| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
5PAISA CAPITAL LTD.
(PAN:AABCI7142M)
(Member : MCX)
|
|
|
UPLOADED WRONG/MISMATCHED UNIQUE CLIENT CODE (UCC) DATA IN MCX PLATFORM INCLUDING SIKKIM BASED CLIENTS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT SPECIFIED IN SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
30-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 13/11/2024 GRANTED APPELLANT A WEEK TO FILE REJOINDER
|
| 2 |
|
|
A.G.SHARES & SECURITIES LTD.
(PAN:AAACA7646M)
(Member : NSE)
|
|
|
INDULGED IN UNAUTHORISED TRADES VIOLATING REGULATION 9 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF PIPAPAV DEFENCE & OFFSHORE ENGINEERING LTD., PARSVNATH DEVELOPERS LTD., TULIP TELECOM LTD. AND GLODYNE TECHNOSERVE LTD.
INDULGED IN UNAUTHORISED TRADES VIOLATING REGULATIONS 4(1) AND 4(2)(M) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PIPAPAV DEFENCE & OFFSHORE ENGINEERING LTD., PARSVNATH DEVELOPERS LTD., TULIP TELECOM LTD. AND GLODYNE TECHNOSERVE LTD.
|
IMPOSED PENALTY RS.3,00,000
29-DEC-2020
|
|
| 3 |
|
|
A.NITIN CAPITAL SERVICES LTD.
(Member : DSE)
|
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-JUN-2007 TO 13-AUG-2007
24-MAY-2007
|
|
| 4 |
|
|
AADINATH SECURITIES PVT.LTD.
(PAN:AAFCA3411P)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO THE STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
28-AUG-2018
|
|
| 5 |
|
|
ABANS SECURITIES LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & 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
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 20/02/2016 QUASHED AND SET ASIDED IMPUGNED EX-PARTE AD-INTERIM ORDER DATED 17/02/2016. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 6 |
|
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/OTC)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT REDRESS INVESTOR COMPLAINTS
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED SEBI CODE OF CONDUCT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)^CO^08-APR-2009
D FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
17-AUG-2007~
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LTD. ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI'S WITHIN 30 DAYS
|
| 7 |
|
|
ACHINTYA SECURITIES PVT.LTD.
(PAN:AAFCM2199G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & 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
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 20/02/2016 QUASHED AND SET ASIDED IMPUGNED EX-PARTE AD-INTERIM ORDER DATED 17/02/2016. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 8 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Member : BSE/CSE/MCX)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.3,00,000
10-AUG-2011
|
|
| 9 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.3,00,000
10-AUG-2011
|
|
| 10 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
|
|
|
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 AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF NETVISION WEB TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.75,000
29-JUL-2011
|
|
| 11 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF MALVICA ENGINEERING LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH 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 MALVICA ENGINEERING LTD.
|
IMPOSED PENALTY RS.50,000
23-SEP-2009
SETTLEMENT ( SETTLEMENT CHARGES RS.1,35,000, LEGAL EXPENSES RS.30,000 VIDE CONSENT ORDER)
26-APR-2010~
|
SAT: IMPUGNED ORDER DATED 23/09/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1,35,000 TOWARDS SETTLEMENT CHARGES AND RS.30,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER
|
| 12 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS IN SCRIP OF BETALA GLOBAL SECURITIES 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) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BETALA GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.21,00,000
16-MAY-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN
|
| 13 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE/NSE/OTC/BGSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLYING WITH 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 PRRANETA INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,50,000 VIDE CONSENT ORDER)
14-OCT-2011
|
|
| 14 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HIGHLAND INDUSTRIES LTD.
ALLEGED FAILURE IN MAINTAINING 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) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF HIGHLAND INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
16-NOV-2009
|
|
| 15 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & 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 G-TECH INFO TRAINING LTD.
|
IMPOSED PENALTY RS.50,000
24-MAY-2012
|
|
| 16 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF G-TECH INFO TRAINING LTD.
ALLEGED FAILURE MAINTENANCE OF 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) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF G-TECH INFO TRAINING LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
22-DEC-2009
|
|
| 17 |
|
|
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
|
| 18 |
|
|
ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF DESIGN AUTO SYSTEMS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE VIOLATING CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DESIGN AUTO SYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,50,000 VIDE CONSENT ORDER)
21-DEC-2009
|
|
| 19 |
|
|
ACUMEN CAPITAL MARKET (INDIA) LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR, REVERSAL OF TRADES, SYNCHRONIZED AND STRUCTURED DEALS IN SCRIP OF SYSTEL INFOTECH 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 SYSTEL INFOTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
29-APR-2011
|
|
| 20 |
|
|
ACUMEN CAPITAL MARKET (INDIA) LTD.
(Member : BSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH 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 PARSOLI CORP.LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS IN SCRIP OF PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.2,50,000
07-JUN-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/09/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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