| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
S.MADESWARI,M/S
(PAN:AJBPM1810G)
(Sub-Broker of INDITRADE CAPITAL LTD., Member : NSE)
|
|
|
|
S.MADESWARI
PAN:AJBPM1810G
|
|
TRADED ON BEHALF OF CLIENTS IN F&O SEGMENT WITHOUT APPROVAL OF AUTHORISED PERON VIOLATING CLAUSE D(C) (IV) OF CONSOLIDATED NSE CIRCULAR 001/2013 DATED 13/02/2013 IN MATTER OF INDITRADE CAPITAL LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 15 READ WITH CLAUSES A(1) AND D(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKER) REGULATIONS, 1992 IN MATTER OF INDITRADE CAPITAL LTD.
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
05-MAR-2019
|
|
| 82 |
|
|
SAI BROKING
(PAN:ACKPN1415A)
(Member : ICSE)
|
|
|
|
ANANDHI P.NAIG
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIPS OF BSEL INFRASTRUCTURE REALTY LTD. AND MAHARASHTRA SEAMLESS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE 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 BSEL INFRASTRUCTURE REALTY LTD. AND MAHARASHTRA SEAMLESS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 15 READ WITH CLAUSES A(1),A(2),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BSEL INFRASTRUCTURE REALTY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-JUN-2011
|
|
| 83 |
|
|
SANJAY BIYANI,M/S
(Sub-Broker of MPSE SECURITIES LTD., Member : BSE)
|
|
|
|
SANJAY BIYANI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS 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(2)D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF WELLWORTH OVERSEAS LTD.
|
IMPOSED PENALTY RS.1,50,000
26-NOV-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/07/2014 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 84 |
|
|
SAROJ & CO.
(Sub-Broker of UPSE SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
SANJAY AGRAWAL
PAN:ABYPA8263A
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RICH CAPITAL & FINANCIAL SERVICES LTD.
DID NOT EXERCISING DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE TRANSACTIONS VIOLATING REGULATION 7 READ WITH CLAUSES A(2),D(4) AND (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RICH CAPITAL & FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-OCT-2011
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 21/10/2011 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 85 |
|
|
SATYA SHAKAMBARI SECURITIES PVT.LTD.
(PAN:AAGCS6220B)
(Sub-Broker of NIRMAL BANG SECURITIES PVT.LTD., Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND STRUCTURED TRANSACTIONS IN SCRIP OF BHAGERIA INDUSTRIES LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 15(1)(B) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BHAGERIA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.15,00,000
31-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 15/09/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER WITHIN TWO WEEKS THEREAFTER
|
| 86 |
|
|
SBM INVESTMENTS
(Sub-Broker of MUKESH BABU SECURITIES LTD., Member : BSE)
|
|
|
INDULGED IN SYNCHRONIZED TRADING IN SCRIP OF GLOBAL TRUST BANK LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS SUB-BROKER FROM 04-NOV-2004 TO 03-MAR-2005
14-OCT-2004
|
|
| 87 |
|
|
SHAIN JOSE,M/S
(PAN:AGNPJ9672Q)
(Sub-Broker of INDITRADE CAPITAL LTD., Member : NSE)
|
|
|
|
SHAIN JOSE
PAN:AGNPJ9672Q
|
|
TRADED ON BEHALF OF CLIENTS IN F&O SEGMENT WITHOUT APPROVAL OF AUTHORISED PERON VIOLATING CLAUSE D(C) (IV) OF CONSOLIDATED NSE CIRCULAR 001/2013 DATED 13/02/2013 IN MATTER OF INDITRADE CAPITAL LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 15 READ WITH CLAUSES A(1) AND D(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKER) REGULATIONS, 1992 IN MATTER OF INDITRADE CAPITAL LTD.
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
05-MAR-2019
|
|
| 88 |
|
|
SHANTANU S.DHAMANKAR,M/S
(Sub-Broker of KAYNET CAPITALS LTD., Member : BSE)
|
|
|
|
SHANTANU S.DHAMANKAR
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION
|
IMPOSED PENALTY RS.2,00,000
30-MAR-2007
|
|
| 89 |
|
|
SHANTANU S.DHAMANKAR,M/S
(Sub-Broker of PSE SECURITIES LTD., Member : BSE/NSE,Member : PSE)
|
|
|
|
SHANTANU S.DHAMANKAR
|
|
INDULGED IN OFF-THE-FLOOR TRANSACTIONS
VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION
|
IMPOSED PENALTY RS.2,00,000
30-MAR-2007
|
|
| 90 |
|
|
SHARE AIDS
(PAN:AELPP3342M)
(Sub-Broker of SKSE SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
GUNVANT J.ZALADI
PAN:AELPP3342M
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES AS REQUIRED UNDER REGULATION 7 READ WITH CLAUSES A(1) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF NETVISION WEB TECHNOLOGIES LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF NETVISION WEB TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.3,50,000
22-AUG-2011
|
|
| 91 |
|
|
SHARE AIDS
(PAN:AELPP3342M)
(Sub-Broker of SKSE SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
GUNVANT J.ZALADI
PAN:AELPP3342M
|
|
INDULGED IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ATUL AUTO LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ATUL AUTO LTD.
