| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
MAHENDRA J.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 162 |
|
|
MAHESH MURLIDHAR BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 163 |
|
|
MAHESHKUMAR P.GANDHI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
SAT: IMPUGNED ORDER DATED 17/01/2007 SET ASIDE AND APPEAL ALLOWED.DIRECTED SEBI TO REFUND THE AMOUNT IMPOUNDED FROM APPELLANTS TOGETHER WITH INTEREST ACCRUED THEREON TILL THE DATE AMOUNTS WERE REMMITTED TO CONSOLIDATED FUND OF INDIA WITH PARTIES TO BEAR THEIR OWN COSTS
|
| 164 |
|
|
MANGIBEN J.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 165 |
|
|
MANISHA J.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 166 |
|
|
MANOJDEV SEKSARIA
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
|
SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
|
| 167 |
|
|
MANOJDEV SEKSARIA
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,51,896, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,05,18,968 VIDE CONSENT ORDER)
07-DEC-2009
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,05,18,968 TOWARDS DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) AND RS.20,51,897 TOWARDS SETTLEMENT CHARGES, VIDE CONSENT ORDER DATED 07/12/2009
|
| 168 |
|
|
MEENAKSHI L.PHULWANI
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.1,00,000 VIDE CONSENT ORDER)
22-JUL-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.10000 AGAINST SETTLEMENT CHARGES AND RS.100000 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 22/07/2008
|
| 169 |
|
|
MEENAKSHI M.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 170 |
|
|
MOHINIDEVIM BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 171 |
|
|
MONAL Y.THAKKAR
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,83,669, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.29,17,331 VIDE CONSENT ORDER)
04-NOV-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,83,669 AGAINST SETTLEMENT CHARGES AND RS.29,17,331 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 04/11/2008
|
| 172 |
|
|
MUKESH R.AGARWAL
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.34,59,820, INTEREST RS.7,06,071 VIDE CONSENT ORDER)
26-MAR-2009
|
CONFIRMED AD-INTERIM ORDER DATED JAN. 17,2007
INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.34,59,820.00 ALONGWITH INTEREST DUE THEREON AS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 26/03/2009
|
| 173 |
|
|
NARENDRA HARILAL DADIA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,55,000 VIDE CONSENT ORDER)
05-JUN-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.255000 AGAINST NOTIONAL UNDUE GAIN AND RS.100000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 05/06/2008
|
| 174 |
|
|
NATVARLAL N.DADIA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,50,000 VIDE CONSENT ORDER)
05-JUN-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.250000 AGAINST NOTIONAL UNDUE GAIN AND RS.100000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 05/06/2008
|
| 175 |
|
|
NATWARLAL THAKORDAS
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
EXPIRED. HENCE NO DIRECTION WAS PASSED
MATTER DISPOSED OFF VIDE ORDER DATED 28/08/2009
|
| 176 |
|
|
NAVYA Y.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 177 |
|
|
NAVYA Y.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 178 |
|
|
NAVYA Y.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 179 |
|
|
NAVYA YOGESH BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 180 |
|
|
NAVYABEN Y.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 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 16
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