| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ASHOK NARAYAN WAJE
(PAN:AARPW8396C)
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
05-JUN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 05/06/2009 CONFIRMED, VIDE ORDER DATED 18/11/2009
SAT: SINCE INVESTIGATIONS ARE STILL CONTINUING, NOT APPROPRIATE TO EXAMINE MERITS OF ISSUES. APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 2 |
|
|
CHETAN SHASHIKANT SHAH
(PAN:AAFPS7527M)
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
DIRECTED BSE TO WITHHOLD PAYOUT OF 11/02/2009 OF HETAL PATEL AND CHETAN SHAH IN SEPARATE ESCROW ACCOUNT
05-JUN-2009
|
SAT: APPEALS FILED BY NETWORTH STOCK BROKING LTD., GEOJIT BNP PARIBAS FINANCIAL SERVICES LTD. AND DAWNAY DAY A V SECURITIES PVT.LTD. TO WITHHELD THE PAYOUT TO OTHER BROKERS, DISMISSED AS PREMATURE. WITH NO ORDER AS TO COSTS
AD-INTERIM EX-PARTE ORDER DATED 05/06/2009 CONFIRMED, VIDE ORDER DATED 26/10/2009
|
| 3 |
|
|
HETAL RAJESH PATEL
(PAN:AQUPP6130E)
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
DIRECTED BSE TO WITHHOLD PAYOUT OF 11/02/2009 OF HETAL PATEL AND CHETAN SHAH IN SEPARATE ESCROW ACCOUNT
05-JUN-2009
|
SAT: APPEALS FILED BY NETWORTH STOCK BROKING LTD., GEOJIT BNP PARIBAS FINANCIAL SERVICES LTD. AND DAWNAY DAY A V SECURITIES PVT.LTD. TO WITHHELD THE PAYOUT TO OTHER BROKERS, DISMISSED AS PREMATURE. WITH NO ORDER AS TO COSTS
SAT: APPELLANT APPLIED TO WITHDRAW APPEAL WITH LIBERTY TO CHALLENGE ORDER. APPEAL BECOME INFRUCTUOUS AS INVESTIGATION PENDING. APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 4 |
|
|
MUKESH GIRIDHAR KONDE
(PAN:AOHPK0210P)
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
05-JUN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 05/06/2009 CONFIRMED, VIDE ORDER DATED 18/11/2009
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 5 |
|
|
NITESH ASHOK JADHAV
(PAN:AHIPJ8358D)
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
05-JUN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 05/06/2009 CONFIRMED, VIDE ORDER DATED 18/11/2009
SAT: APPEAL DISMISSED LEAVING PARTIES TO BEAR THEIR OWN COSTS
|
| 6 |
|
|
RAJESH PATEL
(PAN:AQUPP6874F)
|
|
|
COLLUDED TO MISUSE STOCK EXCHANGE MECHANISM TO PROFITABLY EXIT FROM THEIR POSITIONS IN SCRIP OF RTS POWER CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2021 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2021 TO 26-OCT-2023
05-JUN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 05/06/2009 CONFIRMED, VIDE ORDER DATED 26/10/2009
SAT: APPEAL DISPOSSED OFF WITH DIRECTION TO SEBI TO EXPEDITIOUSLY COMPLETE INVESTIGATIONS BUT NOT LATER THAN 30/06/2010.NO ORDER AS TO COSTS.
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
