| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
LOKO SECURITIES PVT.LTD.
(Sub-Broker of KAUSHIK SHAH SHARES & SECURITIES LTD., Member : BSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 42 |
|
|
MATRIX WEB
|
|
|
|
HULLATI KRISHNA B.
|
|
|
KRISHNA HULLATI
|
|
|
KRISHNARAJ
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TILL FURTHER ORDER
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 10-SEP-2004 TILL FURTHER ORDER
10-SEP-2004
|
|
| 43 |
|
|
MCX BIZ SOLUTIONS
(PAN:BACPS3885C)
|
|
|
|
SYED SADAQ
PAN:BACPS3885C
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUL-2017 TO 19-JUL-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUL-2017 TO 19-JUL-2027
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 20-JUL-2017 TO 19-JUL-2027
RESTRAINED FROM MOBILIZING FUNDS FROM 20-JUL-2017 TO 19-JUL-2027
DIRECTED TO KEEP MONEY COLLECTED FROM INVESTORS IN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK AND FILE A REPORT WITH SEBI WITHIN 7 DAYS FROM DATE OF ORDER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
18-NOV-2013
|
SEBI VIDE ITS ORDER DATED 27/02/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 18/11/2013
SEBI VIDE ITS ORDER DATED 20/07/2017 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM THEIR CLIENTS, OTHER GENERAL INVESTORS OR MEMBERS OF PUBLIC IN WHATEVER FORM 2) DIRECTED TO REFUND THE MONIES COLLECTED FROM INVESTORS IN VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO INVESTORS UNDER SUCH SCHEMES OR INTEREST AT RATE OF 10% PER ANNUM, WHICHEVER IS HIGHER, FROM DATE OF INVESTMENT TILL DATE OF REFUND, WITHIN A PERIOD OF THIRTY (30) DAYS FROM DATE OF THIS ORDER AND SUBMIT A REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION 3) DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM 4) NOT TO ACCESS SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF TEN YEARS FROM DATE OF THIS ORDER
|
| 44 |
|
|
MEGA MILLENNIUM SECURITIES PVT.LTD.
(PAN:AACCM2293E)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS INTERMEDIARY WITHOUT SEBI REGISTRATION UNDER SECURITIES LENDING SCHEME, 1997
|
IMPOSED PENALTY RS.4,50,000
18-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 25/05/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS , DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 45 |
|
|
MPC STOCK BROKING PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUBHASH PROJECTS & MARKETING LTD.
|
IMPOSED PENALTY RS.1,20,000
28-FEB-2011
|
|
| 46 |
|
|
N.M.INVESTMENT
(Sub-Broker of BIPIN D SHAH, Member : BSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 47 |
|
|
NAGARJUNA SECURITIES LTD.
(Sub-Broker of P.SURYAKANT, Member : BSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 48 |
|
|
NIKHIL DALAL,M/S
(Sub-Broker of INDIAN COUNTER EQUITY DEALER, Member : OTC)
|
|
|
|
NIKHIL DALAL
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 49 |
|
|
NORTHEAST COMMODITIES PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HINDUSTAN BIO SCIENCES LTD.
|
IMPOSED PENALTY RS.1,50,000
19-JAN-2009
|
|
| 50 |
|
|
OM INVESTMENT
(Sub-Broker of MANGAL KESHAV SECURITIES LTD., Member : BSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 51 |
|
|
OM INVESTMENT CARE
(Sub-Broker of MANGAL KESHAV SECURITIES LTD., Member : BSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 52 |
|
|
PADMAVATHI CONSULTANCY
(Sub-Broker of SVS SECURITIES PVT.LTD.)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 53 |
|
|
PATNI SHARES & DERIVATIVES CO.
(Along with : APPOLLO SINDHOORI CAPITAL INVESTMENT LTD.)
|
|
|
|
ASHISH PATNI
|
|
|
UJWAL PATNI
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUL-2007 TO 05-JUL-2009
06-JUL-2007
|
|
| 54 |
|
|
PCS STOCK BROKING PVT.LTD.
(Sub-Broker of R.K.GLOBAL SHARES & SECURITIES LTD., Member : NSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 55 |
|
|
PMJ PROPERTIES PVT.LTD.
(PAN:AABCP6791K)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.2,00,000
03-OCT-2012
|
|
| 56 |
|
|
PRABHAT KUMAR JHUNJHUNWALA,M/S
|
|
|
|
PRABHAT KUMAR JHUNJHUNWALA
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
15-DEC-2010
|
|
| 57 |
|
|
PRASNEETA CONSTRUCTIONS PVT.LTD.
|
|
|
|
AJAY AGGARWAL
|
|
|
GAJANAND AGGARWAL
|
|
|
SANDHYA AGGARWAL
|
|
AIDED AND ABETED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHAMKEN MULTIFAB LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-DEC-2014 TO 08-DEC-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2014 TO 08-DEC-2015
09-DEC-2014
|
|
| 58 |
|
|
PRATHMESH SECURITIES PVT.LTD.
|
|
|
|
MADHAV PRASAD JOGLEKAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
17-OCT-2007
|
WITHDRAWN INTERIM ORDER DATED 17/10/2007
|
| 59 |
|
|
R.G.INVESTMENTS
(Sub-Broker of BABUBHAI PURSHOTTAMDAS STOCK BROKERS PVT.LTD, Member : BSE)
|
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 60 |
|
|
RAJEEV MEHTA,M/S
(Sub-Broker of SSKI INVESTORS SERVICES PVT.LTD., Member : BSE)
|
|
|
|
RAJEEV MEHTA
|
|
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003
07-JUL-2003
|
|
| 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 5
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