| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
(PAN:AAECA3909P)
(Depository Participants : CDSL,Member : NSE/BSE/MCX)
|
|
|
|
SANJEEV KUMAR SINHA
PAN:ALEPS6005L
|
|
CREATED PLEDGE OF SECUTITIES OF ITS CLIENTS AND DID NOT MAKE DISCLOSURE TO NSE VIOLATING CLAUSES A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT ITS DP ACCOUNTS TO NSE VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 06-AUG-2021 TO 05-AUG-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 06-AUG-2021 TO 05-AUG-2026
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD. AND AADYA COMMODITIES PVT.LTD. AND MR.SANJEEVA KUMAR SINHA EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
22-AUG-2017
|
SEBI VIDE ITS ORDER DATED 31/10/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 22/08/2017 SUBJECT TO MODIFICATION MENTIONED IN INTERIM ORDER
SEBI VIDE ITS ORDER DATED 06/08/2021 DIRECTED TO A) CONTINUE RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY, FOR FURTHER 5 YEARS FROM DATE OF THIS ORDER B) JOINTLY AND SEVERALLY, BE LIABLE TO REPAY/REFUND THE INVESTORS/CLIENT’S MONEY WITH INTEREST OF 15% P.A. FROM THE DATE WHEN REPAYMENT BECAME DUE TILL DATE OF ACTUAL REPAYMENT UNDER SUPERVISION OF NSE, BSE AND MCX C) JOINTLY AND SEVERALLY, BE LIABLE TO RETURN THE SECURITIES DUE TO THE CLIENTS/INVESTORS OF AATIPL HAVING CREDIT BALANCES OR MONEY EQUIVALENT TO THEIR VALUE AS ON THE DATE WHEN SETTLEMENT OF SECURITIES BY AATIPL BECAME DUE TO SUCH CLIENTS UNDER SUPERVISION OF NSE, BSE AND MCX D) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS TILL SUCH TIME THE REFUNDS/REPAYMENTS
|
| 2 |
|
|
FIRST GLOBAL STOCKBROKING PVT.LTD.
(PAN:AAACF0661K)
(Member : NSE/BSE)
|
|
|
|
DEVINA MEHRA
|
|
|
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 |
|
|
FIRST GLOBAL STOCKBROKING PVT.LTD.
(PAN:AAACF0661K)
(Member : NSE)
|
|
|
|
DEVINA MEHRA
|
|
|
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
|
| 4 |
|
|
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
|
|
| 5 |
|
|
P.N.VIJAY FINANCIAL SERVICES PVT.LTD.
|
|
|
ALLEGED VIOLATION OF CODE OF CONDUCT OF PORTFOLIO MANAGERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
