| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
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
|
|
| 2 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACA4562G)
(Member : NSE/BSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4(1) AND 4(2) (G) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
ALLEGED INDULGENCE IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
02-JAN-2018
|
|
| 3 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67120WB1993PLC060799)
(Member : BSE/NSE/CSE/OTC)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KAUSHIK CHHOTALAL SHAH
DIN:00009510
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
|
MUKESH JOSHI
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 4 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
|
MANISH BANTHIA
|
|
|
SURENDRA KUMAR BANTHIA
|
|
|
SUSHIL MANTRI
|
|
VIOLATED REGULATIONS 6(A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED HOLDING THAT PROSECUTION IS NOT MAINTAINABLE DUE TO ABSENCE OF PROVISION FOR CRIMINAL ACTION IN THE REGULATIONS. REVISION IS FILED BY SEBI AGAINST THE SAID ORDER WHICH IS PENDING BEFORE THE BOMBAY HIGH COURT
|
| 5 |
|
|
FIRST GLOBAL STOCKBROKING PVT.LTD.
(PAN:AAACF0661K)
(Member : NSE)
|
|
|
|
DEVINA MEHRA
|
|
|
SHANKAR SHARMA
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 6 |
|
|
GAUTAMBHAI NANUBHAI JHAVERI
(PAN:ADAPJ5993J)
(Member : ASE)
|
|
|
|
RAJESH NANUBHAI JHAVERI
PAN:ADAPJ5993J
|
|
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED REGULATIONS 4 (A) (B) & (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 7 |
|
|
HARISH CHANDRA BIYANI,M/S
(Member : CSE)
|
|
|
|
HARISH CHANDRA BIYANI
|
|
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED RULE 4 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 8 |
|
|
HARVESTDEAL SECURITIES LTD.
(Member : BSE)
|
|
|
|
MANISH BANTHIA
|
|
|
RAJENDRA KUMAR BANTHIA
|
|
|
SAROJ BANTHIA
|
|
|
SHRIKANT G.MANTRI
|
|
VIOLATED REGULATIONS 6(A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED HOLDING THAT PROSECUTION IS NOT MAINTAINABLE DUE TO ABSENCE OF PROVISION FOR CRIMINAL ACTION IN THE REGULATIONS. REVISION IS FILED BY SEBI AGAINST THE SAID ORDER WHICH IS PENDING BEFORE THE BOMBAY HIGH COURT
|
| 9 |
|
|
HARVIC MANAGEMENT SERVICES (INDIA) LTD.
(Member : SKSE)
|
|
|
|
HEMANG D.JANGLA
|
|
|
KALPESH K.CHAWALLA
|
|
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 10 |
|
|
HOFFLAND FINANCE LTD.
(Member : BGSE/JSE)
|
|
|
|
A.SUBBA RAO
|
|
|
BRIJ BHUSHAN SHARMA
|
|
|
BRIJ KISHORE KAPUR
|
|
|
JAGDISH NARAYAN
|
|
|
M.N.PADAM
|
|
|
NAVEEN CHANDRA PANDEY
|
|
|
NAVIN PANDEY
|
|
|
PRAMODH KAPUR
|
|
|
SURAJ PAL SHARMA
|
|
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED SEBI ACT, 1992
VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
A1 AND A2 CONVICTED. A3 ACQUITTED. A4 EXPIRED, THUS, PROCEEDINGS ABATED. PROCEEDINGS AGAINST A5 QUASHED. A6 DECLARED PO. A7 COMPOUNDED (VIDE ORDER DT.21.02.2008). FILE BE CONSIGNED TO RECORD ROOM
A1 AND A2 CONVICTED. A3 ACQUITTED. A4 EXPIRED, THUS, PROCEEDINGS ABATED. PROCEEDINGS AGAINST A5 QUASHED. A6 DECLARED PO. A7 COMPOUNDED (VIDE ORDER DT.21.02.2008). FILE BE CONSIGNED TO RECORD ROOM.
|
| 11 |
|
|
HOME TRADE LTD.
