S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
41 |
|
BHARAT BHUSHAN EQUITY TRADERS LTD.
(PAN:AAACB5382M)
(Member : NSE)
|
|
|
BAJRANG PRASAD
|
|
SHANKER SINGAL
|
|
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
05-FEB-2007
|
|
42 |
|
BHARAT RAMKRISHNA SEKHSARIA,M/S
(PAN:AAVPS1689L)
(Member : BSE)
|
|
|
BHARAT RAMKRISHNA SEKHSARIA
PAN:AAVPS1689L
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENT DAMAYANTI FINVEST IN SCRIP OF KRIB BIOCHEMICALS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-JAN-2006
|
SEBI VIDE ITS NOTICE DATED 17/03/2016 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
SAT: SAT VIDE ITS ORDER DATED 11/01/2018 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
43 |
|
BHARTI THAKKAR INDIA SECURITIES PVT.LTD.
(PAN:AAACB6484C)
(Member : BSE)
|
|
|
BHARTI DHIREN THAKKAR
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE EXECUTING TRADES FOR ITS CLIENTS IN SCRIP OF KWALITY DAIRY (INDIA) LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-FEB-2006 TO 08-MAR-2006
01-FEB-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE
|
44 |
|
BHAVESH RAMESHCHANDRA MEHTA,M/S
(Sub-Broker of SKSE SECURITIES LTD., Member : BSE,Member : SKSE)
|
|
|
BHAVESH RAMESHCHANDRA MEHTA
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2009
|
|
45 |
|
BHUPENDRA MEGHJI BHEDA,M/S
(Member : BSE)
|
|
|
BHUPENDRA MEGHJI BHEDA
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.
DID NOT COLLECT MARGINS FROM CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-OCT-2004
|
|
46 |
|
BHUPENDRA MEGHJI BHEDA,M/S
(Member : BSE)
|
|
|
BHUPENDRA MEGHJI BHEDA
|
|
DID NOT MONITOR FUNCTIONING OF TERMINAL ALLOTTED TO CLIENTS
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF EONOUR TECHNOLOGIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-JAN-2006 TO 15-FEB-2006
27-DEC-2005
|
SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
|
47 |
|
BIJAL SECURITIES PVT.LTD.
(Member : VSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 09-NOV-2004 TO 08-MAY-2005
19-OCT-2004
|
|
48 |
|
BIMAL KUMAR BEDI,M/S
(Member : CSE)
|
|
|
BIMAL KUMAR BEDI
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
27-FEB-2002
|
|
49 |
|
BLUE BLENDS STOCKS & SECURITIES LTD.
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF MARUTI ORGANICS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 07-OCT-2002
16-SEP-2002
|
|
50 |
|
BONANZA PORTFOLIO LTD.
(CIN:U65991DL1993PLC052280 PAN:AAACB0764B)
(Member : NSE)
|
|
|
S.P.GOEL
|
|
ACTED IN CONCERT WITH BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH STRUCTURED DEALS/MATCHING BUY AND SELL ORDERS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
ATTEMPTED TO INDUCE PUBLIC TO DEAL BY CREATING MISLEADING APPEARANCE OF TRADING IN THE SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
IMPOSED PENALTY RS.10,00,000
17-MAY-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.14,75,000, LEGAL EXPENSES RS.75,000 VIDE CONSENT ORDER)
14-DEC-2009~
|
SAT: AO ORDER DATED 17/05/2006 DISPOSED OFF. AS APPLICANT AGREED TO DEPOSIT RS.15,50,000 AS PER CONSENT ORDER. NO ORDER AS TO COSTS
|
51 |
|
BONANZA PORTFOLIO LTD.
(CIN:U65991DL1993PLC052280 PAN:AAACB0764B)
(Member : NSE/OTC)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-JUN-2007
|
|
52 |
|
BONANZA PORTFOLIO LTD.
(CIN:U65991DL1993PLC052280 PAN:AAACB0764B)
(Member : BSE/NSE/OTC)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF SHUKUN CONSTRUCTION LTD.
|
IMPOSED PENALTY RS.1,00,000
24-DEC-2008
|
|
53 |
|
BRICS SECURITIES LTD.
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
PARAG SHAH
|
|
SUNIL KUMAR BANG
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE ACTING AS A SEBI REGISTERED INTERMEDIARY
|
IMPOSED PENALTY RS.10,00,000
13-AUG-2007
|
SAT: APPEAL FAILED WITH NO ORDER AS TO COSTS
|
54 |
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
GOPI CHAND BANSHAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF PATRIOT TRADING CO.LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-APR-2007 TO 15-APR-2008
26-MAR-2007
|
|
55 |
|
BUBNA STOCK BROKING SERVICES LTD.
(PAN:AABCB1128L)
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF ROHAN FINANCE & SECURITIES LTD.
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET BY SELF TRADES, REVERSE OF TRADE TRANSACTIONS, SYNCHRONIZED TRADES AND CROSS DEALS IN SCRIP OF ROHAN FINANCE & SECURITIES LTD.
|
IMPOSED PENALTY RS.4,00,000
20-NOV-2008
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/09/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
56 |
|
CEEKAY HOLDINGS PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF MARUTI ORGANICS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-SEP-2002 TO 14-OCT-2002
16-SEP-2002
|
|
57 |
|
CEEKAY HOLDINGS PVT.LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
25-OCT-2004
|
|
58 |
|
CFL SECURITIES LTD.
(PAN:AAACC6722E)
(Member : NSE)
|
|
|
MILAN DALAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF RAVALGAON SUGAR FARM LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHRENUJ & CO.LTD.
EXECUTED STRUCTURED TRANSACTIONS
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-JAN-2005 TO 18-JUL-2005
19-JAN-2005
|
|
59 |
|
CHANDRAHAS R.KULKARNI,M/S
(Member : PSE)
|
|
|
CHANDRAHAS R.KULKARNI
|
|
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
60 |
|
CHANDRAKALA MONEY & CAPITAL MANAGEMENT LTD.
(Member : NSE)
|
|
|
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT MONITOR SUB-BROKERS ACTIVITIES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-JAN-2006
|
|
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 16
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