| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/OTC)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT REDRESS INVESTOR COMPLAINTS
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED SEBI CODE OF CONDUCT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)^CO^08-APR-2009
D FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
17-AUG-2007~
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LTD. ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI'S WITHIN 30 DAYS
|
| 2 |
|
|
CENTURION BANK OF PUNJAB LTD.
(Depository Participants : CDSL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
29-JUL-2009~
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 21/02/2007
AD-INTERIM EX PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.8,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 27/07/2009
|
| 3 |
|
|
DINDAYAL BIYANI STOCK BROKERS LTD.
(Depository Participants : CDSL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
|
| 4 |
|
|
GUJARAT OLEO CHEM LTD.
(Depository Participants : NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
D TO DISGORGE RS.85,88,825
21-NOV-2006~
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS TILL CONCLUSION OF ENQUIRY
DIRECTED TO DISGORGE AN AMOUNT OF RS.85,88,825.28 (SEVERALLY) AND RS.90,02,18,451.80 (JOINTLY WITH NSDL, JHAVERI SECURITIES PVT.LTD., KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., HDFC BANK LTD., KARVY STOCK BROKING LTD., ING VYSYA BANK LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
|
| 5 |
|
|
HDFC BANK LTD.
(PAN:AAACH2702H)
(Depository Participants : NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
D TO DISGORGE RS.1,63,75,940
21-NOV-2006~
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
22-DEC-2008~
|
DIRECTED TO DISGORGE AN AMOUNT OF RS.1,63,75,939.68 (SEVERALLY) AND RS.90,02,18,451.80 (JOINTLY WITH NSDL, JHAVERI SECURITIES PVT.LTD., KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., IDBI BANK LTD., KARVY STOCK BROKING LTD., ING VYSYA BANK LTD.AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 23/11/2006
|
| 6 |
|
|
INFINITE FINANCIAL SERVICES PVT.LTD.
(Depository Participants : NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
24-JUL-2008~
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 25/01/2007
APPLICANT AGREED TO PAY RS.4,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 24/07/2008
|
| 7 |
|
|
INFRASTRUCTURE LEASING & FINANCIAL SERVICES LTD.
(PAN:AAACI0989F)
(Depository Participants : CDSL/NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS TILL CONCLUSION OF ENQUIRY
|
| 8 |
|
|
ING VYSYA BANK LTD.
(Depository Participants : NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
D TO DISGORGE RS.55,48,690
21-NOV-2006~
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
16-FEB-2009~
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS TILL CONCLUSION OF ENQUIRY
DIRECTED TO DISGORGE AN AMOUNT OF RS.5548690.27 (SEVERALLY) AND RS.900218451.80 (JOINTLY WITH NSDL, KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., HDFC BANK LTD., KARVY STOCK BROKING LTD., IDBI BANK LTD., JHAVERI SECRITIES PVT.LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
|
| 9 |
|
|
JHAVERI SECURITIES LTD.
(PAN:AAACJ4727A)
(Depository Participants : NSDL)
|
|
|
|
KAMLESH JHAVERI
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE ACTING AS A SEBI REGISTERED INTERMEDIARY
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
D TO DISGORGE RS.43,83,133
21-NOV-2006~
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
22-DEC-2008~
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FOR A PERIOD OF NINE MONTHS COMMENCING FROM SEBI' ORDER DATED 27/04/2006
DIRECTED TO DISGORGE AN AMOUNT OF RS.43,83,133.10 (SEVERALLY) AND RS.90,02,18,451.80(JOINTLY WITH NSDL, KHANDWALA INTEGRATED FINANCIAL SERVICES PVT. LTD., HDFC BANK LTD., KARVY STOCK BROKING LTD., IDBI BANK LTD., ING VYSYA BANK LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
|
| 10 |
|
|
KARVY STOCK BROKING LTD.
(PAN:AABCK5190K)
(Depository Participants : CDSL)
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 12-JAN-2006 TO 31-DEC-2007
12-JAN-2006
|
PROHIBITED FROM OPENING FRESH DEMAT ACCOUNT TILL 31/12/,2007
SEBI VIDE ITS ORDER DATED 28/01/2014 PROHIBITED KARVY FROM TAKING UP ANY NEW ASSIGNMENT (I.E. NOT TO TAKE UP ANY NEW CLIENTS) FOR A PERIOD OF EIGHTEEN MONTHS.AS KARVY HAS ALREADY UNDERGONE SUCH PROHIBITION FOR 18 MONTHS AND 26 DAYS, NO FURTHER PENALTY IS IMPOSED
|
| 11 |
|
|
KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD.