|
IMPOSED PENALTY RS.2,50,000 ALONG WITH OTHER ENTITIES/PERSONS
17-AUG-2010
|
|
| 92 |
|
|
SHREE KRISHNA INVESTMENTS
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CYBERSPACE LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 15 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CYBERSPACE LTD.
|
SHOW CAUSE NOTICE ISSUED
17-SEP-2008
|
|
| 93 |
|
|
SHREESURYA INVESTMENTS
(PAN:ABSPJ5397C)
(Sub-Broker of KISAN RATILAL CHOKSEY SHARES & SECURITIES PVT.LTD., Member : BSE/NSE)
|
|
|
|
SAMEER SUDHIR JOSHI
PAN:ABSPJ5397C
|
|
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE TRANSACTIONS VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992
|
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JAN-2016 TO 07-JAN-2021
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC OR ANY OTHER UNREGISTERED ACTIVITY, IN WHATEVER FORM
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JAN-2016 TO 07-JAN-2021
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
20-JAN-2015
|
SEBI VIDE ITS ORDER DATED 08/01/2016 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC IN WHATEVER FORM 2) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FIVE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS 3) REFUND THE MONIES SO COLLECTED FROM CLIENTS AND OTHER INVESTORS IN VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO THEM UNDER SUCH SCHEMES OR INTEREST AT RATE OF 10% PER ANNUM, WHICHEVER IS HIGHER, FROM DATE OF INVESTMENT TILL DATE OF REFUND, WITHIN A PERIOD OF NINETY (90) DAYS FROM DATE OF THIS ORDER AND SUBMIT A REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
|
| 94 |
|
|
SHRI PARSHWA FINANCE
(Sub-Broker of P.SURYAKANT SHARE & STOCK BROKERS PVT.LTD., Member : BSE)
|
|
|
|
PIYUSH SUBODHCHANDRA JHAVERI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF IND SWIFT LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE, FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF IND SWIFT LTD.
|
IMPOSED PENALTY RS.1,25,000 ALONG WITH OTHER ENTITIES/PERSONS
30-SEP-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 95 |
|
|
SHRI PARSHWA FINANCE
(Sub-Broker of JYOTISH BHOGILAL STOCK BROKERS PVT.LTD., Member : ASE)
|
|
|
|
PIYUSH SUBODHCHANDRA JHAVERI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF SHALIBHADRA INFOSEC LTD. AND ADITYA INFOSOFT LTD.
INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 15 READ WITH CLAUSES D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHALIBHADRA INFOSEC LTD. AND ADITYA INFOSOFT LTD.
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 15-APR-2013
25-MAR-2013
|
|
| 96 |
|
|
SHRI PARSHWA FINANCE
(Sub-Broker of P.SURYAKANT SHARE & STOCK BROKERS PVT.LTD., Member : BSE)
|
|
|
|
PIYUSH SUBODHCHANDRA JHAVERI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF SAARC NET LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES REQUIREMENTS VIOLATING REGULATION 15 READ WITH CLAUSES A(1),A(2),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SAARC NET LTD.
|
SUSPENDED REGISTRATION AS SUB-BROKER FROM 01-JUN-2012 TO 31-AUG-2012
11-MAY-2012
|
|
| 97 |
|
|
SHRI PARSHWA FINANCE
(Sub-Broker of P.SURYAKANT SHARE & STOCK BROKERS PVT.LTD., Member : BSE)
|
|
|
|
PIYUSH SUBODHCHANDRA JHAVERI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTONS IN SCRIP OF KRBL LTD.
DID NOT MAINTAINING 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 KRBL LTD.
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-OCT-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 98 |
|
|
SHRI PARSHWA FINANCE
(Sub-Broker of P.SURYAKANT SHARE & STOCK BROKERS PVT.LTD., Member : BSE)
|
|
|
|
PIYUSH SUBODHCHANDRA JHAVERI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED, SELF AND CIRCULAR TRANSACTIONS IN SCRIP OF TASC PHARMACEUTICALS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE 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 TASC PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 20/01/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 99 |
|
|
SHRIPAL SHESHMAL,M/S
(PAN:AFBPS1760D)
|
|
|
|
SHRIPAL SHESHMAL
PAN:AFBPS1760D
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 15 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF GARWARE POLYSTER LTD.
|
IMPOSED PENALTY RS.5,00,000
24-FEB-2021
|
|
| 100 |
|
|
SKY LINE,M/S
(PAN:ABLFS1714M)
(Sub-Broker of INDITRADE CAPITAL LTD., Member : NSE)
|
|
|
TRADED ON BEHALF OF CLIENTS IN F&O SEGMENT WITHOUT APPROVAL OF AUTHORISED PERON VIOLATING CLAUSE D(C) (IV) OF CONSOLIDATED NSE CIRCULAR 001/2013 DATED 13/02/2013 IN MATTER OF INDITRADE CAPITAL LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 15 READ WITH CLAUSES A(1) AND D(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKER) REGULATIONS, 1992 IN MATTER OF INDITRADE CAPITAL LTD.
|
IMPOSED PENALTY RS.50,000
21-DEC-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 6
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