| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
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
|
|
| 2 |
|
|
FIRST GLOBAL FINANCE PVT.LTD.
|
|
|
|
DEVINA MEHRA
|
|
|
SHANKAR SHARMA
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 25-MAY-2001 TILL ENQUIRY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2001 TILL ENQUIRY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2001 TILL ENQUIRY
25-MAY-2001
|
SAT: APPEAL DISMISSED
|
| 3 |
|
|
GILTEDGE INVESTMENT BANKING SERVICES LTD.
|
|
|
IRREGULARITIES IN TRANSACTIONS IN GOVERNMENT SECURITIES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAY-2002 TO 30-MAY-2002
16-MAY-2002
|
|
| 4 |
|
|
HINDUJA TMT LTD.
|
|
|
|
SOLOMON RAJ
|
|
IRREGULARITIES IN RIGHTS ISSUE OF SUBHASH PROJECTS & MARKETING LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2003 TO 10-JAN-2005
11-JAN-2003
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 5 |
|
|
KUKU MOTOR FINANCE LTD.
|
|
|
|
S.K.CHADHA
|
|
ALLOTTED SHARES WITHOUT RECEIVING APPLICATION MONEY IN PUBLIC ISSUE OF NATURAL EXPO AGRO INDUSTRIES LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN PUBLIC ISSUE OF NATURAL EXPO AGRO INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-APR-2007 TO 25-OCT-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-APR-2007 TO 25-OCT-2007
26-APR-2007
|
|
| 6 |
|
|
MEGA RESOURCES LTD.
(PAN:AADCM5397E)
|
|
|
DID NOT MAKE DISCLOSURE OF ACQUISITION OF SHARES OF THE BOMBAY DYEING & MFG.CO.LTD. WHILE ACTING IN CONCERT WITH ARUN BAJORIA
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2001 TO 28-AUG-2002
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2001 TO 28-AUG-2002
29-AUG-2001
|
SAT: APPEAL DISMISSED
|
| 7 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
|
|
|
|
A.P.SHUKLA
PAN:AECPS3296Q
|
|
|
DHANANJAY CHANDRAKANT PARIKH
PAN:ACTPP2402L
|
|
|
PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
|
|
|
T.S.RAGHAVAN
PAN:AAFPR1521A
|
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
|
|
|
TUSHAR SHIRDHARANI
PAN:AAIPS0065M
|
|
MISUTILIZED ISSUE PROCEEDS
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 15/02/2012 MODIFIED ITS EARLIER ORDER DATED 28/12/2011 BY ALLOWING TO DEAL IN SHARES FOR LIMITED PURPOSE OF FULFILLING THEIR EXISTING OBLIGATIONS OF UNDERWRITING FOR MINIMUM SUBSCRIPTION
|
| 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 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
|
|
| 10 |
|
|
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
|
|
| 11 |
|
|
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
|
|
| 12 |
|
|
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
|
| 13 |
|
|
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
|
|
| 14 |
|
|
RAJASHREE FISCAL SERVICES LTD.
|
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF SAATAL KATTHA & CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2004 TO 12-JAN-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2004 TO 12-JAN-2007
13-JAN-2004
|
|
| 15 |
|
|
SIDH GLOBAL EQUITY FUND LTD.
|
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF BARODA AGRO INDUSTRIES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
REGISTRATION EXPIRED
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-APR-2004 TO 22-APR-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2004 TO 22-APR-2007
23-APR-2004
|
|
| 16 |
|
|
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
|
| 17 |
|
|
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
|
|
| 18 |
|
|
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
