| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
CRB CAPITAL MARKETS LTD.
|
|
|
IRREGULARITIES IN OPERATION OF CRB CAPITAL MARKETS LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 21-MAY-1997
21-MAY-1997
|
|
| 2 |
|
|
CREDIT SUISSE FIRST BOSTON (INDIA) SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 3 |
|
|
KHANDWALA SECURITIES LTD.
(PAN:AAACK2214P)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS VIOLATING REGULATIONS 4(B) (C) AND (D) OF SEBI (PFUTP) REGULATIONS, 2003 IN SCRIP OF DSQ SOFTWARE LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DSQ SOFTWARE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,00,000 VIDE CONSENT ORDER)
15-SEP-2009
|
|
| 4 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2003 TO 11-DEC-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2003 TO 11-DEC-2017
12-DEC-2003
|
|
| 5 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 6 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
MANIPULATED PRICE IN SCRIP OF LUPIN LABORATORIES LTD.
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2003 TO 11-DEC-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2003 TO 11-DEC-2017
12-DEC-2003
|
SAT: APPEAL DISMISSED
|
| 7 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIPS OF MASCON GLOBAL LTD.AND DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2003 TO 11-DEC-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2003 TO 11-DEC-2017
23-SEP-2010
|
|
| 8 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
|
NAVINCHANDRA NARBHERAM PAREKH
DIN:00009547
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUN-2003 TILL INVESTIGATIONS COMPLETED
06-JUN-2003
|
|
| 9 |
|
|
PANTHER INVESTRADE LTD.
(PAN:AAACP3259R)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 10 |
|
|
SHRIYAM BROKING INTERMEDIARY LTD.
|
|
|
DID NOT EXERCISE INDEPENDENT PROFESSIONAL JUDGMENT IN ENSURING THAT ISSUER RECAST ITS ACCOUNTS
DID NOT EXERCISE DUE DILIGENCE TO ENSURE THAT REGISTRAR DELIVERS SHARE CERTIFICATES TO ALLOTTEES BY REGISTERED POST
FACILITATED CONCENTRATION OF HUGE HOLDING WITH THE PROMOTERS/DIRECTORS AND CREATED CONDITIONS FOR PRICE RIGGING IN SCRIP OF HOME TRADE LTD.
DID NOT ENSURE THAT BASIS OF ALLOTMENT WAS DONE IN FAIR AND EQUITABLE MANNER BY ALLOTTING SHARES TO SANJAY AGGARWAL, N.S.TRIVEDI, KETAN SHETH AND SUBODH BHANDARI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 26-NOV-2003 TO 25-JAN-2004
05-NOV-2003
|
|
| 11 |
|
|
STATE BANK OF INDORE
|
|
|
IN THE CASE OF SAKET EXTRUSIONS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUL-2002
|
|
| 12 |
|
|
SUNIDHI CONSULTANCY SERVICES LTD.
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
INTERIM ORDER DATED 31/12/2002 REVOKED BY SEBI
|
| 13 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012
12-NOV-2007
|
SAT: APPEAL DISMISSED AS INFRUCTUOUS
|
| 14 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 15 |
|
|
VATSA CORP.LTD.
|
|
|
IRREGULARITIES IN PUBLIC ISSUE OF HITEK INDUSTRIES (BIHAR) LTD.
IRREGULARITIES IN BUYING, SELLING AND DEALING IN SCRIP OF HITEK INDUSTRIES (BIHAR) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2003 TO 11-AUG-2008
12-AUG-2003
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
