| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/OTC)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT REDRESS INVESTOR COMPLAINTS
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED SEBI CODE OF CONDUCT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)^CO^08-APR-2009
D FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
17-AUG-2007~
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LTD. ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI'S WITHIN 30 DAYS
|
| 2 |
|
|
ANAND RATHI SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
|
ANAND RATHI
|
|
UNDER SECTION 11B OF SEBI ACT.1992
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 12-MAR-2001 TILL FURTHER ORDER
12-MAR-2001
|
SAT: PART OF ORDER I.E.SUSPENDING REGISTRATION TO TWO APPLICANT COMPANIES SET ASIDE
|
| 3 |
|
|
ASIAN SECURITIES & STOCKS LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-NOV-1998
30-OCT-1998
|
|
| 4 |
|
|
BAMA SECURITIES LTD.
(Member : NSE)
|
|
|
|
DILIP M.BANG
|
|
|
KISHORE M.BANG
|
|
|
NIRMAL BANG
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-JUN-2001 TILL FURTHER ORDER
04-JUN-2001
|
SAT: OPERATION OF ORDER CANCELLING REGISTRATION GRANTED TO APPELLANTS STAYED FOR 10 WEEKS AND RESPONDENT WILL FILE REPLY WITHIN 3 WEEKS FROM DATE OF ORDER
SAT: PART OF ORDER I.E.CANCELLING CERTIFICATE OF REGISTRATION OF BANG SECURITIES PVT.LTD. SET ASIDE AND APPEAL DISPOSED OF
|
| 5 |
|
|
BANG EQUITY BROKING PVT.LTD.
(Member : BSE)
|
|
|
|
DILIP M.BANG
|
|
|
KISHORE M.BANG
|
|
|
NIRMAL BANG
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-JUN-2001 TILL FURTHER ORDER
04-JUN-2001
|
SAT: OPERATION OF ORDER CANCELLING REGISTRATION GRANTED TO APPELLANTS STAYED FOR 10 WEEKS AND RESPONDENT WILL FILE REPLY WITHIN 3 WEEKS FROM DATE OF ORDER
SAT: PART OF ORDER I.E.CANCELLING CERTIFICATE OF REGISTRATION OF BANG SECURITIES PVT.LTD. SET ASIDE AND APPEAL DISPOSED OF
|
| 6 |
|
|
BANG SECURITIES PVT.LTD.
(PAN:AAACB2269D)
(Member : HSE)
|
|
|
|
DILIP M.BANG
|
|
|
KISHORE M.BANG
|
|
|
NIRMAL BANG
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-JUN-2001 TILL FURTHER ORDER
04-JUN-2001
|
SAT: OPERATION OF ORDER CANCELLING REGISTRATION GRANTED TO APPELLANTS STAYED FOR 10 WEEKS AND RESPONDENT WILL FILE REPLY WITHIN 3 WEEKS FROM DATE OF ORDER
SAT: PART OF ORDER I.E.CANCELLING CERTIFICATE OF REGISTRATION OF BANG SECURITIES PVT.LTD. SET ASIDE AND APPEAL DISPOSED OF
|
| 7 |
|
|
BHARAT J.PATEL,M/S
(PAN:AAAPP6652R)
(Member : BSE)
|
|
|
|
BHARAT JAYANTILAL PATEL
PAN:AAAPP6652R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 8 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67120WB1993PLC060799)
(Member : BSE/CSE/OTC/NSE)
|
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 21-JUN-2001 TILL PENDING ENQUIRY
21-JUN-2001
|
|
| 9 |
|
|
CREDIT SUISSE FIRST BOSTON
(Member : BSE)
|
|
|
DISTORTED TRUE PRICE DISCOVERY AND MANIPULATED SECURITIES MARKET DURING MID FEBRUARY 2001 AND MID MARCH 2001
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-JUN-2001 TILL PENDING ENQUIRY
04-JUN-2001
|
|
| 10 |
|
|
DIGITAL LEASING & FINANCE LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-NOV-1998
30-OCT-1998
|
|
| 11 |
|
|
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
|
| 12 |
|
|
GNH GLOBAL SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 13 |
|
|
H.NYALCHAND FINANCIAL SERVICES LTD.
(Member : NSE/ASE)
|
|
|
|
DHIRENBHAI H.VORA
PAN:AAWPV2756N
|
|
|
SAUMIL A.SHAH
|
|
|
UDAY H.VORA
PAN:AAMPV2972L
|
|
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
INDULGED IN SYNCHRONIZED DEALS
EXECUTED FICTITIOUS TRANSACTIONS
INFLUENCED PRICES OF SEVERAL COMPANIES
POSSIBILITY OF INSIDER TRADING IN VIEW OF PRICE SENSITIVE INFORMATION BEING MADE AVAILABLE TO IT AS A RESULT OF ITS ASSOCIATION WITH THE COMPANIES
INVOLVED IN FLOATING BOGUS ENTITIES
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 29-JAN-2004 TILL FURTHER ORDER
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JAN-2004 TILL FURTHER ORDER
29-JAN-2004
|
|
| 14 |
|
|
HARVESTDEAL SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 15 |
|
|
KNP SECURITIES LTD.
(Member : BSE)
|
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 21-JUN-2001 TILL PENDING ENQUIRY
21-JUN-2001
|
SAT: APPEAL FAILED AND DISMISSED LEAVING PARTIES TO BEAR THEIR OWN COSTS
|
| 16 |
|
|
LALKAR SECURITIES PVT.LTD.
(CIN:U65990MH1997PTC105421
PAN:AAACL1966B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 17 |
|
|
MAHICO PVT.LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 18 |
|
|
MALAR SHARESHOPPE LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| 19 |
|
|
MEFCOM SECURITIES LTD.
(PAN:AAACM1079Q)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 04-NOV-1998
30-OCT-1998
|
|
| 20 |
|
|
MEFCOM SECURITIES LTD.
(PAN:AAACM1079Q)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 02-NOV-1998
30-OCT-1998
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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