(Depository Participants : NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
D TO DISGORGE RS.28,72,972
21-NOV-2006~
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
29-JUL-2009~
|
DIRECTED TO DISGORGE AN AMOUNT OF RS.28,72,971.90 (SEVERALLY) AND RS.90,02,18,451.80 (JOINTLY WITH NSDL, HDFC BANK LTD., KARVY STOCK BROKING LTD., IDBI BANK LTD., JHAVERI SECURITIES PVT.LTD., ING VYSYA BANK LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 22/01/2007
|
| 12 |
|
|
MOTILAL OSWAL SECURITIES LTD.
(PAN:AAACD3654Q)
(Depository Participants : CDSL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS TILL CONCLUSION OF ENQUIRY
|
| 13 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
(Depository Participants : CDSL,Member : BSE/NSE)
|
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A.HAMEED A.GAFFAR MEMON
|
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ABDUL HAMEED ABDUL GAFFER MEMON
|
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ABDULHAMED A.GAFFAR MEMON
|
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ABDULSAMAD ABDUL GAFFER MEMON
|
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AHMED ZAFAR SARESHWALA
|
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AMENA MAKSUD KOTHAWALA
|
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ASLAMKHAN REHMATKHAN PATHAN
|
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ASMA UVES SARESHWALA
|
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FATEMA MUKHTAR KOTHAWALA
|
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FATEMA UVES SARESHWALA
|
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GULAM RASOOL MOHIUDDIN BOMBAYWALA
|
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HABIB ZAFAR SARESHWALA
PAN:BGKPS5329B
|
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IFTEKHAR MOHAMMED YUSUF MANSOORI
|
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KHADIJA ZAFAR SARESHWALA
|
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MAKSUD YUSUFBHAI KOTHAWALA
|
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MANSURI IFTEKHAR M.YUSUF
|
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MARIAM YUSUF KOTHAWALA
|
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MOHAMMED A.KOTHAWALA
|
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MOHAMMED ALIBHAI KOTHAWALA
PAN:ADUPK0440R
|
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MUKHTAR YUSUFBHAI KOTHAWALA
|
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NASIR MALIK
|
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QUDSIYA TALHA SARESHWALA
|
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SALEHA MOHAMMED YUNUS SARESHWALA
|
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SUMAIYA TALHA SARESHWALA
|
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TALHA SARESHWALA
|
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TALHA YUNUS SARESHWALA
|
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UMAR UVES SARESHWALA
PAN:BFQPS9169J
|
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UVES MOHAMMED YUNUS SARESHWALA
DIN:00123493
PAN:AOFPS5856M
|
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YUSUFBHAI UMARBHAI KOTHAWALA
|
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ZAFAR YUNUS SARESHWALA
DIN:00123536
PAN:ANYPS8494D
|
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INDULGED IN CONSPIRACY WITH REGISTRAR IN GETTING SHARES TRANSFERRED FRAUDULENTLY IN THEIR ACCOUNT IN MATTER OF PARSOLI CORP.LTD.
INDULGED IN CONSPIRACY WITH REGISTRAR IN DELAYING TRANSFER OF SHARES IN MATTER OF PARSOLI CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2009 TILL FURTHER ORDERS
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED TO REMOVE PINNACLE SHARES REGISTRY PVT.LTD. AS REGISTRAR AND TRANSFER AGENT AND APPOINT ANOTHER REGISTRAR AND TRANSFER AGENT WITHIN SIX MONTHS
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 20-FEB-2009 TILL FURTHER ORDERS
DIRECTED TO CONDUCT SECRETARIAL AUDIT TO IDENTIFY ACTUAL SHAREHOLDERS AND RECONCILE THEIR RECORDS
20-FEB-2009
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SAT: DIRECTED SEBI TO CONCLUDE ENQUIRY PROCEEDINGS AT THE EARLIEST BUT NOT LATER THAN 31/07/2010, EVEN IF APPELLANT DOES NOT FILE ITS REPLY WITH NO ORDER AS TO COSTS
|
| 14 |
|
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PRATIK STOCK VISION PVT.LTD.
(Depository Participants : CDSL)
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
16-MAY-2011~
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 22/05/2007
ORDER DATED 12/01/2006 DISPOSED OFF AS APPLICANT PAID RS.15,00,000 AS PER CONSENT ORDER DATED 16/05/2011.
|
| 15 |
|
|
PRAVIN RATILAL SHARE & STOCK BROKERS LTD.
(Depository Participants : NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
D TO DISGORGE RS.68,76,414
21-NOV-2006~
|
DIRECTED TO DISGORGE AN AMOUNT OF RS.68,76,414.27 (SEVERALLY) AND RS.90,02,18,451.80(JOINTLY WITH NSDL, JHAVERI SECURITIES PVT.LTD., KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., HDFC BANK LTD., KARVY STOCK BROKING LTD., ING VYSYA BANK LTD. AND IDBI BANK LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 16/01/2007
|
| 16 |
|
|
WELLWORTH SHARE & STOCK BROKING LTD.
(Depository Participants : CDSL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
23-JUL-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO REMIT A SUM OF RS.50,000 AS PER CONSENT ORDER DATED 23/07/2008
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
