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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person GAUTAMBHAI NANUBHAI JHAVERI

(PAN:ADAPJ5993J)

(Member : ASE)  
Click here to view complete history of this specific entity/person RAJESH NANUBHAI JHAVERI

PAN:ADAPJ5993J
  		ALLEGED ENGAGEMENT IN MANIPULATIVE TRADES TO ASSIST VARIOUS PREFERENTIAL ALLOTTEES TO OFF-LOAD THEIR HOLDINGS AT JACKED UP PRICE IN SCRIP OF SWACA COMMUNICATIONS LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-SEP-2008 TO 03-SEP-2009

04-SEP-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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