCE OF CONFIRMATION MEMOS
DID NOT OPEN SEPARATE BENEFICIARY ACCOUNTS FOR ALL CLIENTS AVAILING MARGIN TRADING FACILITY FROM THE BROKER
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT PAY STAMP DUTY ON CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
06-JAN-2006
|
|
| 48 |
|
|
INTEGRATED MASTER SECURITIES PVT.LTD.
(PAN:AAACI2074F)
(Member : BSE)
|
|
|
|
S.C.KHANEJA
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
21-DEC-2009
|
|
| 49 |
|
|
INTERFACE BROKERAGE & RESEARCH LTD.
(Member : ASE)
|
|
|
DID NOT ADHERE TO REGISTRATION DIRECTIVES/INSTRUCTIONS/GUIDELINES SPECIFIED FOR SUB-BROKERS AS PER SEBI CIRCULARS DATED 14/03/1996, 16/01/1998 AND 15/01/2001
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-JUN-2010
|
|
| 50 |
|
|
INVENTURE GROWTH & SECURITIES LTD.
(PAN:AAACI2044K)
(Member : NSE/BSE/MSEI)
|
|
|
ENGAGED IN BUSINESS OTHER THAN SECURITIES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-NOV-2022
|
|
| 51 |
|
|
JASHVANTLAL VADILAL SHAH,M/S
(Member : ASE)
|
|
|
|
JASHVANTLAL VADILAL SHAH
|
|
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
07-APR-2010
|
|
| 52 |
|
|
JAYANT AMERCHAND KALIDAS,M/S
(Member : BSE)
|
|
|
|
JANAK DALAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS, CROSS DEALS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF JAYANT AGRO ORGANICS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
29-JUN-2010
|
SAT: IMPUGNED ORDER DATED 29/06/2010 MODIFIED AND PENALTY OF SUSPENSION OF REGISTRATION FOR ONE WEEK REDUCED TO WARNING, VIDE ORDER DATED 14/10/2010
|
| 53 |
|
|
JHP SECURITIES PVT.LTD.
(PAN:AAACJ2847H)
(Member : BSE/MSEI/NSE)
|
|
|
INDULGED IN BACKDATED AND FICTITIOUS TRANSACTIONS ON BEHALF OF CLIENTS
ISSUED FICTITIOUS CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2022
|
|
| 54 |
|
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-JAN-2006
|
|
| 55 |
|
|
JUNJHARJI INVESTMENT PVT.LTD.
(PAN:AAACJ8174F)
(Member : NSE)
|
|
|
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK AND DOCUMENT REGISTER
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-JAN-2006
|
|
| 56 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE,Sub-Broker of PRABHUDAS LILLADHER PVT.LTD., Member : BSE)
|
|
|
|
JYOTISH BHOGILAL SHAH
|
|
|
KRUTIK JYOTISHBHAI SHAH
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLYING 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 SAWACA COMMUNICATION LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-OCT-2011
|
|
| 57 |
|
|
KANODIA STOCK BROKING PVT.LTD.
(PAN:AABCK3292N)
(Member : CSE)
|
|
|
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
|
| 58 |
|
|
KAYNET FINANCE LTD.
(PAN:AAACK3428B)
(Member : NSE)
|
|
|
DID NOT ISSUANCE OF CONTRACT NOTES IN TIME
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
PAN NO. OF CLIENTS NOT APPEARING ON CONTRACT NOTES
DISCREPANCIES IN BILLS
DISCREPANCIES IN REGISTER OF TRANSACTIONS OF CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-JAN-2006
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 59 |
|
|
KBS CAPITAL MANAGEMENT LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADING, SQUARING OFF TRANSACTIONS IN SCRIP OF MANGALYA EXPORTS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-JAN-2006
|
|
| 60 |
|
|
KCGP SHARE BROKING SERVICES PVT.LTD.
(Member : CSE)
|
|
|
DID NOT HAVE ADEQUATE INFRASTRUCTURE TO RUN STOCK BROKING BUSINESS VIOLATING REGULATIONS 21(1), 21(2) AND 21(4) OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
09-MAR-2021
|
|
| 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 7
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