| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.A.DOSHI SHARE & STOCK BROKERS LTD.
(Member : BSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEALT WITH UN-REGISTERED SUB-BROKERS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-DEC-2005
|
|
| 2 |
|
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Member : NSE)
|
|
|
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DUPLICATE CONTRACT NOTES NOT SIGNED BY BROKER
DID NOT OBTAIN ACKNOWLEDGEMENT FROM CLIENTS
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-NOV-2006
|
ADVISORY COMPLIED WITH
|
| 3 |
|
|
ACCORD CAPITAL MARKETS LTD.
(PAN:AACCA5695G)
(Member : NSE)
|
|
|
DEALT IN CASH WITH CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-JAN-2006
|
|
| 4 |
|
|
ACME SHARES & STOCK PVT.LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ALLOWING SUB BROKER TO TRADE IN SCRIP OF SAWACA COMMUNICATIONS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-JAN-2006
|
|
| 5 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BGSE/BSE/OTC/NSE)
|
|
|
VIOLATED CLAUSE A (2) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 UNDER REGULATION 7 OF STOCK BROKER REGULATIONS WHILE DEALING IN SCRIP OF SHUKUN CONSTRUCTION LTD.
|
IMPOSED PENALTY RS.3,00,000
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
23-APR-2009
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SEBI VIDE ITS ORDER DATED 20/08/2014 WARNED THE NOTICEE TO BE CAREFUL AND CAUTIOUS IN THE CONDUCT OF BUSINESS AND TO ADHERE TO AND COMPLY WITH ALL STATUTORY PROVISIONS WHILE CARRYING OUT ITS ACTIVITIES IN SECURITIES MARKET
|
| 6 |
|
|
ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
|
VIMAL P.KHANDWALA
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF OASIS MEDIA MATRIX LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
07-OCT-2009
|
|
| 7 |
|
|
ADITI A.DALAL,M/S
(Member : ASE)
|
|
|
|
ADITI A.DALAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED/MATCHED TRANSACTIONS IN SCRIPS OF RAVALGAON SUGAR FARMS LTD. AND SHRENUJ & CO.LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
24-FEB-2011
|
|
| 8 |
|
|
ANGEL ONE LTD.
(PAN:AAACM6094R)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE DILIGENCE AND CARE IN FILLING THE PLACE SECTION OF KYC FORMS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
22-AUG-2023
|
|
| 9 |
|
|
ANISH SECURITIES LTD.
(Member : BGSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT PAY TURNOVER FEE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-JAN-2006
|
|
| 10 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MAINTAINED RUNNING ACCOUNTS OF CLIENTS FOR A CONSIDERABLE PERIOD OF TIME WITHOUT ANY RECEIPTS/PAYMENTS
PAYMENT RECEIVED FROM/MADE TO CLIENTS DESPITE OF NO CREDIT/DEBIT BALANCES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-JAN-2006
|
|
| 11 |
|
|
ARCHI SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE/ASE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF OASIS MEDIA MATRIX LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-MAY-2010
|
|
| 12 |
|
|
ARIHANT STOCKS LTD.
(Member : BGSE)
|
|
|
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-DEC-2009
|
|
| 13 |
|
|
ARTHBODH SHARES & INVESTMENTS
(Member : PSE)
|
|
|
IRREGULAR IN SETTLING CLIENTS' ACCOUNTS
TRANSFERRED FUNDS BETWEEN DIFFERENT CLIENT ACCOUNTS
DID NOT FULFIL NET WORTH CRITERIA
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-JAN-2006
|
|
| 14 |
|
|
ASHOK KUMAR KAYAN,M/S
(PAN:ALKPK2298K)
(Member : CSE)
|
|
|
|
ASHOK KUMAR KAYAN
PAN:ALKPK2298K
|
|
INDULGED IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF AMLUCKIE INVESTMENT CO.LTD.
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) TO A(4) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF AMLUCKIE INVESTMENT CO.LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-AUG-2010
|
|
| 15 |
|
|
ASHOK KUMAR KAYAN,M/S
(PAN:ALKPK2298K)
(Member : CSE)
|
|
|
|
ASHOK KUMAR KAYAN
PAN:ALKPK2298K
|
|
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) REGULATIONS, 1992 IN MATTER OF BAKRA PRATHISTHAN LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-DEC-2012
|
|
| 16 |
|
|
ASHOK KUMAR KISHORILAL DAMANI,M/S
(Member : NSE)
|
|
|
|
ASHOK KUMAR KISHORILAL DAMANI
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF ORDER CONFIRMATION SLIP
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
USED CLIENTS' ACCOUNT FOR PAYMENT OF OWN OBLIGATIONS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-JAN-2006
|
|
| 17 |
|
|
ASHOKKUMAR K.DAMANI,M/S
(Member : BSE)
|
|
|
|
ASHOKKUMAR K.DAMANI
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
11-SEP-2009
|
|
| 18 |
|
|
ASL CAPITAL HOLDINGS PVT.LTD.
(PAN:AAACA8354L)
(Member : NSE)
|
|
|
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
KEPT CLIENT'S SECURITIES IN BENEFICIARY ACCOUNT FOR LONG PERIODS
DID NOT COLLECT MARGINS FROM CLIENTS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-FEB-2006
|
|
| 19 |
|
|
ATMARAM KEJRIWAL & CO.
(Member : UPSE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT OBTAIN WRITTEN CONSENT FROM CLIENTS FOR PRINCIPAL TO PRINCIPAL TRANSACTIONS
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
ISSUED CONTRACT NOTES IN "FORM A" FOR TRANSACTIONS IN UNLISTED SHARES
DID NOT RECORD TIME OF PLACEMENT OF ORDERS ON CONTRACT NOTES
DID NOT RECORD TIME OF EXECUTION OF ORDER ON CONTRACT NOTES
SEBI REGISTRATION NO., TRADE NO. AND ORDER NO. NOT INDICATED ON CONTRACT NOTES
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT APPOINT COMPLIANCE OFFICER
ENTERED INTO DIRECT MONEY TRANSACTIONS BETWEEN MEMBERS
EXECUTED NEGOTIATED DEALS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
|
| 20 |
|
|
ATUL M.CHOKSHI,M/S
(Member : ASE)
|
|
|
|
ATUL MANHARLAL CHOKSHI
|
|
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES
DID NOT MENTION CLIENT NUMBERS ON CONTRACT NOTES
DEFICIENCIES IN CLIENT DATABASE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-DEC-2005
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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