| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 7501 |
|
YOGESH KUMAR GUPTA (HUF)
(PAN:AAAHY8613H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000, LEGAL EXPENSES RS.13,570 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 7502 |
|
|
YOGESH RAVILAL ZAVERI (HUF)
(PAN:AAAHY6748K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,97,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 7503 |
|
|
YOGESH U KHIVSARA (HUF)
(PAN:AAAHY9129E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7504 |
|
|
YOGMAYA SALES PVT.LTD.
(PAN:AAACY3683Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7505 |
|
|
YOKE COMMERCIAL PVT.LTD.
(PAN:AAACY0981B)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7506 |
|
|
YT COMMODITIES BROKING PVT.LTD.
(PAN:AAACY4444K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7507 |
|
|
YT FOODS & BEVERAGES PVT.LTD.
(PAN:AABCT2858H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7508 |
|
|
YUKTA AGARWAL FAMILY TRUST
(PAN:AAATY3498E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 7509 |
|
|
YULAN MARKETING PVT.LTD.
(PAN:AAACY1811C)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7510 |
|
|
YV SECURITIES & DERIVATIVES PVT.LTD.
(PAN:AAACY2758A)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7511 |
|
|
ZADKO DISTRIBUTORS PVT.LTD.
(PAN:AAACZ1049H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7512 |
|
|
ZEE ENTERTAINMENT ENTERPRISES LTD.
(PAN:AAACZ0243R)
|
|
|
|
PUNIT GOENKA
PAN:AAEPG2529E
|
|
ALLEGED FAILURE IN PUTTING IN PLACE ADEQUATE INTERNAL CONTROLS WITHIN COMPANY TO IDENTIFY UPSI AND DID NOT IDENTIFY INFORMATION THE INFORMATION AS UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 9A(1) AND 9A(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
REACHED SETTLEMENT ( CONSENT ORDER)
13-APR-2023
|
|
| 7513 |
|
|
ZEE ENTERTAINMENT ENTERPRISES LTD.
(PAN:AAACZ0243R)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(B) OF SEBI (PIT) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
21-JUN-2023
|
|
| 7514 |
|
|
ZELKOVA BUILDERS PVT.LTD.
(PAN:AAACZ5953G)
|
|
|
ALLEGED VIOLATION OF REGULATION 3(2) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF INDIABULLS VENTURES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,93,473 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-DEC-2018
|
|
| 7515 |
|
|
ZEN SECURITIES LTD.
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO 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
ALLEGED VIOLATION OF SEBI CIRCULAR NO.MIRSD/SE/CIR-19/2009 DATED 03/12/2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 VIDE CONSENT ORDER)
22-MAY-2017
|
|
| 7516 |
|
|
ZENITH CREDIT CORP.
(PAN:AAAFZ1337P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7517 |
|
|
ZENITH CREDIT LTD.
(PAN:AAACZ0816C)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7518 |
|
|
ZENSER MERCHANDISE PVT.LTD.
(PAN:AAACZ2276Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIME CAPITAL MARKET LTD.
DID NOT FURNISH TIMELY AND ACCURATE INFORMATION TO SEBI TO COMPLY WITH SUMMONS ISSUED IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
IMPOSED PENALTY RS.20,00,000
30-MAY-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.65,000 VIDE CONSENT ORDER)
13-MAR-2008
|
SAT: APPEAL ALLOWED AS APPLICANT AGREED TO PAY RS.2,65,000 AS PER CONSENT ORDER
|
| 7519 |
|
|
ZENSTAR DEALERS PVT.LTD.
(PAN:AAACZ3659B)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7520 |
|
|
ZODIAC.COM SOLUTIONS PVT.LTD.
|
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-OCT-2007 TO 15-OCT-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2007 TO 15-OCT-2012
16-OCT-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.55,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-OCT-2007 TO 15-OCT-2012
11-AUG-2009
|
SAT: IMPUGNED ORDER DATED 16/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY A SUM OF RS.10,00,000 TOWARDS SETTLEMENT CHARGES AND RS.55,000 TOWARDS LEGAL EXPENSES ALONGWITH VOLUNTARILY UNDERTOOK TO REMAIN OUT OF CAPITAL MARKET FOR A PERIOD OF FIVE YEARS INCLUDING PERIOD FOR WHICH THEY HAVE REMAINED OUT OF CAPITAL MARKET IN TERMS OF IMPUGNED ORDER DATED 16/10/2007
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 376 of 377
|
