| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ACCORD CAPITAL MARKETS LTD.
(PAN:AACCA5695G)
(Member : NSE)
|
|
|
|
GIRISH S.MEHTA
PAN:AFMPM1006P
|
|
|
HIMANSHU AJMERA
PAN:ADEPA7521K
|
|
|
NILESH DOSHI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-SEP-2007 TO 16-SEP-2008
27-AUG-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT T
|
SEBI’S ORDER DATED 27/08/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,00,00,000.00 TOWARDS SETTLEMENT CHARGES AND TO VOLUNTARY DEBARMENT FROM BUYING,SELLING OR OTHERWISE DEALING IN SECURITIES MARKET FOR A PERIOD OF ONE YEAR FROM DATE OF CONSENT ORDER AND VOLUNTARY DEBARMENT OF PROMOTERS FROM BEING PROMOTERS/DIRECTORS OF INTERMEDIARIES REGISTERED WITH SEBI DURING THE SAID PERIOD OF DEBARMENT OF ONE YEAR,AS PER CONSENT ORDER DATED 29/06/2011
SAT: SAT VIDE IT’S ORDER DATED 13/09/2010 SET ASIDE SEBI’S ORDER DATED 27/08/2007 AND REMITTED CASE BACK TO SEBI TO CONCLUDE ENQUIRY PROCEEDINGS AND PASS FINAL ORDER BEFORE END OF MARCH 2011 WITH NO ORDER AS TO COSTS
|
| 2 |
|
|
ARJ SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GLOBAL TELESYSTEMS LTD.
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
ALLEGED VIOLATION OF SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 26-APR-2010 TO 25-APR-2011
26-APR-2010
|
|
| 3 |
|
|
ARJ SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,TATA ENGINEERING & LOCOMOTIVE CO.LTD., INFOSYS TECHNOLOGIES LTD. AND SOFTWARE SOLUTIONS INDIA LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE AND FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE AND 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 IN MATTER OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,TATA ENGINEERING & LOCOMOTIVE CO.LTD.,INFOSYS TECHNOLOGIES LTD. AND SOFTWARE SOLUTIONS INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 04-MAY-2011 TO 03-NOV-2011
03-MAY-2011
|
|
| 4 |
|
|
ENPEE ENTERPRISES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRADING IN SCRIP OF NEDUNGADI BANK LTD.
ALLEGED VIOLATION OF REGULATION 7 READ WITH CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF NEDUNGADI BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 06-OCT-2009 TO 28-AUG-2010
01-OCT-2009
|
|
| 5 |
|
|
INFINITY.COM STOCK BROKING PVT.LTD.
(Member : BSE,Sub-Broker of ANAGRAM SECURITIES LTD., Member : NSE/ASE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIP OF GREENFIELD TRADING & FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 28-NOV-2008 TO 27-NOV-2009
28-NOV-2008
|
|
| 6 |
|
|
JAI SHAREFIN LTD.
(Member : ASE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATION IN SCRIPS OF HINDUSTAN CONTINENTAL LTD. AND PRIYANS SAREE INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 15-OCT-2009 TO 14-OCT-2011
09-OCT-2009
|
|
| 7 |
|
|
O.P.GUPTA & CO.
(Member : LSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR AND FICTITIOUS TRADING VIOLATING SECTION 16 OF SECURITES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF SRU SHARE BROKERS LTD.
ALLEGED INDULGENCE IN IRREGULAR AND FICTITIOUS TRANSACTIONS IN SCRIPS OF SG GLOBAL EXPORTS LTD. AND SRU SHARE BROKERS LTD.
ALLEGED NON COMPLIANCE WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SG GLOBAL EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 09-DEC-2009 TO 08-DEC-2010
06-DEC-2009
|
|
| 8 |
|
|
PARAG JHAVERI & CO.
(Member : VSE)
|
|
|
|
PARAG P.JHAVERI
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,80,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTA
|
CONFIRMED INTERIM ORDER DATED 27/04/2006
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO COMPLETE ENQUIRIES BEFORE 31/10/2008.ADJUDICATION PROCEEDINGS SHOULD ALSO BE DISPOSED OF BEFORE END OF OCTOBER THIS YEAR
|
| 9 |
|
|
PARKLIGHT SECURITIES LTD.
(PAN:AABCP6609A)
(Member : CSE/ASE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF STOCKNET INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 21-SEP-2009 TO 20-DEC-2009
15-SEP-2009
|
|
| 10 |
|
|
WALLFORT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACW0750G)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN BAILING OUT PUBLIC ISSUE OF MAZDA FABRICS & PROCESSORS LTD. THROUGH FICTITIOUS SUBSCRIPTION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 12-AUG-2010 TO 11-AUG-2011
12-AUG-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
