| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
20TH CENTURY SECURITIES LTD.
(Member : NSE/BSE/OTC)
|
|
|
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
|
INTERIM ORDER DATED 31/12/2002 REVOKED BY SEBI
|
| 2 |
|
|
A.V.SHARES & STOCK BROKING PVT.LTD.
(Member : CSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CONTINUOUS SELF DEALS EXECUTED AT ONE TERMINAL AND CROSS DEALS AMONG THEMSELVES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
DIRECTED THAT INTERIM ORDER DATED 29/09/2005 SHALL REMAIN IN FORCE TILL FURTHER ORDERS
RESTRAINT ORDER IMPOSED BY WAY OF INTERIM ORDERS DATED 29/09/2005 AND 30/11/2005 AND LATER CONFIRMED BY ORDERS DATED 12/01/2006 AND 31/05/2006 VACATED
|
| 3 |
|
|
ABANS SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 20/02/2016 QUASHED AND SET ASIDED IMPUGNED EX-PARTE AD-INTERIM ORDER DATED 17/02/2016. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 4 |
|
|
ACCORD CAPITAL MARKETS LTD.
(PAN:AACCA5695G)
(Member : NSE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2005 TILL FURTHER ORDERS
29-NOV-2005
|
CONFIRMED INTERIM ORDER DATED 29/11/2005
|
| 5 |
|
|
ACHINTYA SECURITIES PVT.LTD.
(PAN:AAFCM2199G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 20/02/2016 QUASHED AND SET ASIDED IMPUGNED EX-PARTE AD-INTERIM ORDER DATED 17/02/2016. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 6 |
|
|
ADITI A.DALAL,M/S
(Member : ASE)
|
|
|
|
ADITI A.DALAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VXL INSTRUMENTS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2011 TO 16-MAR-2011
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 17-JAN-2011 TO 16-MAR-2011
17-JAN-2011
|
|
| 7 |
|
|
ADOLF PATRICK PINTO,M/S
(Member : BSE)
|
|
|
|
ADOLF PATRICK PINTO
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE IN SCRIP OF ELTROL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 8 |
|
|
AHILYA COMMERCIAL PVT.LTD.
(CIN:U51109WB1994PTC065648
PAN:AACCA2226R)
(Member : CSE)
|
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CONTINUOUS SELF DEALS EXECUTED AT ONE TERMINAL AND CROSS DEALS AMONG THEMSELVES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
DIRECTED THAT INTERIM ORDER DATED 29/09/2005 SHALL REMAIN IN FORCE TILL FURTHER ORDERS
RESTRAINT ORDER IMPOSED BY WAY OF INTERIM ORDERS DATED 29/09/2005 AND 30/11/2005 AND LATER CONFIRMED BY ORDERS DATED 12/01/2006 AND 31/05/2006 VACATED
|
| 9 |
|
|
AJMERA ASSOCIATES LTD.
(PAN:AADCA7062J)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH FIRST TRADES, PUTTING BUY ORDERS AT UPPER CIRCUIT PRICES AND PLACING INVALID BUY ORDERS IN SCRIP OF PRIME PROPERTY DEVELOPMENT CORP.LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
|
| 10 |
|
|
ALKA SECURITIES LTD.
(PAN:AAACA4835E)
(Member : NSE)
|
|
|
VIOLATED SEBI ORDER DATED 28/07/2009
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-APR-2010 TILL FURTHER ORDERS
29-APR-2010
|
|
| 11 |
|
|
ALKA SECURITIES LTD.
(PAN:AAACA4835E)
(Member : NSE)
(Along with : MAYURESH REAL ESTATE MANAGEMENT PVT.LTD.)
|
|
|
|
ALKA M.PANDEY
PAN:AGEPP1076H
|
|
|
ANJUBEN KOTHARI
|
|
|
BRIJESH KOTHARI
PAN:AACPK8359C
|
|
|
DIMPLE PRASAD KOTHARI
|
|
|
MAHENDRA PANDEY
PAN:AACPP5315K
|
|
|
MAHESH NATVARLAL KOTHARI
PAN:AACPK2951Q
|
|
|
RAVI PANDEY
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-JUL-2009 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010
|
| 12 |
|
|
AMIT SAHITA FINANCE PVT.LTD.
