| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD.
(Member : NSE)
|
|
|
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
01-FEB-2010
|
|
| 62 |
|
|
KHANDWALA SECURITIES LTD.
(PAN:AAACK2214P)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS, SYNCHRONIZED AND STRUCTURES TRANSACTIONS IN SCRIP OF DSQ BIOTECH 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(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DSQ BIOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-DEC-2015
|
|
| 63 |
|
|
LALKAR SECURITIES PVT.LTD.
(CIN:U65990MH1997PTC105421
PAN:AAACL1966B)
(Member : BSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-JAN-2006
|
|
| 64 |
|
|
LATIN MANHARLAL SECURITIES PVT.LTD.
(PAN:AAACL2767L)
(Member : BSE)
|
|
|
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
DEALT WITH UN-REGISTERED SUB-BROKERS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-JAN-2006
|
|
| 65 |
|
|
LIQUID INVESTMENTS & FINANCIAL SERVICES PVT.LTD.
(Member : NSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT OBTAIN ACKNOWLEDGEMENT FROM CLIENTS
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT APPOINT COMPLIANCE OFFICER
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-JAN-2006
|
|
| 66 |
|
|
LOHIA SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
DID NOT TRANSFER SECURITIES FROM POOL ACCOUNT TO CLIENTS' ACCOUNT IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-DEC-2005
|
|
| 67 |
|
|
M P VORA SHARES & SECURITIES PVT.LTD.
(PAN:AABCM3784B)
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-JAN-2006
|
|
| 68 |
|
|
MACY SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
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 AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CYBERSPACE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-MAY-2011
|
|
| 69 |
|
|
MADHUKAR CHIMANLAL SHETH,M/S
(Member : BSE)
|
|
|
|
MADHUKAR CHIMANLAL SHETH
PAN:ANXPS1972P
|
|
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 AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CYBERSPACE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-MAY-2011
|
|
| 70 |
|
|
MASTER CAPITAL SERVICES LTD.
(PAN:AABCM1406A)
(Member : NSE)
|
|
|
DISCREPANCIES IN CLIENT CODES
DID NOT TAKE PRIOR APPROVAL FROM NSE FOR ISSUING ADVERTISEMENTS RELATED TO BUSINESS ACTIVITIES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
06-JAN-2006
|
|
| 71 |
|
|
MEHRA CAPITAL MARKETS LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A (2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
17-MAY-2012
|
|
| 72 |
|
|
MLR SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT COLLECT MARGINS FROM CLIENTS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
06-JAN-2006
|
|
| 73 |
|
|
MONARCH NETWORTH CAPITAL LTD.
(PAN:AAACN1184F)
(Member : BSE/NSE)
|
|
|
ALLOWED TRADING TO DEBARRED ENTITY VIOLATING STOCK EXCHANGES BYE LAWS AND BROKER REGULATIONS UNDER SEBI SECURITIES CONTRACTS (REGULATION), 1956
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-DEC-2021
|
|
| 74 |
|
|
MOTILAL OSWAL SECURITIES LTD.
(PAN:AAACD3654Q)
(Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISED 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
07-DEC-2015
|
|
| 75 |
|
|
MSS SECURITIES PVT.LTD.
(PAN:AABCM4849D)
(Member : BSE)
|
|
|
DID NOT EXECUTE TRANSACTION DATED 11/09/2000 ON SCREENS OF EXCHANGES IN PRICE AND ORDER MATCHING MECHANISM VIOLATING SEBI CIRCULAR SMDRP/POLICY/CIR-32/99 DATED 14/09/1999
DELAY IN MAKING PAYMENT TO CLIENTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECTED TO ADOPT DUE DILIGENT MEASURES SUCH AS CHECKS AND BALANCES IN TERMS OF ADEQUATE SYSTEMS AND PROCEDURES IN ITS OPERATIONS TO AVOID ANY REGULATORY LAPSE
21-MAY-2021
|
|
| 76 |
|
|
NEELAM BHATIA & CO.
(Member : LSE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DEFAULTED IN MAINTENANCE OF SAUDA BOOK
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
24-JUN-2009
|
|
| 77 |
|
|
NEON VINIMAY PVT.LTD.
(PAN:AABCN1093J)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A (2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
17-MAY-2012
|
|
| 78 |
|
|
NEPTUNE SECURITIES PVT.LTD.
(Member : ASE)
|
|
|
|
JIGNESH KANTILAL SHAH
|
|
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
17-JAN-2012
|
|
| 79 |
|
|
NIRPAN SECURITIES PVT.LTD.
(PAN:AAACN1329A)
(Member : NSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT COLLECT UPFRONT MARGINS
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
|
| 80 |
|
|
NJ SHARES & SECURITIES PVT.LTD.
(PAN:AABCN6218R)
(Member : NSE)
|
|
|
VIOLATED REGULATIONS 4(A), 4(B), 4(C) AND 4(D) OF SEBI (PFUTP) REGULATIONS, 1995
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH MISUSING OF SCREEN BASED TRADING
INDULGED IN SYNCHRONISED TRANSACTIONS AND STRUCTURED DEALS IN SCRIP OF ASTRASENECA PHARMA INDIA LTD.
AIDED AND ABETTED ITS CLIENT IN CREATION OF ARTIFICIAL MARKET AND ENTERED INTO NON-GENUINE TRANSACTIONS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
04-JAN-2007
|
SAT: IMPUGNED ORDER DATED 04/01/2007 MODIFIED AND PENALTY REDUCED TO WARNING FROM SUSPENDING CERTIFICATE OF REGISTRATION FOR ONE MONTH, VIDE ORDER DATED 10/08/2010. WITH NO ORDER AS TO COSTS
|
| 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 4 of 7
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