| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
DYNAMIC STOCK BROKING (INDIA) PVT.LTD.
(PAN:AABCD2889E)
(Member : BSE/NSE)
|
|
|
INDULGED IN ISSUANCE OF MISLEADING PUBLIC ANNOUNCEMENTS TO CREATE PUBLIC INTEREST IN SCRIP OF PYRAMID SAIMIRA THEATRE LTD.
|
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED TO BE INSPECTED BY MARKET INTERMEDIARIES REGULATION AND SUPERVISION DEPARTMENT (MIRSD) OF SEBI
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 06/07/2010
SAT: SAT VIDE ITS ORDER DATED 29/10/2012 DIRECTED SEBI TO PASS A FINAL ORDER WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER I.E.29/10/2012
|
| 2 |
|
|
INDIA CAPITAL MARKETS PVT.LTD.
(PAN:AABCN0802B)
(Member : BSE/NSE)
|
|
|
INDULGED IN ISSUANCE OF MISLEADING PUBLIC ANNOUNCEMENTS TO CREATE PUBLIC INTEREST IN SCRIP OF PYRAMID SAIMIRA THEATRE LTD.
|
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED TO BE INSPECTED BY MARKET INTERMEDIARIES REGULATION AND SUPERVISION DEPARTMENT (MIRSD) OF SEBI
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 20/07/2010
SAT: DIRECTED THAT OPERATION OF ORDER DATED 20/072010 SHALL REMAIN STAYED DURING PENDENCY OF APPEAL
|
| 3 |
|
|
MONARCH PROJECT & FINMARKETS LTD.
(PAN:AAACM8214F)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: APPELLANT WILLING TO FURNISH AN UNDERTAKING IN WRITING TO BOARD THAT IT WILL NOT BE BUYING, SELLING AND/OR DEALING IN THEIR PROPRIETARY ACCOUNTS, IF SUCH UNDERTAKING IS FURNISHED, BOARD SHALL DIRECT THE DEPOSITORIES TO PERMIT THE OPERATION OF THE ACCOUNTS LISTED IN EXH.D. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 4 |
|
|
MONARCH RESEARCH & BROKERAGE PVT.LTD.
(PAN:AACCK5762C)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: APPELLANT WILLING TO FURNISH AN UNDERTAKING IN WRITING TO BOARD THAT IT WILL NOT BE BUYING, SELLING AND/OR DEALING IN THEIR PROPRIETARY ACCOUNTS, IF SUCH UNDERTAKING IS FURNISHED, BOARD SHALL DIRECT THE DEPOSITORIES TO PERMIT THE OPERATION OF THE ACCOUNTS LISTED IN EXH.D. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 5 |
|
|
RAMANLAL D.SHAH,M/S
(Member : BSE)
|
|
|
|
KAMLESH R.SHAH
|
|
|
RAMANLAL D.SHAH
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SAWACA COMMUNICATION LTD.
|
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 03-NOV-2011 TO 02-DEC-2011
13-OCT-2011
|
SAT: SAT VIDE ITS ORDER DATED 15/02/2012 HAS MODIFIED SEBI'S ORDER DATED 13/10/2011 BY REDUCING THE PENALTY TO WARNING. NO ORDER AS TO COSTS
SAT: SAT VIDE ITS ORDER DATED 31/03/2016 PERMITTED APPELLANT TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL WITHIN THREE WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 6 |
|
|
SALASAR STOCK BROKING LTD.
(PAN:AADCS8020Q)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
UTILIZED IPO PROCEEDS TO MAKE GOOD LOSSES OF ENTITIES WHO SUPPORTED THE PRICE OF FUND CLIENTS WHO INCURRED LOSSES WHILE TRANSACTED IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: SAT VIDE ITS ORDER DATED 07/09/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATION BY THE END OF SEPTEMBER 2012. NO COSTS
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 7 |
|
|
TODI SECURITIES PVT.LTD.
(PAN:AABCT4191R)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
UTILIZED IPO PROCEEDS TO MAKE GOOD LOSSES OF ENTITIES WHO SUPPORTED THE PRICE OF FUND CLIENTS WHO INCURRED LOSSES WHILE TRANSACTED IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 11/05/2012 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL DISMISSED AS INFRUCTUOUS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
