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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 14-OCT-2026

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: VIOLATED CODE OF CONDUCT

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ADOLF PATRICK PINTO  
  ALLEGED INDULGENCE IN SYNCHRONIZED, CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.

ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH 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 KRBL LTD.   		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

28-JAN-2010 		 
2
History of entity/person CHANDRA KUMAR SARAWGI  
  ALLEGED VIOLATION OF REGULATIONS 3, 4(1), 4(2)(A),(B),(G) AND (N) OF SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES) REGULATIONS, 2003   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,000 VIDE CONSENT ORDER)

12-NOV-2008 		 
3
History of entity/person RAJSHRI SARAWGI  
  ALLEGED VIOLATION OF REGULATIONS 3, 4(1), 4(2)(A),(B),(G) AND (N) OF SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES) REGULATIONS, 2003   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,000 VIDE CONSENT ORDER)

12-NOV-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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