| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANGEL CAPITAL & DEBT MARKET LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
IMPOSED PENALTY RS.3,00,000
22-MAY-2009
|
|
| 2 |
|
|
ANGEL CAPITAL & DEBT MARKET LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/06/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 3 |
|
|
ASHIKA STOCK BROKING LTD.
(PAN:AACCA7156Q)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
22-DEC-2008~
|
AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 22/12/2008
|
| 4 |
|
|
BHARAT RASAYAN FINANCE LTD.
(Member : NSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
FAILED TO COMPLY WITH THE UNIQUE CLIENT CODE AS PRESCRIBED BY SEBI
DID NOT MAINTAIN CLIENT DATABASE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEALT IN CASH WITH CLIENTS
INDULGED IN UNAUTHORISED TRADES IN F&O SEGMENT
|
IMPOSED PENALTY RS.2,50,000
31-MAR-2009
|
SAT: APPEAL DISMISSED AS WITHDRAWN WITH NO ORDER AS TO COSTS
|
| 5 |
|
|
BHAVESH R.MEHTA,M/S
(Member : SKSE,Sub-Broker of SKSE SECURITIES LTD., Member : BSE/NSE, SHREE NAVKAR INVESTMENTS, Member : NSE)
|
|
|
|
BHAVESH R.MEHTA
|
|
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS
ALLEGED DEALING AS AN UNREGISTERED INTERMEDIARY ON F&O SEGMENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,00,000 VIDE CONSENT ORDER)
27-APR-2010
|
|
| 6 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
|
|
| 7 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
23-APR-2010
|
|
| 8 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
31-MAR-2009
|
|
| 9 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
AIDED AND ABETTED CLIENTS IN SYNCHRONIZED/MATCHED/REVERSAL TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
IMPOSED PENALTY RS.15,00,000
25-FEB-2009
|
|
| 10 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/06/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 11 |
|
|
KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
07-OCT-2008~
|
AD INTERIM EX-PARTE CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF. AS APPLICANT AGREED TO PAY RS.5,00,000 AS PER CONSENT ORDER DATED 07/10/2008
|
| 12 |
|
|
KUMAR SHARE BROKERS LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 13 |
|
|
KUMAR SHARE BROKERS LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN FUTURE AND OPTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
23-OCT-2008
|
|
| 14 |
|
|
MANU STOCK BROKING (P) LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
20-APR-2009~
|
AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 20/04/2009
|
| 15 |
|
|
PRASHANT JAYANTILAL PATEL,M/S
(PAN:AABPP2156M)
(Member : NSE)
|
|
|
|
PRASHANT JAYANTILAL PATEL
PAN:AABPP2156M
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/06/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 16 |
|
|
PRASHANT JAYANTILAL PATEL,M/S
(PAN:AABPP2156M)
(Member : NSE)
|
|
|
|
PRASHANT JAYANTILAL PATEL
PAN:AABPP2156M
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
IMPOSED PENALTY RS.22,00,000
31-AUG-2009
|
|
| 17 |
|
|
PRATIBHUTI VINIHIT LTD.
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
07-OCT-2008~
|
AD INTERIM EX-PARTE CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.10,00,000 AS PER CONSENT ORDER DATED 07/10/2008
|
| 18 |
|
|
PSJ SECURITIES PVT.LTD.
(PAN:AAACP9123A)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
30-SEP-2008~
|
INTERIM CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,00,000 AS PER CONSENT ORDER DATED 30/09/2008
|
| 19 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(PAN:AAECS9799R)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
|
|
| 20 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(PAN:AAECS9799R)
(Member : NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN FUTURE AND OPTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
23-OCT-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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