| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
AMIN MULANI,M/S
(Member : PSE)
|
|
|
|
AMIN MULANI
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CIRCULAR TRADING AND BY PLACING ORDERS AT HIGHER PRICES OTHER THAN PREVAILING MARKET PRICE IN SCRIP OF HOME TRADE LTD.
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT MAINTAIN CLIENT INTRODUCTION FORMS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-NOV-2005 TO 14-MAY-2007
24-OCT-2005
|
|
| 82 |
|
|
AMIT ARVIND SHAH,M/S
(Member : ASE)
|
|
|
|
AMIT ARVIND SHAH
|
|
INDULGED IN PRICE RIGGING IN SCRIP OF RELIABLE FINSTOCK LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-DEC-1997 TO 19-MAR-1998
18-DEC-1997
|
|
| 83 |
|
|
AMIT SAHITA FINANCE PVT.LTD.
(Member : BSE)
|
|
|
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
|
| 84 |
|
|
AMRAPALI CAPITAL & FINANCE SERVICES LTD.
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1),4(2) (A),(B),(E),(G) AND (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED 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 ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,50,000 VIDE CONSENT ORDER)
08-SEP-2009
|
|
| 85 |
|
|
AMRATLAL GOPALJI THACKER,M/S
(Member : CSE)
|
|
|
|
AMRATLAL GOPALJI THACKER
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRADES/MATCHING ORDERS IN SCRIP OF DSQ INDUSTRIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 29-SEP-2006 TO 28-DEC-2006
08-SEP-2006
|
|
| 86 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
(PAN:AABCA3577G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.
28-JUL-2009
|
|
| 87 |
|
|
ANANTRAI A.PAREKH & SONS
(Member : BSE)
|
|
|
ALLEGED MANIPULATION OF PRICE OF BARASIA HOLDING & TRADING CO.LTD.
INDULGED IN CROSS DEALS TO CREATE FALSE MARKET IN SCRIP OF BARASIA HOLDING & TRADING CO.LTD.
DEFICIENCIES IN CLIENT DATABASE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-NOV-2001
|
|
| 88 |
|
|
ANG CAPITAL SERVICES PVT.LTD.
(PAN:AACCA7060K)
(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.5,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 89 |
|
|
ANGEL BROKING PVT.LTD.
(PAN:AAACA8821G)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF ASIAN STERLING GREEN WOODS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(3),A(4) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ASIAN STERLING GREEN WOODS LTD.
|
IMPOSED PENALTY RS.20,00,000
30-DEC-2013
|
SAT: APPEAL FAILED
|
| 90 |
|
|
ANIL G.BHANDARI,M/S
(Member : MPSE)
|
|
|
|
ANIL G.BHANDARI
|
|
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF EONOUR TECHNOLOGIES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF EONOUR TECHNOLOGIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-NOV-2003 TO 17-DEC-2003
29-OCT-2003
|
|
| 91 |
|
|
ANS PVT.LTD.
(PAN:AACCA4841J)
(Member : BSE/NSE/SKSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, SELF TRADES AND REVERSAL OF TRADE TRANSACTIONS IN SCRIPS OF GUJARAT HOTELS LTD.,JINDAL HOTELS LTD.,SCOOTERS INDIA LTD.,RELAXO FOOTWEARS LTD.,TULSYAN NEC LTD.,ARCHIES LTD.,KARUR K.C.P.PACKAGING LTD.,VADILAL INDUSTRIES LTD.,JAGATJIT INDUSTRIES LTD.,AHLCON PARENTERALS LTD.,LINC PENS & PLASTICS LTD.,MACHINO PLASTICS LTD.,JJ EXPORTERS LTD.,HINDUSTAN TIN WORKS LTD.,VAMSHI RUBBER LIMITED AND ARTSON ENGG.LTD.
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(3) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) IN MATTER OF GUJARAT HOTELS LTD., JINDAL HOTELS LTD., SCOOTERS INDIA LTD.,RELAXO FOOTWEARS LTD., TULSYAN NEC LTD., ARCHIES LTD., KARUR K.C.P.PACKAGING LTD., VADILAL INDUSTRIES LTD., JAGATJIT INDUSTRIES LTD., AHLCON PARENTERALS LTD., LINC PENS & PLASTICS LTD., MACHINO PLASTICS LTD.,JJ EXPORTERS LTD., HINDUSTAN TIN WORKS LTD., VAMSHI RUBBER LTD.,HIND INDUSTRIES LTD.AND ARTSON ENGINEERING LTD.
|
IMPOSED PENALTY RS.5,00,000
20-APR-2010
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 92 |
|
|
ANVEE SHARE BROKER PVT.LTD.
(Member : DSE)
|
|
|
MANIPULATED PRICE IN SCRIP OF VATSA WORLD LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-AUG-2004
|
|
| 93 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF VERITAS (INDIA) LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF VERITAS (INDIA) LTD.
|
IMPOSED PENALTY RS.5,00,000
27-AUG-2014
|
SAT: SAT VIDE ITS ORDER DATED 27/02/2015 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 27/08/2014 AND REMANDED CASE BACK TO SEBI TO START FRESH ADJUDICATION PROCEEDINGS
|
| 94 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IREGULAR TRANSACTINS AND SELF TRADES IN SCRIP OF VERITAS (INDIA) LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF VERITAS (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, LEGAL EXPENSES RS.86,375 VIDE CONSENT ORDER)
06-SEP-2017
|
|
| 95 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND SELF TRADES IN SCRIP OF WELL PACK PAPERS & CONTAINERS LTD.
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) TO A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF WELL PACK PAPERS & CONTAINERS LTD.
|
IMPOSED PENALTY RS.2,00,000
16-FEB-2015
|
|
| 96 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : NSE)
|
|
|
ACTED IN CONCERT WITH BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ORIENT INFORMATION TECHNOLOGY LTD.
ATTEMPTED TO MISLEAD PUBLIC BY CREATING ARTIFICIAL MARKET IN SCRIP OF ORIENT INFORMATION TECHNOLOGY LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-NOV-2006 TO 28-NOV-2006
01-NOV-2006
|
SAT: IMPUGNED ORDER DATED 01/11/2006 MODIFIED AND CONVERTED INTO MONETARY PENALTY OF RS.1,00,000
|
| 97 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND SELF TRADES IN SCRIP OF SPECTACLE INFOTEK LTD.
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) TO A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF SPECTACLE INFOTEK LTD.
|
IMPOSED PENALTY RS.2,00,000
22-DEC-2014
|
|
| 98 |
|
|
ARCHI SHARES & STOCK BROKERS PVT.LTD.
(Member : ASE/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
|
| 99 |
|
|
ARGUS STOCK BROKING LTD.
(Member : DSE)
|
|
|
MANIPULATED PRICE IN SCRIP OF VATSA WORLD LTD.
VIOLATED SEBI CODE OF CONDUCT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-AUG-2004
|
|
| 100 |
|
|
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
|
|
| 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 62
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