| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
P.N.BODA,M/S
(Member : SKSE)
|
|
|
|
P.N.BODA
|
|
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-AUG-1999 TO 12-NOV-1999
06-AUG-1999
|
|
| 82 |
|
|
PAWANKUMAR PARMESHWARLAL,M/S
(Member : BSE)
|
|
|
|
PAWANKUMAR PARMESHWARLAL CHOUDHARY
|
|
ACTED IN CONCERT WITH ITS CLIENTS/CLIENTS OF OTHER BROKERS TO CREATE ARTIFICIAL MARKET/PRICE RISE BY EXECUTING FICTITIOUS TRANSACTIONS IN SCRIP OF V.B.DESAI FINANCIAL SERVICES LTD.
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-JAN-2006 TO 25-MAY-2006
06-JAN-2006
|
SAT: IMPUGNED ORDER SET ASIDE AND CASE REMANDED TO SEBI TO ISSUE FRESH SHOW CAUSE NOTICE
|
| 83 |
|
|
POISE SECURITIES & EXCHANGE LTD.
(Member : NSE)
|
|
|
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
DID NOT ISSUE CONTRACT NOTES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-DEC-1999 TO 30-NOV-2000
01-DEC-1999
|
|
| 84 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
(PAN:AAACP2733Q)
(Member : BSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-JAN-2000
|
|
| 85 |
|
|
PRADEEP BAHETI,M/S
(Member : JSE)
|
|
|
|
PRADEEP BAHETI
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
USED EXCHANGE MECHANISM IN ORDER TO MEET FINANCIAL OBLIGATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-AUG-1999 TO 04-OCT-1999
28-JUL-1999
|
|
| 86 |
|
|
PRADEEP KAYAN & CO.
(Member : CSE)
|
|
|
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 11-MAR-2003 TO 10-SEP-2003
24-MAR-2003
|
|
| 87 |
|
|
PRADEEP KUMAR BANSAL,M/S
(Member : UPSE/CSE/ICSE)
|
|
|
|
PRADEEP KUMAR BANSAL
|
|
EXECUTED SINGLE TRADES AT EXCHANGE TO ASCERTAIN PRICES FOR EXECUTING BULK ORDERS ILLEGALLY OUTSIDE THE EXCHANGE MECHANISM
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT FURNISH CORRECT INFORMATION TO INSPECTING TEAM REGARDING BANK ACCOUNTS
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF AURANGABAD CRYOGENICS LTD. (NOW KNOWN AS BANSAL NATUREVEST LTD.)
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DEFICIENCIES IN REGISTRATION FORMS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
EXECUTED TRADES FOR CLIENTS THROUGH PROPRIETARY ACCOUNT TO EVADE COLLECTION OF MARGINS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JUL-2003 TO 22-JUL-2008
28-JUN-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.25,00,000, LEGAL EXPENSES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDE
|
SAT: APPLICANT AGREED TO PAY A SUM OF RS.25,00,000 TOWARDS SETTLEMENT CHARGES AND RS.2,50,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 09/06/2008 AND VOLUNTARILY UNDERTAKEN TO REMAIN SUSPENDED FOR A PERIOD OF 5 YEARS COMMENCING FROM 23/07/2003. ORDER DATED 28/06/2006 SET ASIDE
|
| 88 |
|
|
PRADIPTA KUMAR DASH,M/S
(Member : BHSE)
|
|
|
|
PRADIPTA KUMAR DASH
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT CHARGE BROKERAGE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-AUG-1998 TO 03-NOV-1998
23-JUL-1998
|
|
| 89 |
|
|
PRAMOD KUMAR KOTHARI,M/S
(Member : CSE)
|
|
|
|
PRAMOD KUMAR KOTHARI
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-FEB-1999 TO 25-AUG-1999
18-FEB-1999
|
|
| 90 |
|
|
PRASHANT JAIN,M/S
(Member : UPSE)
|
|
|
|
PRASHANT JAIN
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-MAY-2002 TO 26-AUG-2002 TILL PAYMENT OF SEBI FEES, WHICHEVER IS LATER
19-JUN-2002
|
|
| 91 |
|
|
PRAVEEN & CO.
(Member : JSE)
|
|
|
|
PRAVEEN RAMAWAT
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT ISSUE CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-DEC-1998 TO 30-JUN-1999
30-DEC-1998
|
|
| 92 |
|
|
PRAVEEN BAJAJ & CO.
(Member : UPSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 27-JAN-1999 TO 26-MAR-1999
21-JAN-1999
|
|
| 93 |
|
|
PREET MOHINDER SINGH,M/S
(Member : LSE)
|
|
|
|
PREET MOHINDER SINGH
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
25-FEB-2000
|
|
| 94 |
|
|
PREMA PODDAR,M/S
(Member : CSE)
|
|
|
|
PREMA PODDAR
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
18-OCT-2002
|
|
| 95 |
|
|
R.H.KOTHARI,M/S
(Member : SKSE)
|
|
|
|
RAJCHANDRA H.KOTHARI
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT ISSUE CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
CHARGED EXCESS BROKERAGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-APR-1999 TO 01-OCT-1999
26-MAR-1999
|
|
| 96 |
|
|
R.M.SHARES TRADING PVT.LTD.
(PAN:AABCR6331B)
(Member : BSE)
|
|
|
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
GAVE SHORT TERM LOANS TO CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DEALT IN UNQUOTED SHARES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-JAN-2006
|
|
| 97 |
|
|
R.S.& CO.
(Member : DSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT MENTION DATE OF TRANSACTIONS ON DELIVERY BILLS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-JUN-1998
|
|
| 98 |
|
|
R.SINGHANIA & CO.
(Member : DSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT ADHERE TO SECURITIES CONTRACTS (REGULATION) ACT, WITH REGARD TO SPOT TRANSACTIONS
DID NOT RECTIFY BAD DELIVERIES IN TIME
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
18-JUN-1998
|
|
| 99 |
|
|
RADAR SECURITIES LTD.
(Member : NSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 30-JAN-2003 TO 29-JUN-2004
10-JAN-2003
|
SAT: ORDER AS MODIFIED UPHELD
|
| 100 |
|
|
RADHA KRISHNA GARG,M/S
(Member : UPSE)
|
|
|
|
RADHA KRISHNA GARG
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-DEC-1998 TO 21-FEB-1999
21-DEC-1998
|
|
| 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 8
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