| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANAND KRISHAN JOHARI
|
|
|
|
CENTURY CONSULTANTS LTD.
|
|
|
CYBERSPACE LTD.
|
|
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
|
|
| 2 |
|
|
ANANTRAI DESAI
|
|
|
|
MAYEKAR INVESTMENT PVT.LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 3 |
|
|
ARTI R.JHUNJHUNWALA
|
|
|
|
JHUNJHUNWALA STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISCHARGED
|
| 4 |
|
|
ARVIND MOHAN JOHARI
|
|
|
|
CENTURY CONSULTANTS LTD.
|
|
|
CYBERSPACE LTD.
|
|
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
|
|
| 5 |
|
|
BAJRANGLAL B.AGARWAL
|
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED RULE 7 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 6 |
|
|
CHAGANLAL B.RATHOD
|
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED RULE 7 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 7 |
|
|
GYANNENDRA NATH JOHARI
|
|
|
|
CENTURY CONSULTANTS LTD.
|
|
|
CYBERSPACE LTD.
|
|
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
|
|
| 8 |
|
|
HEMENDRA B.SHAH
|
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED RULE 7 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 9 |
|
|
HEMENDRA V.SHAH
(PAN:AAEPS0940F)
|
|
|
|
SHALIBHADRA SECURITIES LTD.
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
| 10 |
|
|
JITENDRA DAGA
|
|
|
|
CONCEPT FINANCIAL SERVICES LTD.
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 11 |
|
|
KIRTIDA P.SHAH
|
|
|
|
MAYEKAR INVESTMENT PVT.LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 12 |
|
|
NEERAJ GROVER
(PAN:AFDPG2918P)
|
|
|
|
UNICON SECURITIES PVT.LTD.
CIN:U74899DL1995PTC064554
PAN:AAPFS5325P
(Depository Participants : CDSL)
|
|
|
UNICON SECURITIES PVT.LTD.
CIN:U74899DL1995PTC064554
PAN:AAPFS5325P
(Member : BSE/NSE)
|
|
DEALT IN SECURITIES IN FRAUDULENT & UNFAIR MANNER AND DEFRAUDED INVESTORS IN SECURITIES VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT DELIVER RESPONSIBILITIES AS COMPLIANCE OFFICER OF A REGISTERED INTERMEDIARY
|
IMPOSED PENALTY RS.10,00,000
30-AUG-2022
|
|
| 13 |
|
|
NIMISHA H.SHAH
|
|
|
|
SHALIBHADRA SECURITIES LTD.
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
| 14 |
|
|
PANKAJ A.DESAI
|
|
|
|
MAYEKAR INVESTMENT PVT.LTD.
|
|
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 15 |
|
|
PARMANAND YADAV
(PAN:AIMPY3580D)
|
|
|
|
ROXTECH SECURITIES SERVICES
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
|
|
| 16 |
|
|
PRAVEEN GOYAL
(PAN:AQMPG2650C)
|
|
|
|
SHIVAM TRADING CO.
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
|
|
| 17 |
|
|
RAHUL H.SHAH
|
|
|
|
SHALIBHADRA SECURITIES LTD.
|
|
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
| 18 |
|
|
RAJENDRAPASAD K.JHUNJHUNWALA
|
|
|
|
JHUNJHUNWALA STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISCHARGED
|
| 19 |
|
|
SANTOSH KUMAR
(PAN:AEKPK6751Q)
|
|
|
|
BALAJI ENTERPRISES
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
|
|
| 20 |
|
|
SAPNA
(PAN:DRUPS8079D)
|
|
|
|
STALLION TRADING CO.
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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