| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
GSB CAPITAL MARKETS LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-OCT-2004
|
|
| 102 |
|
|
GSB SECURITIES PVT.LTD.
(PAN:AAACG9905H)
(Member : NSE)
|
|
|
|
GIRDHARI BIYANI
|
|
|
RAMAKANT BIYANI
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF MOREPEN HOTELS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
21-MAY-2007
|
|
| 103 |
|
|
H.K.GARG & CO.
(Member : UPSE)
|
|
|
|
HARI KRISHNA GARG
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-FEB-1997 TO 14-MAY-1997
27-JAN-1997
|
|
| 104 |
|
|
HARIKISHAN HIRALAL,M/S
(Member : BSE)
|
|
|
|
HARIKISHAN HIRALAL
|
|
|
SHIVKUMAR H.BISSA
|
|
DID NOT EXERCISE DUE SKILL, CARE, SKILL AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF SMR UNIVERSAL SOFTECH LTD.
INDULGED IN CREATION OF ARTIFICIAL VOLUME IN SCRIP OF SMR UNIVERSAL SOFTECH LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-FEB-2008 TO 25-MAR-2008
05-FEB-2008
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COST
|
| 105 |
|
|
HARISH KADAM & CO.SECURITIES PVT.LTD.
(Member : PSE)
|
|
|
|
HARISH KADAM
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
INVOLVED IN CREATION OF FALSE MARKET, CIRCULAR TRADING AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-DEC-2007 TO 04-DEC-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-DEC-2007 TO 04-DEC-2008
05-DEC-2007
|
|
| 106 |
|
|
HARJIVANDAS NEMIDAS & SONS
(Member : BSE)
|
|
|
|
PRASAN PRANJIVANDAS
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
23-AUG-1999
|
|
| 107 |
|
|
HARVESTDEAL SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NEDUNGADI BANK LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE DURING TRADE IN SCRIP OF NEDUNGADI BANK LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-MAY-2008 TO 25-NOV-2008
17-APR-2007
SETTLEMENT ( LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER
|
SAT: APPLICANT AGREED TO REMAIN OUT OF MARKET FOR A PERIOD OF 6 MONTHS AND TO PAY RS.25000 AS PER CONSENT ORDER DATED 26/05/2008
|
| 108 |
|
|
HAVEN FINANCIAL SERVICES PVT.LTD.
(Member : NSE)
|
|
|
ATTEMPTED TO INDUCE PUBLIC TO DEAL BY CREATING MISLEADING APPEARANCE OF TRADING IN THE SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
ACTED IN CONCERT TO MANIPULATE SCRIP OF RADAAN MEDIAWORKS INDIA LTD. THROUGH REVERSAL OF TRADE TRANSACTIONS/SYNCHRONIZED DEALS
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
IMPOSED PENALTY RS.5,00,000
29-MAY-2006
|
SAT: APPEAL FAILED AND DISMISSED WITH PARTIES TO BEAR THEIR OWN COSTS
|
| 109 |
|
|
HEXAGON CAPITAL MARKETS LTD.
(Member : BGSE)
|
|
|
|
B.VENKATACHALAM
|
|
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DEFICIENCIES IN REGISTRATION FORMS
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
ALLOWED THIRD PARTY TO PLACE ORDERS FOR CLIENTS WITHOUT OBTAINING WRITTEN CONSENT FROM CLIENTS
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 05-DEC-2006 TO 19-DEC-2006
14-NOV-2006
|
|
| 110 |
|
|
HORNIC INVESTMENT PVT.LTD.
(PAN:AAACH1537N)
(Member : NSE)
|
|
|
|
ANIL DAGA
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF EIDER INFOTECH LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JAN-2009
|
|
| 111 |
|
|
ICDS SECURITIES LTD.
(Member : BGSE)
|
|
|
INVOLVED IN CREATION OF FALSE MARKET, CIRCULAR TRADING AND PRICE MANIPULATION IN SCRIP OF HOME TRADE LTD.
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-SEP-2005 TO 21-OCT-2005
01-SEP-2005
|
|
| 112 |
|
|
IKM INVESTORS SERVICES LTD.
(Member : BSE/CSE/NSE/DSE)
|
|
|
|
PRAMOD JAIN
|
|
|
RAHUL MALIK
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH ITS SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-DEC-2007
|
|
| 113 |
|
|
IL&FS INVESTSMART LTD.
(PAN:AAACI3364A)
(Member : BSE/NSE)
|
|
|
|
K.KAMALA
|
|
|
SACHIN JOSHI
|
|
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT EXERCISE DUE CARE AND DILIGENCE
ILLEGAL AND UNAUTHORIZED GRANT OF TRADING TERMINAL TO CLIENT
|
IMPOSED PENALTY RS.2,00,000
18-NOV-2004
|
|
| 114 |
|
|
INDAVARA STOCKS
(Member : BGSE)
|
|
|
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
25-SEP-2006
|
|
| 115 |
|
|
INDEX FINLEASE SERVICES LTD.
(Member : BGSE)
|
|
|
|
G.L.KOTHARI
|
|
DID NOT MAINTAIN CLIENT AGREEMENTS
DEFAULTED IN MAINTENANCE OF RECORD OF TIME OF PLACEMENT OF ORDERS
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-FEB-2004 TO 02-MAR-2004
31-JAN-2004
|
|
| 116 |
|
|
INDIA CEMENTS INVESTMENT SERVICES LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF MARUTI ORGANICS LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-AUG-2002 TO 21-AUG-2002
14-AUG-2002
|
|
| 117 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
AIDED AND ABETTED CLIENTS IN SYNCHRONIZED/MATCHED/REVERSAL TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
IMPOSED PENALTY RS.15,00,000
25-FEB-2009
|
|
| 118 |
|
|
INDO SHARE & FINTRADE LTD.
(Member : BSE)
|
|
|
MANIPULATED PRICE IN SCRIP OF EONOUR SOFTWARE LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF EONOUR SOFTWARE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-DEC-2003 TO 04-DEC-2008
05-DEC-2003
|
|
| 119 |
|
|
J.B.JHAVERI,M/S
(Member : VSE)
|
|
|
|
J.B.JHAVERI
|
|
AIDED DEVENDRA KANTILAL DALAL IN PRICE MANIPULATION IN SCRIP OF JYOTI RESINS & ADHESIVES LTD.
DID NOT EXERCISE DUE SKILL AND DILIGENCE IN MATTER OF JYOTI RESINS & ADHESIVE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-AUG-2002 TO 11-DEC-2002
12-AUG-2002
|
|
| 120 |
|
|
JASHVANTLAL VADILAL SHAH,M/S
(Member : ASE)
|
|
|
|
JASHVANTLAL VADILAL SHAH
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF OASIS MEDIA MATRIX LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
07-APR-2010
|
|
| 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 6 of 16
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