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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PORTFOLIO MANAGERS: MANIPULATED MARKET AND/OR INDULGED IN UNFAIR TRADE PRACTICES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.

(PAN:AAACF0661K)

(Member : NSE)  
Click here to view complete history of this specific entity/person DEVINA MEHRA
Click here to view complete history of this specific entity/person SHANKAR SHARMA
  		VIOLATED SEBI ACT, RULES & REGULATIONS

ARTIFICIALLY DEPRESSED PRICES OF SPECIFIED SCRIPS

VIOLATED SEBI CODE OF CONDUCT   		DEBARRED FROM UNDERTAKING FRESH BUSINESS AS PORTFOLIO MANAGER FROM 25-MAY-2001 TILL PENDING ENQUIRY

DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 25-MAY-2001 TILL PENDING ENQUIRY

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2001 TILL PENDING ENQUIRY

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2001 TILL PENDING ENQUIRY

25-MAY-2001 		SAT: APPEAL DISMISSED  
2
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.

(PAN:AAACF0661K)

(Member : NSE/BSE)  
Click here to view complete history of this specific entity/person DEVINA MEHRA
Click here to view complete history of this specific entity/person SHANKAR SHARMA
  		ARTIFICIALLY DEPRESSED PRICES OF SELECT SCRIPS DURING MID FEBRUARY AND EARLY MARCH 2001

ARTIFICIALLY DEPRESSED PRICES OF SPECIFIED SCRIPS

VIOLATED SEBI CODE OF CONDUCT   		CANCELLED REGISTRATION AS STOCK BROKER FROM 12-SEP-2002

CANCELLED REGISTRATION AS PORTFOLIO MANAGER

12-SEP-2002 		SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS

SAT: DIRECTED APPLICANT TO MAKE FRESH APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER  
3
History of entity/person 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
History of entity/person 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 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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