(PAN:AABFH8408A)
(Member : BSE/NSE)
|
|
|
|
N.S.TRIVEDI
|
|
|
RAKESH CHANDAK
|
|
|
SANJAY AGARWAL
|
|
|
SUBODH BHANDARI
|
|
VIOLATED SECTION 19 (2) (B) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATIONS 4(A) TO 4(F) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 12 |
|
|
HSBC INVESTDIRECT SECURITIES (INDIA) LTD.
(Member : BSE/NSE/DSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED 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 ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,30,57,343 VIDE CONSENT ORDER)
17-JAN-2018
|
|
| 13 |
|
|
JHUNJHUNWALA STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
|
AJIT R.SANGHVI
|
|
|
ARTI R.JHUNJHUNWALA
|
|
|
MALINI A.SANGHVI
|
|
|
PARAS D.SHAH
|
|
|
RAJENDRAPASAD K.JHUNJHUNWALA
|
|
VIOLATED SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISCHARGED
|
| 14 |
|
|
KEYNOTE CAPITALS LTD.
(CIN:U67120MH1995PLC088172
PAN:AAACK2618R)
(Member : BSE)
|
|
|
PARTICIPATED ACTIVELY IN THE SCHEME DIRECTLY AND INDIRECTLY ADVANCED MONIES TO ENTITIES AND INDUCED THEM TO SUBSCRIBE TO IPO OF COMPANY WITH INTENTION TO SECURE MINIMUM SUBSCRIPTION TO ISSUE PUBLIC VIOLATING SEBI ACT, 1992 AND REGULATION 3(B), (C), (D), 4(1) AND 4(2) (C) OF SEBI (PFUTP) REGULATIONS, 2003 IN THE MATTER OF IPO OF EMMBI POLYARNS LTD. (NOW KNOWN AS EMMBI INDUSTRIES LTD.)
|
PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A UNDERWRITER FROM 27-APR-2016 TO 26-MAY-2016
06-APR-2016
|
|
| 15 |
|
|
MALINI SANGHVI SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
|
AJIT R.SANGHVI
|
|
|
MALINI A.SANGHVI
|
|
|
PARAS D.SHAH
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 16 |
|
|
N.KHEMANI & CO.
(Member : CSE)
|
|
|
|
N.KHEMANI
|
|
VIOLATED SECTION 19 (1) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 17 |
|
|
NH SECURITIES LTD.
(PAN:AAACS7140Q)
(Member : BSE/NSE)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
|
NAVINCHANDRA NARBHERAM PAREKH
DIN:00009547
|
|
|
VINAYCHANDRA NARBHERAM PAREKH
DIN:00009663
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 18 |
|
|
SANJAY KHEMANI,M/S
(Member : CSE/MPSE)
|
|
|
|
SANJAY KHEMANI
|
|
VIOLATED SECTION 19 (1) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 19 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
VIOLATED REGULATIONS 6(A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED HOLDING THAT PROSECUTION IS NOT MAINTAINABLE DUE TO ABSENCE OF PROVISION FOR CRIMINAL ACTIONS IN THE REGULATIONS. REVISION IS FILED BY SEBI AGAINST THE SAID ORDER WHICH IS PENDING BEFORE BOMBAY HIGH COURT
|
| 20 |
|
|
VISHAL VIJAY SHAH,M/S
(PAN:BBJPS3622P)
(Member : BSE)
|
|
|
|
VISHAL VIJAY SHAH
PAN:BBJPS3622P
|
|
AIDED AND ABETTED ITS CLIENTS IN CREATION OF FICITIOUS DOCUMENTS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) AND 4(1) & 4(2)(P) OF PFUTP REGULATIONS, 2003
DID NOT MAINTAIN HIGH STANDARD OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(1) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-JAN-2019 TO 01-JUL-2019
12-DEC-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
