| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
RAJEEV KUMAR AGARWAL
(PAN:AGGPA0436L)
|
|
|
|
BHARATIYA GLOBAL INFOMEDIA LTD.
CIN:L74999DL1994PLC062967
PAN:AABCB8175B
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 05/10/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 28/12/2011
|
| 82 |
|
|
RAJENDRA KUMAR AGARWAL
|
|
|
|
ALOSHA VANIJYA PVT.LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES, SYNCHRONIZED TRADES AND OFF-MARKET TRANSACTIONS IN SCRIPS OF CALS REFINERIES LTD.,CONFIDENCE PETROLEUM INDIA LTD.,BANG OVERSEAS LTD.,SHREE PRECOATED STEELS LTD. AND TEMPTATION FOODS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JUN-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2009 TILL FURTHER ORDERS
DIRECTED BSE TO EXAMINE DEALINGS OF CHIMANLAL MANEKLAL SECURITIES PVT.LTD. IN SCRIP OF CALS REFINERIES LTD.
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
MATTER REFERRED TO INCOME TAX DEPARTMENT TO LOOK INTO POSSIBLE ALTERNATIVE PAY-OFFS OUTSIDE SECURITES MARKET
04-JUN-2009
|
DIRECTED STOCK EXCHANGES TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING POSITIONS IN F&O SEGMENT AND NOT TO CREATE FRESH POSITIONS FOR CONNECTED CLIENTS. FURTHER DIRECTED NSE TO WITHHOLD PROFIT ARISING OUT OF SQUARING OFF THESE POSITIONS VIDE ORDER DATED 05/06/2009
AD-INTERIM EX-PARTE ORDER DATED 04/06/2009 CONFIRMED, VIDE ORDER DATED 31/12/2009
DIRECTIONS ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 04/06/2009 AND CONFIRMATORY ORDER DATED 31/12/2009 REVOKED WITH IMMEDIATE EFFECT VIDE ORDER DATED 16/05/2011
|
| 83 |
|
|
RAJESH KUMAR VYAS
|
|
|
|
MAHASAGAR SECURITIES
PAN:AAPFM5751R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS IN SCRIP OF KWALITY DAIRY (INDIA) LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-DEC-2009 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
01-DEC-2009
|
AD-INTERIM EX-PARTE ORDER DATED 01/12/2009 CONFIRMED. VIDE ORDER DATED 09/11/2010
DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 01/12/2009 AND CONFIRMATORY ORDERS DATED 25/03/2010 AND 19/11/2010 REVOKED WITH IMMEDIATED EFFECT, VIDE ORDER DATED 31/03/2011
SEBI VIDE ITS ORDER DATED 29/08/2011 IMPOSED A PENALTY OF RS.2,00,000.00 UNDER SECTION 15HA AND RS.1,00,000.00 UNDER SECTION 15HB
|
| 84 |
|
|
RAJESH MAHAJAN
(PAN:AFGPM8060D)
|
|
|
|
BROOKS LABORATORIES LTD.
PAN:AACCB5316P
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 09/07/2013 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011 TILL FURTHER ORDERS FROM SEBI
SAT: SAT VIDE ITS ORDER DATED 01/03/2017 DISPOSED OFF THE APPEAL, AS THE SAME HAS BECOME INFRUCTUOUS. NO COSTS
|
| 85 |
|
|
RAJESHBHAI BHAGAT
(PAN:AQFPB6163N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 86 |
|
|
RAKESH BHATIA
(PAN:AHYPB7406Q)
|
|
|
|
BHARATIYA GLOBAL INFOMEDIA LTD.
CIN:L74999DL1994PLC062967
PAN:AABCB8175B
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 05/10/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 28/12/2011
|
| 87 |
|
|
RAKESH MODI
(PAN:AFKPM1166L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 88 |
|
|
RAKESH P.PARIK
(PAN:AGSPP9141M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 89 |
|
|
RAM AWTAR SHARMA
(PAN:AAIPS6508F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 90 |
|
|
RAMA SWAMY KUCHANA
(PAN:ALIPK4206D)
|
|
|
|
TAKSHEEL SOLUTIONS LTD.
CIN:U72200TG1999PLC032556
PAN:AAACI7325P
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 25/10/2013 CONFIRMED ITS DIRECTIONS ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 23/12/2011 TILL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 15/11/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/12/2011 AND CONFIRMATORY ORDER DATED 25/10/2013
SAT: SAT VIDE ITS ORDER DATED 26/10/2020 DISMISSED THE APPEAL
|
| 91 |
|
|
RAMENDRA KUMAR SINGH
(PAN:BLIPS6490N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 92 |
|
|
RAVI KUSAM
(PAN:AKCPK0569Q)
|
|
|
|
TAKSHEEL SOLUTIONS LTD.
