| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANAGRAM SECURITIES LTD.
(Member : ASE/NSE)
|
|
|
ALLEGED FINANCING OF KEY OPERATORS WHO HAD OPENED MANY DEMAT ACCOUNTS IN FICTITIOUS AND BENAMI NAMES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,000 VIDE CONSENT ORDER)
21-JUL-2008
|
|
| 2 |
|
|
BABA BHOOTNATH TRADE & COMMERCE PVT.LTD.
(Member : BSE/NSE)
|
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-JAN-2014 TO 04-FEB-2014
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 11/05/2012 CONFIRMED DIRECTIONS ISSUED VIDE ITS ORDER DATED 28/12/2011
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH NO ORDER AS TO COSTS
|
| 3 |
|
|
DB (INDIA) SECURITIES LTD.
(Member : DSE)
|
|
|
|
S.R.BHUWALKA
|
|
|
SATYANARAYAN DAGA
|
|
FACILITATED MANIPULATION IN PUBLIC ISSUE OF MANU FINLEASE LTD.
INDULGED IN MARKET MANIPULATION IN PUBLIC ISSUE OF MANU FINLEASE LTD.
DID NOT EXERCISE DUE SKILL AND DILIGENCE IN PUBLIC ISSUE OF MANU FINLEASE LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2002 TO 19-OCT-2004
31-OCT-2002
|
SAT: IMPUGNED ORDER UPHELD EXCEPT TO EXTENT THAT PERIOD FOR SUSPENSION OF CERTIFICATE OF REGISTRATION MODIFIED TO PERIOD OF SUSPENSION ALREADY UNDERGONE AS ON DATE OF THIS ORDER
|
| 4 |
|
|
GAZI SECURITIES LTD.
(Member : NSE)
|
|
|
|
MUNIR ABDULLATIF GAZI
|
|
ACTED IN CONNIVANCE WITH VINAYAK INVESTMENTS GROUP AND PROMOTERS OF HITECHI JEWELLERY INDUSTRIES LTD. IN COMMITTING IRREGULARITIES IN THE PUBLIC ISSUE OF HITECHI JEWELLERY INDUSTRIES LTD.
ACTED IN CONNIVANCE WITH VINAYAK INVESTMENTS GROUP AND PROMOTERS OF HITECHI JEWELLERY INDUSTRIES LTD. IN PRICE MANIPULATION IN SCRIP OF HITECHI JEWELLERY INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-JUL-2003 TO 15-JUL-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-JUL-2003 TO 15-JUL-2005
16-JUL-2003
|
|
| 5 |
|
|
GRISHMA SECURITIES PVT.LTD.
(PAN:AABCG1300K)
(Member : BSE/NSE)
|
|
|
|
CHANDRIKA H.GANDHI
PAN:AAMPG4546M
|
|
|
CHHABIL C.SHAH
PAN:AIXPS6956J
|
|
|
KETAN C.SHAH
PAN:AIWPS3413R
|
|
|
MIHIR GHELANI
PAN:AACPG7986K
|
|
INDULGED IN EVASION OF MARGIN MONEY
UTILIZED IPO PROCEEDS TO MAKE GOOD LOSSES OF ENTITIES WHO SUPPORTED THE PRICE OF FUND CLIENTS WHO INCURRED LOSSES WHILE TRANSACTED IN SCRIP OF TIJARIA POLYPIPES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TO 27-DEC-2016
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 05/11/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 6 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED NON-EXERCISE OF DUE CARE & DILIGENCE IN CASE OF MANNA GLASS TECH INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 7 |
|
|
MONARCH PROJECT & FINMARKETS LTD.
(PAN:AAACM8214F)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: APPELLANT WILLING TO FURNISH AN UNDERTAKING IN WRITING TO BOARD THAT IT WILL NOT BE BUYING, SELLING AND/OR DEALING IN THEIR PROPRIETARY ACCOUNTS, IF SUCH UNDERTAKING IS FURNISHED, BOARD SHALL DIRECT THE DEPOSITORIES TO PERMIT THE OPERATION OF THE ACCOUNTS LISTED IN EXH.D. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 8 |
|
|
MONARCH RESEARCH & BROKERAGE PVT.LTD.
(PAN:AACCK5762C)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: APPELLANT WILLING TO FURNISH AN UNDERTAKING IN WRITING TO BOARD THAT IT WILL NOT BE BUYING, SELLING AND/OR DEALING IN THEIR PROPRIETARY ACCOUNTS, IF SUCH UNDERTAKING IS FURNISHED, BOARD SHALL DIRECT THE DEPOSITORIES TO PERMIT THE OPERATION OF THE ACCOUNTS LISTED IN EXH.D. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 9 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
|
|
|
|
A.P.SHUKLA
PAN:AECPS3296Q
|
|
|
DHANANJAY CHANDRAKANT PARIKH
PAN:ACTPP2402L
|
|
|
PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
|
|
|
T.S.RAGHAVAN
PAN:AAFPR1521A
|
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
|
|
|
TUSHAR SHIRDHARANI
PAN:AAIPS0065M
|
|
MISUTILIZED ISSUE PROCEEDS
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 15/02/2012 MODIFIED ITS EARLIER ORDER DATED 28/12/2011 BY ALLOWING TO DEAL IN SHARES FOR LIMITED PURPOSE OF FULFILLING THEIR EXISTING OBLIGATIONS OF UNDERWRITING FOR MINIMUM SUBSCRIPTION
|
| 10 |
|
|
RIKHAV SECURITIES LTD.
