| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
INDIA INFOLINE SECURITIES PVT.LTD.
(PAN:AABCI0745G)
(Member : BSE/NSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CROSS DEALS AND BULK DEALS IN SCRIP OF IND TRA DECO LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTED THAT INTERIM ORDER DATED 05/10/2005 SHALL REMAIN IN FORCE TILL FINAL ORDERS PASSED BY SEBI
ORDER DATED 05/10/2005 READ WITH ORDER DATED 20/06/2006 REVOKED AND DISPOSED OFF. NSDL AND CDSL ADVISED TO LIFT THE RESTRICTIONS IMPOSED BY ORDER DATED 05/10/2005 AND 20/06/2006
|
| 82 |
|
|
INDIA INFOLINE SECURITIES PVT.LTD.
(PAN:AABCI0745G)
(Member : NSE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 83 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : NSE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 84 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : NSE)
|
|
|
FACILITATED TRANSACTIONS AT NSE OF A COMPANY NOT LISTED AT NSE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 85 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH FIRST TRADES, PUTTING BUY ORDERS AT UPPER CIRCUIT PRICES AND PLACING INVALID BUY ORDERS IN SCRIP OF PRIME PROPERTY DEVELOPMENT CORP.LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
|
| 86 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2005 TILL FURTHER ORDERS
29-NOV-2005
|
CONFIRMED INTERIM ORDER DATED 29/11/2005
|
| 87 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : NSE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS BY MATCHING ORDER QUANTITY, PRICE AND TIMINGS OF BUY AND SELL ORDERS IN SCRIP OF MILLENNIUM CYBERTECH LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2006 TILL FURTHER ORDERS
24-JAN-2006
|
DIRECTIONS ISSUED VIDE SEBI ORDER DATED 24/01/2006 VACATED VIDE ORDER DATED 13/03/2010.
|
| 88 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MEGA CORP.LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-OCT-2005 TILL FURTHER ORDERS
24-OCT-2005
|
CONFIRMED INTERIM ORDER DATED 24/10/2005
|
| 89 |
|
|
INDIAN FINANCE GUARANTY LTD.
(PAN:AAACI2308E)
(Member : NSE/OTC)
|
|
|
ROLE IN ALLEGED SIPHONING OF FUNDS OUT OF BHUBANESWAR STOCK EXCHANGE TO THE TUNE OF RS. 1.30 CRORE INCLUDING INTEREST THROUGH THE EXCHANGE'S MEMBERS WELFARE TRUST
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-NOV-2002 TILL FURTHER ORDER
29-OCT-2002
|
PROHIBITION IMPOSED VIDE ORDER DATED 29/10/2002 VACATED VIDE ORDER DATED 22/09/2004
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO RESPONDENT TO COMPLETE ENQUIRY AND PASS APPROPRIATE ORDERS WITHIN 2 MONTHS FROM DATE OF RECEIPT OF THIS ORDER
|
| 90 |
|
|
INDIAN FINANCE GUARANTY LTD.
(PAN:AAACI2308E)
(Member : NSE/OTC)
|
|
|
|
TULSI D.BHAYANA
|
|
SIPHONED FUNDS OUT OF BHUBANESWAR STOCK EXCHANGE TO THE TUNE OF RS. 1.30 CRORE INCLUDING INTEREST THROUGH THE EXCHANGE'S MEMBERS WELFARE TRUST
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-JAN-2004 TILL FURTHER ORDER
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-JAN-2004 TILL FURTHER ORDER
16-JAN-2004
|
PROHIBITION IMPOSED VIDE ORDER DATED 16/01/2004 VACATED VIDE ORDER DATED 22/09/2004
SAT: APPEALS DISPOSED OFF, WITH DIRECTION TO RESPONDENT TO COMPLETE ENQUIRY AND PASS APPROPRIATE ORDERS WITHIN 2 MONTHS FROM DATE OF RECEIPT OF THIS ORDER
|
| 91 |
|
|
INDO SHARE & FINTRADE LTD.
(Member : BSE)
|
|
|
MANIPULATED PRICE IN SCRIP OF EONOUR SOFTWARE LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF EONOUR SOFTWARE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-DEC-2003 TO 04-DEC-2008
05-DEC-2003
|
|
| 92 |
|
|
INDSEC SECURITIES & FINANCE LTD.
