| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
GAUTAMBHAI NANUBHAI JHAVERI,M/S
(PAN:ADAPJ5993J)
(Member : ASE)
|
|
|
|
RAJESH NANUBHAI JHAVERI
PAN:ADAPJ5993J
|
|
ALLEGED ENGAGEMENT IN MANIPULATIVE TRADES TO ASSIST VARIOUS PREFERENTIAL ALLOTTEES TO OFF-LOAD THEIR HOLDINGS AT JACKED UP PRICE IN SCRIP OF SWACA COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-SEP-2008 TO 03-SEP-2009
04-SEP-2008
|
|
| 162 |
|
|
GEOJIT FINANCIAL SERVICES LTD.
(PAN:AABCG1935E)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 163 |
|
|
GEOJIT FINANCIAL SERVICES LTD.
(PAN:AABCG1935E)
(Member : NSE/BSE/COCSE)
|
|
|
ALLEGED INDULGENCE IN NEGOTIATED DEALS PROHIBITED VIDE SEBI CIRCULARS NO.SMDRP/POLICY/CIRCULAR-20/98 DATED 04/08/1998 AND SMDRP/POLICY/CIRCULAR-32/99 DATED 14/09/1999
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
11-AUG-2009
|
|
| 164 |
|
|
GEOMETRY VANIJYA PVT.LTD.
(PAN:AACCG6000B)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 165 |
|
|
GILL BROKING PVT.LTD.
(PAN:AAHCG0239K)
(Member : NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 166 |
|
|
GIRIRAJ STOCK BROKING PVT.LTD.
(PAN:AACCG7581R)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 167 |
|
|
GLOBALWORTH SECURITIES LTD.
(PAN:AADCG7624G)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 168 |
|
|
GLOBE CAPITAL MARKET LTD.
(PAN:AAACG4267G)
(Member : BSE/NSE/LSE)
|
|
|
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED INDULGENCE IN SENDING SMS AND EMAILS OF BEARISH OUTLOOK TO CLIENTS
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
22-DEC-2008
|
|
| 169 |
|
|
GLOBE CAPITAL MARKET LTD.
(PAN:AAACG4267G)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 170 |
|
|
GOODWILL WEALTH MANAGEMENT PVT.LTD.
(PAN:AAECG9766E)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 171 |
|
|
GRD SECURITIES LTD.
(PAN:AABCG7534M)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 172 |
|
|
GRD SECURITIES LTD.
(PAN:AABCG7534M)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 173 |
|
|
GRISHMA SECURITIES PVT.LTD.
(PAN:AABCG1300K)
(Member : NSE/BSE)
|
|
|
ALLEGED AIDING AND ABETTING ITS CLIENTS FOR HAVING INDULGED IN CIRCULAR TRADING IN SCRIP OF SHREE YAAX PHARMA & COSMETICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
30-JAN-2008
|
|
| 174 |
|
|
GRISHMA SECURITIES PVT.LTD.
(PAN:AABCG1300K)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN MARKET MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
13-AUG-2010
|
|
| 175 |
|
|
GSB CAPITAL MARKETS LTD.
(Member : BSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED EVASION OF MARGIN BY UNDER REPORTING OF CARRY FORWARD POSITION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
31-DEC-2008
|
|
| 176 |
|
|
GUINESS SECURITIES LTD.
(PAN:AAACG9843L)
(Depository Participants : NSDL,Member : BSE/NSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME
ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD
ALLEGED CHARGING OF HIGHER BROKERAGE FROM CLIENTS TOWARDS PURCHASED AND SALE OF SHARES
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING AND BORROWING FUNDS FOR TRANACTIONS OF CLIENTS AND CHARGING INTEREST
ALLEGED NON-COLLECTION OF MARGINS FROM CLIENTS AND PERMITTED THEM TO TRADE WITHOUT SUFFICIENT CASH BALANCE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
02-AUG-2011
|
|
| 177 |
|
|
H.NYALCHAND FINANCIAL SERVICES LTD.
(Member : ASE/NSE)
|
|
|
|
DHIRENBHAI H.VORA
PAN:AAWPV2756N
|
|
|
UDAY H.VORA
PAN:AAMPV2972L
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIPS OF ETP CORP.LTD.,E-STAR INFOTECH LTD., SMR UNIVERSAL SOFTECH LTD.,RANSI SOFTWARE LTD.,ACCURATE EXPORTS LTD.,BLUE COAST HOTELS & RESORTS PVT.LTD.,BIRMINGHAM THERMOTECH LTD.,SOMPLAST LEATHER INDUSTRIES LTD.,GENUS COMMU-TRADE LTD.,SOUNDCRAFT INDUSTRIES LTD.,TOP MEDIA ENTERTAINMENT LTD. AND UNIVERSAL MEDIA NETWORK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,00,000 VIDE CONSENT ORDER)
22-SEP-2008
|
|
| 178 |
|
|
HARISH KUMAR SINGHANIA,M/S
(PAN:AKVPS1237L)
(Member : BSE)
|
|
|
|
HARISH KUMAR SINGHANIA
PAN:AKVPS1237L
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 179 |
|
|
HARSH SHARES BROKING PVT.LTD.
(PAN:AACCH4347L)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 180 |
|
|
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
REACHED SETTLEMENT ( LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER) FROM 26-MAY-2008 TO 25-NOV-2008
26-MAY-2008
|
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
|
| 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 9 of 28
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