| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
ARHAM SHARE PVT.LTD.
(PAN:AAICA6860F)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 62 |
|
|
ARIHANT CAPITAL MARKETS LTD.
(PAN:AABCA6832G)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 63 |
|
|
ARIHANT CAPITAL MARKETS LTD.
(PAN:AABCA6832G)
(Member : BSE)
|
|
|
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)
14-MAR-2023
|
|
| 64 |
|
|
ARJ SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,TATA ENGINEERING & LOCOMOTIVE CO.LTD., INFOSYS TECHNOLOGIES LTD. AND SOFTWARE SOLUTIONS INDIA LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE AND FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE AND 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 HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,TATA ENGINEERING & LOCOMOTIVE CO.LTD.,INFOSYS TECHNOLOGIES LTD. AND SOFTWARE SOLUTIONS INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 04-MAY-2011 TO 03-NOV-2011
03-MAY-2011
|
|
| 65 |
|
|
ARJ SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GLOBAL TELESYSTEMS LTD.
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
ALLEGED VIOLATION OF SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 26-APR-2010 TO 25-APR-2011
26-APR-2010
|
|
| 66 |
|
|
ARTHA VRDDHI SECURITIES LTD.
(PAN:AACCT1746K)
(Member : BSE/NSE/MCX)
|
|
|
ALLEGED VIOLATING OF REGULATIONS 27(XV) AND 27(XVII) READ WITH 26(XV) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
ALLEGED FAILURE IN MAINTAINING 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) REGULATIONS, 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-OCT-2016
|
|
| 67 |
|
|
ARYAV SECURITIES PVT.LTD.
(PAN:AAICA8339D)
(Member : BSE)
|
|
|
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)
14-MAR-2023
|
|
| 68 |
|
|
ASHIKA STOCK BROKING LTD.
(PAN:AACCA7156Q)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
22-DEC-2008
|
AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 22/12/2008
|
| 69 |
|
|
ASHIKA STOCK BROKING LTD.
(PAN:AACCA7156Q)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 70 |
|
|
ASHIKA STOCK BROKING LTD.
(PAN:AACCA7156Q)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION VIOLATING REGULATIONS 4(1),4(2)(A),4(2)(B),4(2)(E),4(2)(G) AND 4(2)(N) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED VIOLATION OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS IN SCHEDULE II UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
30-JUN-2009
|
|
| 71 |
|
|
ASHLAR SECURITIES PVT.LTD.
(PAN:AAHCA9621P)
(Member : BSE)
|
|
|
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)
14-MAR-2023
|
|
| 72 |
|
|
ASHOK KUMAR KAYAN,M/S
(PAN:ALKPK2298K)
(Member : CSE)
|
|
|
|
ASHOK KUMAR KAYAN
PAN:ALKPK2298K
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGENCE IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF G.R.INDUSTRIES & FINANCE LTD.
ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF G.R.INDUSTRIES & FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
26-OCT-2009
|
|
| 73 |
|
|
ASIT C.MEHTA INVESTMENT INTERMEDIATES LTD.
(PAN:AAACA5009N)
(Member : BSE/NSE/OTC)
|
|
|
ALLEGED FAILURE TO ENTER INTO TRIPARTITE AGREEMENTS WITH SUB-BROKER & CLIENT TRADING THROUGH SUCH SUB BROKER
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
27-AUG-2008
|
|
| 74 |
|
|
ASNANI STOCK BROKER PVT.LTD.
(PAN:AAHCA7318P)
(Member : BSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 75 |
|
|
ASTHA CREDIT & SECURITIES PVT.LTD.
(PAN:AAECA7169B)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 76 |
|
|
AXIS SECURITIES LTD.
(PAN:AABCE6263F)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE AS REQUIRED IN ITS DEALER & BRANCH MANAGER COMPLIANCE POLICY VIOLATING CLAUSES A(2) AND A(5) OF SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,62,500 VIDE CONSENT ORDER)
04-DEC-2024
|
|
| 77 |
|
|
B.N.RATHI SECURITIES LTD.
(PAN:AABCB6140Q)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 78 |
|
|
B.R.JALAN SECURITIES PVT.LTD.
(PAN:AAACB4606Q)
(Member : BSE)
|
|
|
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
DEALT WITH UN-REGISTERED SUB-BROKERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
18-MAY-2009
|
|
| 79 |
|
|
B.R.JALAN SECURITIES PVT.LTD.
(PAN:AAACB4606Q)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATION IN SCRIP OF KOSIAN INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
18-MAR-2009
|
|
| 80 |
|
|
B.S.SECURITIES
(Member : NSE)
|
|
|
ALLEGED ACTED AS BROKER AND COUNTERPARTY BROKER OF THE CLIENTS WHILE THEY WERE INDULGED IN SYNCHRONIZED TRADES ON BSE AND NSE VIOLATING CLAUSE A (2) OF CODE OF CONDUCT FOR STOCK BROKER AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHIV-VANI OIL & GAS EXPLORATION SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,92,000 VIDE CONSENT ORDER)
20-FEB-2017
|
|
| 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 28
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