| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANAGRAM SECURITIES LTD.
(Member : ASE/NSE)
|
|
|
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
|
INTERIM ORDER DATED 27/04/2006 SET ASIDE
|
| 2 |
|
|
ARTH STOCK BROKING PVT.LTD.
(PAN:AACCA6146L)
(Member : ASE)
|
|
|
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
|
SEBI VIDE ITS ORDER DATED 03/06/2022 DIRECTED TO LIFT THE RESTRAINT IMPOSED VIDE INTERIM ORDER DATED 27/04/2006 AS HAS BECOME REDUNDANT AND NEED NOT TO BE PURSUED FURTHER
|
| 3 |
|
|
DEEP STOCKBROKING PVT.LTD.
(Member : NSE)
|
|
|
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.3,68,176, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.19,31,824 VIDE CONSENT ORDER)
04-NOV-2008~
|
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
|
| 4 |
|
|
DIMENSIONAL SECURITIES PVT.LTD.
(PAN:AABCD1804D)
(Member : BSE/NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 5 |
|
|
H.NYALCHAND FINANCIAL SERVICES LTD.
(Member : NSE/ASE)
|
|
|
|
DHIRENBHAI H.VORA
PAN:AAWPV2756N
|
|
|
UDAY H.VORA
PAN:AAMPV2972L
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST, AS PER CONSENT ORDER DATED 20/04/2009
|
| 6 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE/NSE)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
SHOW CAUSE NOTICE ISSUED
05-DEC-2007
|
PROCEEDINGS AGAINST NOTICEE DISPOSED OFF
|
| 7 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE/NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS
27-APR-2006
|
SEBI ORDER DATED 27/04/2006 KEPT IN ABEYANCE SUBJECT TO VERIFICATION OF CLIENTS
INTERIM ORDER DATED 27/04/2006 STANDS DISPOSED OFF, WITHOUT ANY FURTHER DIRECTIONS
|
| 8 |
|
|
JHAVERI SECURITIES LTD.
(PAN:AAACJ4727A)
(Member : NSE/BSE)
|
|
|
|
KAMLESH JHAVERI
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS
27-APR-2006
|
REVOKED PROHIBITION IMPOSED FOR DEALING IN CAPITAL MARKET
|
| 9 |
|
|
KARVY STOCK BROKING LTD.
(PAN:AABCK5190K)
(Member : BSE/NSE/HSE)
|
|
|
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
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE AND CASE REMANDED TO SEBI WITH A DIRECTION TO PASS THREE SEPARATE ORDERS
|
| 10 |
|
|
MAGNUM EQUITY SERVICES LTD.
(PAN:AAACM4483G)
(Member : NSE)
|
|
|
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
|
INTERIM ORDER DATED 27/04/2006 SET ASIDE
|
| 11 |
|
|
MATRIX EQUITRADE PVT.LTD.
(Member : BSE/NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 12 |
|
|
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
|
| 13 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
|
RUPESHBHAI DEVENDRABHAI SHAH
|
|
|
UDAY H.VORA
PAN:AAMPV2972L
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.11,64,054, (DISGORGEMENT AMOUNT RS.11,78,46,946,INTEREST RS.2,36,61,550 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
20-APR-2009~
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST AND PAY RS.11,64,054.00 TOWARDS SETTLEMENT CHARGES SEPERATELY, AS PER CONSENT ORDER DATED 20/04/2009
|
| 14 |
|
|
RAJESH JHAVERI STOCK BROKERS PVT.LTD.
(CIN:U67120GJ1995PTC024321)
(Member : ASE,Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE/NSE)
|
|
|
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.1,05,395, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.5,26,975 VIDE CONSENT ORDER)
29-MAY-2009~
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,26,975 TOWARDS DISGORGEMENT OF UNLAWFUL GAIN AND RS.1,05,395 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 29/05/2009
|
| 15 |
|
|
RAJESH N.JHAVERI,M/S
(PAN:ADAPJ5993J)
(Member : ASE)
|
|
|
|
GAUTAM NANUBHAI JHAVERI
PAN:ADAPJ5993J
|
|
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.23,64,998, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,36,49,980 VIDE CONSENT ORDER)
25-JUN-2009~
|
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
|
| 16 |
|
|
RELIGARE SECURITIES LTD.
(PAN:AAACF1952D)
(Member : BSE/NSE/OTC)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 17 |
|
|
RSS INVESTMENTS PVT.LTD.
(PAN:AACCR0364F)
(Member : NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-NOV-2008~
|
AD INTERIM EX-PARTE ORDERS DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000.00 AS PER CONSENT ORDER DATED 28/11/2008
|
| 18 |
|
|
SANJAY R.SHAH,M/S
(Member : ASE)
|
|
|
|
SANJAY RAMESHCHANDRA SHAH
|
|
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.61,680, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.4,18,320 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-AUG-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,18,320 AGAINST NOTIONAL UNDUE GAIN AND SETTLEMENT CHARGES OF RS.61,680 JOINTLY WITH SANJAY RAMESHCHANDRA SHAH(HUF) AND RAMESH CHIMANLAL SHAH AS PER CONSENT ORDER DATED 13/08/2008
|
| 19 |
|
|
VASUDEV GORDHANDAS DAPKI,M/S
(Member : ASE)
|
|
|
|
VASUDEV GORDHANDAS DAPKI
|
|
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.3,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.30,00,993 VIDE CONSENT ORDER)
05-NOV-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.3,00,000 AGAINST SETTLEMENT CHARGES AND RS.30,00,993 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 05/11/2008
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
