| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
S.S.KANTILAL ISHWARLAL SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED MANIPULATION OF PRICE OF MALVICA ENGINEERING LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE
|
| 102 |
|
|
SALASAR STOCK BROKING LTD.
(PAN:AADCS8020Q)
(Member : NSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF ORDER MODIFICATION SLIP
DEFAULTED IN MAINTENANCE OF ORDER CONFIRMATION SLIP
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT OBTAIN ACKNOWLEDGEMENT FROM CLIENTS
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
EXECUTED TRADES FOR CLIENTS IN SELF ACCOUNT CODE INSTEAD OF CLIENT ACCOUNT CODE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-DEC-2005
|
|
| 103 |
|
|
SALASAR STOCK BROKING LTD.
(PAN:AADCS8020Q)
(Member : CSE)
|
|
|
|
AMIT SONTHALIA
|
|
|
KIRAN KUMAR SONTHALIA
PAN:ALHPS3335E
|
|
INDULGED IN PROPRIETARY TRADES IN SCRIP OF GLOBAL CAPITAL MARKETS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
23-NOV-2009
|
|
| 104 |
|
|
SANGHAVI BROTHERS BROKERAGE LTD.
(Member : BSE)
|
|
|
|
KAMLESH R.SANGHAVI
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & 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 BAFFIN ENGINEERING PROJECTS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
07-APR-2010
|
|
| 105 |
|
|
SANJAY CAPITAL SERVICES PVT.LTD.
(Member : DSE)
|
|
|
|
O.P.GUPTA
|
|
EXECUTED PROPRIETARY TRADES IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
29-MAY-2009
|
|
| 106 |
|
|
SANKALP SHARE BROKERS PVT.LTD.
(PAN:AAICS6652B)
(Member : NSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-OCT-2015
|
|
| 107 |
|
|
SDFC SECURITIES LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED & CROSS DEALS IN SCRIP OF VISION ORGANICS 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 VISION ORGANICS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
11-FEB-2015
|
|
| 108 |
|
|
SHRADDHA STOCK BROKING PVT.LTD.
(PAN:AAECS6307D)
(Member : CSE)
|
|
|
|
SURESH KUMAR SARAF
|
|
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-DEC-2009
|
|
| 109 |
|
|
SHREEPATI HOLDINGS & FINANCE PVT.LTD.
(PAN:AAACS3111R)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CYBERSPACE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
09-APR-2012
|
|
| 110 |
|
|
SHRI PARASRAM HOLDINGS PVT.LTD.
(PAN:AAACS4487J)
(Member : NSE/BSE/MSEI)
|
|
|
PLEDGED CLIENTS SECURITIES WITHOUT THEIR CONSENT VIOLATING SEBI CIRCULAR NO.SEBI/MRD/SE/SU/CIR-15/04 DATED 19/03/2004
PLEDGED CLIENTS SECURITIES WITHOUT THEIR CONSENT VIOLATING REGULATION 9 READ WITH CLAUSES A(1) TO A(3) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
06-JUL-2021
|
|
| 111 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CYBERSPACE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-MAY-2011
|
|
| 112 |
|
|
SHUBHAM & CO.
(Member : UPSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK AND DOCUMENT REGISTER
COMMITTED IRREGULARITIES/DEFAULTED IN ISSUANCE OF CONFIRMATION MEMOS
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DID NOT APPOINT COMPLIANCE OFFICER
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MONITOR CLIENT TO CLIENT POSITION OF FUNDS
DID NOT PAY TURNOVER FEE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-JAN-2006
|
|
| 113 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN 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 GANGOTRI TEXTILES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
24-APR-2017
|
|
| 114 |
|
|
SPS SHARE BROKERS PVT.LTD.
(PAN:AABCS9622C)
(Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & 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 RAVALGAON SUGAR FARMS LTD. AND SHRENUJ & CO.LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
06-AUG-2013
|
|
| 115 |
|
|
STANDARD CHARTERED-STCI CAPITAL MARKETS LTD.
(Member : NSE)
|
|
|
DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING
DELAYED SUBMISSION OF INFORMATION REGARDING CLIENTELE DATABASE
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR MAINTAINING RUNNING ACCOUNT
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR HOLDING PAYMENT OF FUNDS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-JAN-2006
|
|
| 116 |
|
|
SUNIDHI CONSULTANCY SERVICES LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-JAN-2006
|
|
| 117 |
|
|
SURENDRA KUMAR DUGAR & CO.
(Member : CSE)
|
|
|
|
J.P.RATHI
|
|
|
SURENDRA KUMAR DUGAR
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CYBERSPACE MULTIMEDIA LTD.
INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES 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 CYBERSPACE MULTIMEDIA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-DEC-2009
|
|
| 118 |
|
|
SVV SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT OBTAIN ACKNOWLEDGEMENT FROM CLIENTS
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
MEMBER-CLIENT AGREEMENTS WERE NOT DATED
DEALT WITH UN-REGISTERED SUB-BROKERS
PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES PERTAINING TO ONE SETTLEMENT WERE USED FOR OTHER SETTLEMENTS
MANUALLY CHANGED PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
06-JAN-2006
|
|
| 119 |
|
|
SWADHA SECURITIES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND OFF-MARKET TRANSACTIONS IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-MAY-2010
|
|
| 120 |
|
|
SYKES & RAY EQUITIES (INDIA) LTD.
(PAN:AAECS5168A)
(Member : BSE)
|
|
|
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 7
|
