| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALFA FINSEC
(PAN:BDGPS0774K)
|
|
|
|
SUNIL SINGH
PAN:BDGPS0774K
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 2 |
|
|
BALAJI ENTERPRISES
(PAN:AEKPK6751Q)
|
|
|
|
SANTOSH KUMAR
PAN:AEKPK6751Q
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.10,50,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 3 |
|
|
CENTURY CONSULTANTS LTD.
|
|
|
|
ANAND KRISHAN JOHARI
|
|
|
ARVIND MOHAN JOHARI
|
|
|
GYANNENDRA NATH JOHARI
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 4 |
|
|
CONCEPT FINANCIAL SERVICES LTD.
|
|
|
|
JITENDRA DAGA
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 5 |
|
|
CYBERSPACE LTD.
|
|
|
|
ANAND KRISHAN JOHARI
|
|
|
ARVIND MOHAN JOHARI
|
|
|
GYANNENDRA NATH JOHARI
|
|
|
RAJEEV KAPOOR
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 6 |
|
|
ICICI SECURITIES LTD.
(PAN:AAACI0996E)
|
|
|
ALLEGED FAILURE IN MONITORING AUTHORISED PERSON (AP), AS TRADING
TERMINALS ALLOCATED TO AUTHORIZED PERSON (AP), OPERATED FROM UNKNOWN PLACES, NOT REPORTED TO STOCK EXCHANGES
ALLEGED FAILURE IN HAVING SYSTEMS TO MONITOR TRADING PRACTICES OF AUTHORIZED PERSON (AP) AS AUTHORISED PERSONS WAS USING LOGIN CREDENTIALS OF THE CLIENTS FOR ONLINE TRADING
ALLEGED FAILURE IN ENSURING THAT ONLY APPROVED USERS OPERATE THE TRADING TERMINAL ALLOCATED TO THEM
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,20,000 VIDE CONSENT ORDER)
06-JAN-2025
|
|
| 7 |
|
|
LAXMI & SONS
|
|
|
VIOLATED SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS 1992
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-OCT-1996 TO 14-JAN-1997
15-OCT-1996
|
|
| 8 |
|
|
MAYEKAR INVESTMENT PVT.LTD.
|
|
|
|
ANANTRAI DESAI
|
|
|
KIRTIDA P.SHAH
|
|
|
PANKAJ A.DESAI
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 9 |
|
|
NATRAJ CAPITAL & CREDIT PVT.LTD.
(PAN:AAACN2928D)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.10,50,000
31-JAN-2023
|
|
| 10 |
|
|
ROXTECH SECURITIES SERVICES
(PAN:AIMPY3580D)
|
|
|
|
PARMANAND YADAV
PAN:AIMPY3580D
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 11 |
|
|
SHALIBHADRA SECURITIES LTD.
|
|
|
|
HEMENDRA V.SHAH
PAN:AAEPS0940F
|
|
|
NIMISHA H.SHAH
|
|
|
RAHUL H.SHAH
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
| 12 |
|
|
SHIVAM TRADING CO.
(PAN:AQMPG2650C)
|
|
|
|
PRAVEEN GOYAL
PAN:AQMPG2650C
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 13 |
|
|
STALLION TRADING CO.
(PAN:DRUPS8079D)
|
|
|
|
SAPNA
PAN:DRUPS8079D
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.10,50,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 14 |
|
|
V B DESAI FINANCIAL SERVICES LTD.
|
|
|
|
SUKETA KAPADIA
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
