| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
VIJAY J.THAKKAR,M/S
(PAN:AAXPT4930F)
(Sub-Broker of VSE STOCK SERVICES LTD., Member : BSE/NSE)
|
|
|
|
VIJAY J.THAKKAR
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SKS LOGISTICS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 15(B) READ WITH CLAUSES A (1), A (2), D (1), D (4) AND D (5) OF CODE OF CONDUCT FOR SUB-BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SKS LOGISTICS LTD. (ERSTWHILE SKS (SHIP) LTD.)
|
IMPOSED PENALTY RS.8,00,000
28-AUG-2014
|
SAT: SAT VIDE ITS ORDER DATED 09/02/2016 SET ASIDED IMPUGNED ORDER DATED 28/08/2014 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 29/06/2018 DID NOT CHANGE DIRECTIONS PASSED VIDE ITS ORDER DATED 28/08/2014
SAT: SAT VIDE ITS ORDER DATED 26/04/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.5.00 LACS FROM RS.16.00 LACS U/S 15HA AND RS.3.00 LACS FROM RS.6.00 LACS U/S 15HB AND DIRECTED APPELLANT TO PAY TOTAL AMOUNT RS.8.00 LACS WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS
|
| 122 |
|
|
VIKAS CONSULTANCY
(Sub-Broker of J.G.SHAH FINANCIAL CONSULTANTS PVT.LTD., Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF TRADE (FICTITIOUS TRADES) IN SCRIP OF SHALIMAR PRODUCTION 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) AND CLAUSE D(1),(4) AND (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHALIMAR PRODUCTION LTD.
|
IMPOSED PENALTY RS.1,00,000
30-MAR-2010
|
|
| 123 |
|
|
VINTEL SECURITIES PVT.LTD.
(PAN:AABCV0925H)
(Sub-Broker of ISJ SECURITIES PVT.LTD., Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SUN INFOWAYS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING 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) IN MATTER OF SUN INFOWAYS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-OCT-2011 TO 18-JAN-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-OCT-2011 TO 18-JAN-2012
19-OCT-2011
|
|
| 124 |
|
|
VRUDDHI CONFINVEST INDIA PVT.LTD.
(Sub-Broker of FIRST GLOBAL STOCK BROKING PVT.LTD., Member : BSE)
|
|
|
|
DEVINA MEHRA
|
|
|
SHANKAR SHARMA
|
|
ARTIFICIALLY DEPRESSED PRICES OF SPECIFIED SCRIPS
VIOLATED SEBI CODE OF CONDUCT
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 12-SEP-2002
12-SEP-2002
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 125 |
|
|
YASH FINANCE
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF SUN INFOWAYS LTD.
ALLEGED FAILURE IN MAINTENANCE OF 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) IN MATTER OF SUN INFOWAYS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
02-JUN-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 7
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