CIN:U72200TG1999PLC032556
PAN:AAACI7325P
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-NOV-2017 TO 14-NOV-2020
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-NOV-2017 TO 14-NOV-2020
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 15/11/2017 RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF THREE YEARS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 26/10/2020 DISMISSED THE APPEAL
|
| 93 |
|
|
RAVIKANT CHOWDHARY
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES, SYNCHRONIZED TRADES AND OFF-MARKET TRANSACTIONS IN SCRIPS OF CALS REFINERIES LTD.,CONFIDENCE PETROLEUM INDIA LTD.,BANG OVERSEAS LTD.,SHREE PRECOATED STEELS LTD. AND TEMPTATION FOODS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JUN-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2009 TILL FURTHER ORDERS
DIRECTED BSE TO EXAMINE DEALINGS OF CHIMANLAL MANEKLAL SECURITIES PVT.LTD. IN SCRIP OF CALS REFINERIES LTD.
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
MATTER REFERRED TO INCOME TAX DEPARTMENT TO LOOK INTO POSSIBLE ALTERNATIVE PAY-OFFS OUTSIDE SECURITES MARKET
04-JUN-2009
|
DIRECTED STOCK EXCHANGES TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING POSITIONS IN F&O SEGMENT AND NOT TO CREATE FRESH POSITIONS FOR CONNECTED CLIENTS. FURTHER DIRECTED NSE TO WITHHOLD PROFIT ARISING OUT OF SQUARING OFF THESE POSITIONS VIDE ORDER DATED 05/06/2009
AD-INTERIM EX-PARTE ORDER DATED 04/06/2009 CONFIRMED, VIDE ORDER DATED 24/11/2009
SAT: AS APPLICANT AGREED TO DEPOSIT RS.15,00,000 IN ESCROW ACCOUNT, HENCE AFTER DEPOSITIONG THE SAME, PROHIBITION IMPOSED VIDE ORDER DATED 04/06/2009 LIFTED. APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
DIRECTIONS ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 04/06/2009 AND CONFIRMATORY ORDER DATED 24/11/2009 REVOKED WITH IMMEDIATE EFFECT VIDE ORDER DATED 16/05/2011
|
| 94 |
|
|
ROHIT CHINTAMANI DUBE
(PAN:AFWPD8709C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 95 |
|
|
ROHIT MODI
(PAN:ADRPM7626G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 96 |
|
|
RONAK NARENDRA KOTECHA
(PAN:BDDPK9588C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 97 |
|
|
SACHIN SHRIDHAR
(PAN:AQGPS1313N)
|
|
|
|
RDB RASAYANS LTD.
PAN:AABCR2313M
CIN:007878
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
AUDIT COMMITTEE WAS NOT CHAIRED BY AN INDEPENDENT DIRECTOR
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 08/10/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 98 |
|
|
SAMATA JAIN
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES, SYNCHRONIZED TRADES AND OFF-MARKET TRANSACTIONS IN SCRIPS OF CALS REFINERIES LTD.,CONFIDENCE PETROLEUM INDIA LTD.,BANG OVERSEAS LTD.,SHREE PRECOATED STEELS LTD. AND TEMPTATION FOODS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JUN-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2009 TILL FURTHER ORDERS
DIRECTED BSE TO EXAMINE DEALINGS OF CHIMANLAL MANEKLAL SECURITIES PVT.LTD. IN SCRIP OF CALS REFINERIES LTD.
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
MATTER REFERRED TO INCOME TAX DEPARTMENT TO LOOK INTO POSSIBLE ALTERNATIVE PAY-OFFS OUTSIDE SECURITES MARKET
04-JUN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 04/06/2009 CONFIRMED, VIDE ORDER DATED 19/01/2010
DIRECTED STOCK EXCHANGES TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING POSITIONS IN F&O SEGMENT AND NOT TO CREATE FRESH POSITIONS FOR CONNECTED CLIENTS. FURTHER DIRECTED NSE TO WITHHOLD PROFIT ARISING OUT OF SQUARING OFF THESE POSITIONS VIDE ORDER DATED 05/06/2009
SEBI VIDE ITS ORDER DATED 09/04/2012 REVOKED ITS DIRECTIONS ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 04/06/2009 AND CONFIRMATORY ORDER DATED 19/01/2010 WITH IMMEDIATE EFFECT AND DISPOSED OFF SCN WITHOUT ANY FURTHER DIRECTION
|
| 99 |
|
|
SANDEEP BAID
(PAN:ADEPB3749A)
|
|
|
|
RDB RASAYANS LTD.
PAN:AABCR2313M
CIN:007878
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
AUDIT COMMITTEE WAS NOT CHAIRED BY AN INDEPENDENT DIRECTOR
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
|
| 100 |
|
|
SANDEEP BAKUL SHETH
(PAN:AMWPS5089F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 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 7
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