(Member : BSE)
|
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE IN SCRIP OF ELTROL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 13 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
(Depository Participants : CDSL,Member : NSE/BSE/MSEI)
|
|
|
|
PARESH MULJI KARIYA
PAN:AAEPK0469M
|
|
|
SADHANA PARESH KARIYA
PAN:AJHPK6018N
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
PROMISED ASSURED RETURNS TO CLIENTS
DEFAULTED IN MAINTENANCE OF CLIENT LEDGER
INDULGED IN MANIPULATIVE, FRAUDULENT OR DECEPTIVE SCHEMES WHILE DEALING IN SECURITIES MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2030
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.4,00,00,000
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 24/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
|
| 14 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
EXECUTED TRANSACTIONS ON BEHALF OF SHAH BANTY DINESH WHO HAS BEEN PROHIBITED FROM TRADING AS PER SEBI ORDER DATED 23/04/2009 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2009 TILL FURTHER ORDERS
22-MAY-2009
|
DIRECTED TO APPOINT MR.SURESH B.MENON , CHIEF GENERAL MANAGER TO REPORT WITHIN TWO DAYS FROM THE DATE OF THIS ORDER ON COMPLIANCE OF ANUGRAH STOCK & BROKING PVT.LTD.WITH WHAT HAS BEEN ASSERTED BY IT IN ITS SUBMISSIONS AND AFFIDAVIT AND TO REPORT WITHIN TWO MONTHS FROM DATE OF THIS ORDER ON (I) ADEQUACY OF RISK MANAGEMENT SYSTEM IN TRADING AND SURVEILLANCE INFRASTRUCTURE ESTABLISHED BY ANUGRAH (II) POSSIBILITY OF COLLUSION BETWEEN ANUGRAH AND BANTY DINESH SHAH. PLEA MADE BY ANUGRAH TO REVOKE AD INTERIM ORDER DATED 22/05/2009 RESTRAINING IT FROM FURTHER ACTIVITIES SHALL BE CONSIDERED IMMEDIATELY ON RECEIPT OF REPORT ON COMPLIANCE
AS PER REPORT RECEIVED FROM MR.SURESH MENON, CHIEF GENERAL MANAGER,PREVIOUS DIRECTIONS OF PROHIBITING FROM BUYING ,SELLING OR DEALING IN SECURITIES IN ANY MANNER REVOKED VIDE ORDER DATED 04/06/2009
|
| 15 |
|
|
ANUJ JAIN,M/S
(PAN:ABEPJ8083F)
(Member : NCDEX)
|
|
|
|
ANUJ JAIN
PAN:ABEPJ8083F
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF CASTOR SEED CONTRACTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAR-2016 TILL FURTHER ORDERS
02-MAR-2016
|
SEBI VIDE ITS ORDER DATED 23/12/2016 RELAXED INTERIM ORDER PASSED 02/03/2016 AND 24/05/2016 TO THE LIMITED EXTENT TO ENABLE THEM TO PROTECT THEIR PORTFOLIO FROM MARKET VOLATILITY A) NOTICEE MAY SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN AN ORDERLY MANNER UNDER SUPERVISION OF THE STOCK EXCHANGE SO AS NOT TO DISTURB MARKET EQUILIBRIUM AND DEPOSIT SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) NOTICEES MAY TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER / DELISTING OFFER / BUYBACK OFFER UNDER THE RELEVANT REGULATIONS OF SEBI AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK C) NOTICEES SHALL AVAIL THE BENEFIT OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT DIVIDEND ETC. D) WINDOW FOR SALE OF SHARES LYING IN RESPECTIVE PORTFOLIO SHALL STAND WITHDRAWN IF ANY ENTITY FOUND TO EXECUTE ANY TRADE IN BREACH OF THE CONDITIONS
SEBI VIDE ITS ORDER DATED 08/03/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDERS DATED 02/03/2016 AND 24/05/2016
|
| 16 |
|
|
ARCHI SHARES & STOCK BROKERS PVT.LTD.
(Member : ASE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 17 |
|
|
ARIHANT EXIM SCRIP PVT.LTD.
(CIN:U51109WB1991PTC053673)
(Member : CSE)
|
|
|
|
BASUDEO SINGHANIA
DIN:00268785
|
|
|
SANJAY KUMAR JAIN
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
18-OCT-2002
|
|
| 18 |
|
|
ARIHANT EXIM SCRIP PVT.LTD.
(CIN:U51109WB1991PTC053673)
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DSQ INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JAN-2005 TO 18-JAN-2007
19-JAN-2005
|
|
| 19 |
|
|
ARYAV SECURITIES PVT.LTD.
(PAN:AAICA8339D)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 04/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 17/02/2016 AND DIRECTED SEBI TO INITIATE PROCEEDINGS IN ACCORDANCE WITH LAW AND PASS ORDER AS IT DEEMED FIT. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 20 |
|
|
ASHOK KUMAR PODDAR,M/S
(Member : CSE)
|
|
|
|
ASHOK KUMAR PODDAR
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-OCT-2002 TILL THE COMPLETION OF INVESTIGATION
18-OCT-2002
|
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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