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/ICSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
ORDER DATED 31/12/2002 FOUND SUPRA HENCE PENALTY REDUCED TO WARNING - “WARNED TO BE MORE CAREFUL IN FUTURE WHILE UNDERTAKING TRANSACTIONS IN SECURITIES ON BEHALF OF THEIR CLIENTS” SINCE APPLICANT VIOLATED ONLY SEBI CODE OF CONDUCT FOR STOCK BROKERS
SAT: IMPUGNED ORDER DATED 10/09/2004 FOUND UNSUSTAINABLE HENCE SET ASIDE. APPEAL ALLOWED. NO ORDER AS TO COSTS
|
| 93 |
|
|
INDUS PORTFOLIO PVT.LTD.
(PAN:AABCI3730R)
(Member : NSE/BSE)
|
|
|
FACILITATED TRANSACTIONS AT NSE OF A COMPANY NOT LISTED AT NSE
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE IN SCRIP OF ELTROL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 94 |
|
|
INSIGHT SHARE BROKERS PVT.LTD.
(Member : NSE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 95 |
|
|
INSIGHT SHARE BROKERS PVT.LTD.
(Member : NSE)
|
|
|
FACILITATED TRANSACTIONS AT NSE OF A COMPANY NOT LISTED AT NSE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 96 |
|
|
INSIGHT SHARE BROKERS PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS BY MATCHING ORDER QUANTITY, PRICE AND TIMINGS OF BUY AND SELL ORDERS IN SCRIP OF MILLENNIUM CYBERTECH LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2006 TILL FURTHER ORDERS
24-JAN-2006
|
DIRECTIONS ISSUED VIDE SEBI ORDER DATED 24/01/2006 VACATED VIDE ORDER DATED 13/03/2010.
|
| 97 |
|
|
INVESTSMART COMMODITIES LTD.
(PAN:AAECM3447N)
(Member : NCDEX)
|
|
|
DELAYED PAYMENT OF MARKET TO MARKET (MTM) OBLIGATIONS IN MATTER OF CASTOR SEED CONTRACTS
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF CASTOR SEED CONTRACTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAR-2016 TILL FURTHER ORDERS
02-MAR-2016
|
SEBI VIDE ITS ORDER DATED 23/12/2016 RELAXED INTERIM ORDER PASSED 02/03/2016 AND 24/05/2016 TO THE LIMITED EXTENT TO ENABLE THEM TO PROTECT THEIR PORTFOLIO FROM MARKET VOLATILITY A) NOTICEE MAY SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN AN ORDERLY MANNER UNDER SUPERVISION OF THE STOCK EXCHANGE SO AS NOT TO DISTURB MARKET EQUILIBRIUM AND DEPOSIT SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) NOTICEES MAY TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER / DELISTING OFFER / BUYBACK OFFER UNDER THE RELEVANT REGULATIONS OF SEBI AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK C) NOTICEES SHALL AVAIL THE BENEFIT OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT DIVIDEND ETC. D) WINDOW FOR SALE OF SHARES LYING IN RESPECTIVE PORTFOLIO SHALL STAND WITHDRAWN IF ANY ENTITY FOUND TO EXECUTE ANY TRADE IN BREACH OF THE CONDITIONS
SEBI VIDE ITS ORDER DATED 08/03/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDERS DATED 02/03/2016 AND 24/05/2016
|
| 98 |
|
|
JASWANT NANALAL JHAVERI,M/S
(Member : BSE)
|
|
|
|
JASWANT NANALAL JHAVERI
|
|
ACTED IN CONCERT WITH OTHER BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CROSS DEALS AND BULK DEALS IN SCRIP OF IND TRA DECO LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTED THAT INTERIM ORDER DATED 05/10/2005 SHALL REMAIN IN FORCE TILL FINAL ORDERS PASSED BY SEBI
ORDER DATED 05/10/2005 READ WITH ORDER DATED 20/06/2006 REVOKED AND DISPOSED OFF. NSDL AND CDSL ADVISED TO LIFT THE RESTRICTIONS IMPOSED BY ORDER DATED 05/10/2005 AND 20/06/2006
|
| 99 |
|
|
JAYPEE CAPITAL SERVICES LTD.
(PAN:AAACJ0628A)
(Member : SKSE/BSE/NSE/LSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS BY MATCHING ORDER QUANTITY, PRICE AND TIMINGS OF BUY AND SELL ORDERS IN SCRIP OF MILLENNIUM CYBERTECH LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2006 TILL FURTHER ORDERS
24-JAN-2006
|
|
| 100 |
|
|
JMP SECURITIES PVT.LTD.
(PAN:AAACJ8850C)
(Member : BSE)
|
|
|
|
MAHESH VORA
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE IN SCRIP OF ELTROL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 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 5 of 12
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