| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
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
|
| 2 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
(Depository Participants : CDSL,Member : NSE/BSE/MSEI)
|
|
|
|
PARESH MULJI KARIYA
PAN:AAEPK0469M
|
|
|
SADHANA PARESH KARIYA
PAN:AJHPK6018N
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
OFFERED DERIVATIVES ADVISORY SERVICES
MISSTATEMENT ABOUT DEBTORS AND CREDITORS
SHORTFALL OF CLIENTS FUNDS AND SECURITIES
PAYMENTS MADE TO CLIENTS HAVING RUNNING DEBIT BALANCE
DISCREPANCIES IN MAINTENANCE OF CLIENT RECORDS
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
PROHIBITED FROM ANY UNREGISTERED PORTFOLIO MANAGEMENT SERVICES
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS (INCLUDING ASSETS UNDER POSSESSION OF RECEIVER APPOINTED BY HON'BLE HIGH COURT OF BOMBAY) MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
13-NOV-2020
|
|
| 3 |
|
|
SWAN SECURITIES PVT.LTD.
(PAN:AAACS6741B)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF AND SYNCHRONIZED TRADES IN VARIOUS SCRIPS
INDULEGD IN TRANSFER OF TRADES PUNCHED BY ONE CLIENT TO ANOTHER CLIENT BY CHANGING CLIENT CODE AT BACK OFFICE
DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
INDULGED IN MIS-UTILIZATION OF CLIENT SECURITIES AND THIRD PARTY SHARES
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DID NOT ISSUE CONTRACT NOTES IN SPECIFIED FORMAT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-JAN-2014 TO 23-APR-2014
03-JAN-2014
|
|
| 4 |
|
|
TRANSGLOBAL SECURITIES LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
INDULGED IN CLIENT CODE MODIFICATIONS AND TRANSFERRED PROFITS FROM VARIOUS ACCOUNTS TO ACCOUNT OF MS.CHITRA
ALLOTTED MULTIPLE CLIENT CODES TO ONE CLIENT
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 23-SEP-2021 TO 22-DEC-2021
23-SEP-2021
|
|
| 5 |
|
|
UNIQUE CONSULTING & TRADING PVT.LTD.
(CIN:U74999TN2011PTC082344
PAN:AABCU3526H)
(Member : MDSE)
|
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
DID NOT EXERCISE DUE DILIGENCE, PROPER CARE AND DID NOT FULFIL OBLIGATION IN PROMPT, ETHICAL & PROFESSIONAL MANNER VIOLATING REGULATION 9 READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 02-AUG-2017
02-AUG-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
