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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: VIOLATED CODE OF CONDUCT

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
61
History of entity/person MOH LTD.

(PAN:AABCM0385L)  
Click here to view complete history of this specific entity/person ANISH B.SHAH
Click here to view complete history of this specific entity/person B.PALINICKER
Click here to view complete history of this specific entity/person CHAGAN BHAI A.MANANI
Click here to view complete history of this specific entity/person MANUBHAI OGHADLAL SHAH
Click here to view complete history of this specific entity/person S.SANKARAN
Click here to view complete history of this specific entity/person SUNIL MANUBHAI SHAH
 
ISSUED MISLEADING ADVERTISEMENT IN NEWSPAPERS REGARDING POSSIBILITIES OF BUYBACK WHICH WAS SUBSEQUENTLY WITHDRAWN BUT WITHOUT INFORMING THE SHAREHOLDERS

VIOLATED SEBI CODE OF CONDUCT  
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAY-2007 TO 17-MAY-2009

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAY-2007 TO 17-MAY-2009

18-MAY-2007
 
62
History of entity/person MONEYPLEX SECURITIES PVT.LTD.

(PAN:AAHCM9331N)  
  DID NOT IDENTIFY AND GENERATE ALERTS IN REVERSAL OF TRADE TRANSACTIONS VIOLATING CLAUSE A(2) OF CODE OF CONDUCT FOR STOCK BROKERS UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE   IMPOSED PENALTY RS.1,00,000

07-AUG-2023
 
63
History of entity/person OPG SECURITIES PVT.LTD.

(PAN:AAACO1081C)  
Click here to view complete history of this specific entity/person SANJAY GUPTA

PAN:AAHPG3047Q
 
GAINED ADVANTAGE BY CONSISTENTLY LOGGED IN FIRST ACROSS POP SERVERS ON ACCOUNT OF BEING AWARE OF THE WEAKNESS OF THE TCP/IP TBT SYSTEM ARCHITECTURE

TRIED TO CROWD OUT OTHER TRADING MEMBERS FROM TCP/IP TBT SYSTEM PLATFORM

GAINED UNFAIR ACCESS AND ADVANTAGE BY CONSISTENTLY LOGGING INTO SECONDARY POP SERVER FOR LARGE NUMBER OF DAYS VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF OPG SECURITIES LTD.  
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2024 TO 29-OCT-2024

DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 30-APR-2024 TO 29-OCT-2024

DIRECTED TO DISGORGE RS.3,11,01,84,000

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

30-APR-2019
 
64
History of entity/person PADMINI TECHNOLOGIES LTD.

(CIN:L25202DL1990PLC039395)  
Click here to view complete history of this specific entity/person PRAVEEN KUMAR JAIN
Click here to view complete history of this specific entity/person VISHNU SARUP GUPTA
Click here to view complete history of this specific entity/person VIVEK NAGPAL
 
ALLOTMENT OF SHARES IN THE PREFERENTIAL ISSUES WERE MALAFIDE AND TOOK PLACE WITHOUT ANY REAL INFUSION OF FUNDS

PREFERENTIAL ALLOTMENT WAS IRREGULAR AND NOT IN ACCORDANCE WITH LAW IN AS MUCH AS THE COMPANY HAS RESORTED TO FICTITIOUS BOOK ENTRIES FOR SHOWING RECEIPT OF SUBSCRIPTION TOWARDS PREFERENTIAL ALLOTMENT OF SHARES

AIDED ALLOTTEES BY WAY OF UNUSUAL FINANCIAL ACCOMMODATION IN CASE OF PREFERENTIAL ALLOTMENT OF PADMINI TECHNOLOGIES LTD.

INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.

DELAYED CONVERSION OF SHARES OF PADMINI TECHNOLOGIES LTD. FOR PHYSICAL TO DEMAT ALLOTTED IN PREFERENTIAL ALLOTMENT

VIOLATED REGULATION 3, 6(A), (C), (D) OF FUTP REGULATIONS  
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2007 TO 30-JAN-2012

31-JAN-2007
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS  
65
History of entity/person PELF FINSTOCK LTD.

(PAN:AAACP3943N)  
  INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATION ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.  
IMPOSED PENALTY RS.2,00,00,000

25-MAR-2014
SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS  
66
History of entity/person PHILLIPCAPITAL (INDIA) PVT.LTD.

(PAN:AABCR6382C)  
  ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS

ALLEGED VIOLATION OF VARIOUS NSE CIRCULARS

ALLEGED NON COMPLIANCE WITH STATUTORY REQUIREMENTS VIOLATING REGULATIONS 9, 26(XVI) AND 26(XX) READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992  
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.51,00,000 VIDE CONSENT ORDER)

09-MAY-2019
 
67
History of entity/person PREM SOMANI SHARE BROKERS PVT.LTD.

(PAN:AABCP4104E)  
  INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATION ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT ADHERE TO VARIOUS SEBI CIRCULARS  
IMPOSED PENALTY RS.1,00,00,000

25-MAR-2014
SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS  
68
History of entity/person RAMNIKLAL MOHANLAL CAPITAL MARKETS PVT.LTD.

(PAN:AAACR5382B)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR, SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF JAYBHARAT TEXTILES & REAL ESTATE LTD.

DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2),A(3) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JAYBHARAT TEXTILES & REAL ESTATE LTD.  
IMPOSED PENALTY RS.2,00,000

12-OCT-2011
SAT: APPEAL FAILED AND DISMISSED. NO COSTS  
69
History of entity/person RELYBULLS STOCK BROKING PVT.LTD.

(PAN:AAPCS3322M)  
  DID NOT IDENTIFY AND GENERATE ALERTS IN REVERSAL OF TRADE TRANSACTIONS VIOLATING CLAUSE A(2) OF CODE OF CONDUCT FOR STOCK BROKERS UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE   IMPOSED PENALTY RS.1,00,000

23-MAY-2023
 
70
History of entity/person RTG SHARE BROKING LTD.

(PAN:AADCR9629L)  
  DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE   IMPOSED PENALTY RS.5,00,000

31-MAR-2023
 
71
History of entity/person SAMEER S.JOSHI (HUF)

(PAN:AAPHS5352A)  
  DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE TRANSACTIONS VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992

INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957  
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET

DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES

PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JAN-2016 TO 07-JAN-2021

PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC OR ANY OTHER UNREGISTERED ACTIVITY, IN WHATEVER FORM

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JAN-2016 TO 07-JAN-2021

20-JAN-2015
SEBI VIDE ITS ORDER DATED 08/01/2016 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC IN WHATEVER FORM 2) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FIVE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS  
72
History of entity/person SHAHI PROPERTY DEVELOPERS PVT.LTD.

(Along with : ADANI ENTERPRISES LTD.)  
  VIOLATED SEBI CODE OF CONDUCT

AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.  
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009

25-MAY-2007


SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)

24-APR-2008~
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER  
73
History of entity/person SHASWAT STOCK BROKERS LTD.

(PAN:AACCS1143H)  
  INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA 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 OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.  
IMPOSED PENALTY RS.1,00,00,000

25-MAR-2014
SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS  
74
History of entity/person SHREE BAHUBALI INTERNATIONAL LTD.

(PAN:AAECS4019E)  
  INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATION ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.  
IMPOSED PENALTY RS.2,00,00,000

25-MAR-2014
SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS  
75
History of entity/person SPFL SECURITIES LTD.

(PAN:AABCS2452C)  
  DID NOT TAKE NECESSARY STEPS TO GENERATE ALERTS BY PUTTING A SYSTEM IN PLACE TO DETECT AND CURB REVERSAL OF PROPRIETARY TRADES VIOLATING CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE   IMPOSED PENALTY RS.2,00,000

25-APR-2023
 
76
History of entity/person SRU SECURITIES LTD.

(PAN:AACCS1853J)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF CEREBRA INTEGRATED TECHNOLOGIES LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE TRANSACTIONS VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF CEREBRA INTEGRATED TECHNOLOGIES LTD.  
IMPOSED PENALTY RS.6,00,000

09-SEP-2019
SEBI VIDE ITS NOTICE DATED 01/04/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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

SEBI VIDE ITS ORDER DATED 27/04/2021 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 01/04/2021  
77
History of entity/person SUMPOORNA PORTFOLIO LTD.

(PAN:AAOCS8998N)  
  DID NOT IDENTIFY AND GENERATE ALERTS IN REVERSAL OF TRADE TRANSACTIONS VIOLATING CLAUSE A(2) OF CODE OF CONDUCT FOR STOCK BROKERS UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE   IMPOSED PENALTY RS.1,00,000

24-MAY-2023
SEBI VIDE ITS NOTICE DATED 04/10/2024 DIRECTED TO PAY RS.1,19,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE  
78
History of entity/person SUNSTAR SECURITIES

(PAN:ABOFS9148Q)  
  DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE   IMPOSED PENALTY RS.1,00,000

31-JUL-2023
 
79
History of entity/person SURAJ SECURITIES & FINANCE LTD.  
Click here to view complete history of this specific entity/person DILIP KUMAR NAHATA
Click here to view complete history of this specific entity/person J.L.BARDIA
Click here to view complete history of this specific entity/person KRISHNA KUMAR GARG
Click here to view complete history of this specific entity/person M.K.NAHATA
Click here to view complete history of this specific entity/person V.K.LODHA
 
MIS-STATEMENTS AND NON-DISCLOSURES OF MATERIAL INFORMATION IN PROSPECTUS WERE FRAUDULENT ACTS AS DEFINED UNDER REGULATION 2(C) OF SEBI (PFUTP) REGULATIONS, 1995

DID NOT EXERCISE DUE SKILL, DILIGENCE AND CARE IN PUBLIC ISSUE OF SURAJ SECURITIES & FINANCE LTD.

VIOLATED SEBI CODE OF CONDUCT  
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-SEP-2004 TO 05-SEP-2009

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-SEP-2004 TO 05-SEP-2009

06-SEP-2004
 
80
History of entity/person SWASTIKA INVESTMART LTD.

(PAN:AABCS6585J)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR, SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ASIAN STAR CO.LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLYING 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 ASIAN STAR CO.LTD.  
IMPOSED PENALTY RS.7,00,000

30-NOV-2011
 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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