(PAN:AADCR3067Q)
(Member : BSE/NSE)
|
|
|
INDULGED IN IRREGULARITIES IN SUBSCRIPTIONS IN PUBLIC ISSUE OF VASWANI INDUSTRIES LTD.
|
PROHIBITED TO ACT AS SYNDICATE MEMBER/SUB-SYNDICATE MEMBER FOR ALL FORTHCOMING ISSUES
RESTRAINED FROM ACTING AS SYNDICATE / SUB-SYNDICATE MEMBER
11-JUL-2011
|
SEBI VIDE ITS ORDER DATED 11/07/2011 DIRECTED 1.VASWANI INDUSTRIES LTD. TO GIVE WITHDRAWAL OPTION TO ALL INVESTORS IN NON-INSTITUTIONAL (NII) AND RETAIL INDIVIDUAL INVESTORS (RII) CATEGORY FOR SUCH NUMBER OF SHARES BY WHICH ALLOTMENT RATIO WAS IMPACTED. 2. ON CLOSURE OF WITHDRAWAL OPTION, IF SUBSCRIPTION LEVEL AFTER SUCH WITHDRAWALS FALLS BELOW MINIMUM LEVEL OF SUBSCRIPTION , BRLM, MAY PURCHASE OR ARRANGE PURCHASE THROUGH ANY INVESTOR(S) SO AS TO ENSURE THAT SUBSCRIPTION DOES NOT FALL BELOW MINIMUM LEVEL OF SUBSCRIPTION.3.RIKHAV SECURITIES LTD. IS PROHIBITED TO ACT AS A SYNDICATE MEMBER/SUB-SYNDICATE MEMBER FOR ALL FORTHCOMING ISSUES TILL FURTHER DIRECTIONS 4.BAJAJ CONSULTANTS PVT LTD. AND ITS GROUP ENTITIES, NAMELY, BAJAJ COMMODITIES TRADING PVT.LTD., BAJAJ SHARE AND STOCK BROKERS PVT.LTD., VINODKUMAR BAJAJ & COMPANY HUF, BAJAJ CONSULTANTS PVT.LTD., BAJAJ RETAIL INDIA VENTURES PVT.LTD., BAJCO CONSULTANTS PVT.LTD., MR. RAJKAMAL RAMNIWAS BAJAJ, RAMNIWAS BAJAJ & COMPANY AND MR. VINODKUMAR RAMNIWAS BAJAJ ARE DIRECTED TO CEASE AND DESIST FROM BIDDING IN AN OBJECTIONABLE MANNER
SEBI VIDE ITS ORDER DATED 11/07/2011 DIRECTED 1.VASWANI INDUSTRIES LTD. TO GIVE WITHDRAWAL OPTION TO ALL INVESTORS IN NON-INSTITUTIONAL (NII) AND RETAIL INDIVIDUAL INVESTORS (RII) CATEGORY FOR SUCH NUMBER OF SHARES BY WHICH ALLOTMENT RATIO WAS IMPACTED. 2. ON CLOSURE OF WITHDRAWAL OPTION, IF SUBSCRIPTION LEVEL AFTER SUCH WITHDRAWALS FALLS BELOW MINIMUM LEVEL OF SUBSCRIPTION , BRLM, MAY PURCHASE OR ARRANGE PURCHASE THROUGH ANY INVESTOR(S) SO AS TO ENSURE THAT SUBSCRIPTION DOES NOT FALL BELOW MINIMUM LEVEL OF SUBSCRIPTION.3.RIKHAV SECURITIES LTD. IS PROHIBITED TO ACT AS A SYNDICATE MEMBER/SUB-SYNDICATE MEMBER FOR ALL FORTHCOMING ISSUES TILL FURTHER DIRECTIONS 4.BAJAJ CONSULTANTS PVT LTD. AND ITS GROUP ENTITIES, NAMELY, BAJAJ COMMODITIES TRADING PVT.LTD., BAJAJ SHARE AND STOCK BROKERS PVT.LTD., VINODKUMAR BAJAJ & COMPANY HUF, BAJAJ CONSULTANTS PVT.LTD., BAJAJ RETAIL INDIA VENTURES PVT.LTD., BAJCO CONSULTANTS PVT.LTD., MR. RAJKAMAL RAMNIWAS BAJAJ, RAMNIWAS BAJAJ & COMPANY AND MR. VINODKUMAR RAMNIWAS BAJAJ ARE DIRECTED TO CEASE AND DESIST FROM BIDDING IN AN OBJECTIONABLE MANNER
|
| 11 |
|
|
SALASAR STOCK BROKING LTD.
(PAN:AADCS8020Q)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
UTILIZED IPO PROCEEDS TO MAKE GOOD LOSSES OF ENTITIES WHO SUPPORTED THE PRICE OF FUND CLIENTS WHO INCURRED LOSSES WHILE TRANSACTED IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: SAT VIDE ITS ORDER DATED 07/09/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATION BY THE END OF SEPTEMBER 2012. NO COSTS
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 12 |
|
|
TODI SECURITIES PVT.LTD.
(PAN:AABCT4191R)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
UTILIZED IPO PROCEEDS TO MAKE GOOD LOSSES OF ENTITIES WHO SUPPORTED THE PRICE OF FUND CLIENTS WHO INCURRED LOSSES WHILE TRANSACTED IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM ENTERING ANY FRESH AGREEMENTS WITH NEW CLIENTS IN OPERATIONS AS STOCK BROKER FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 11/05/2012 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL DISMISSED AS INFRUCTUOUS
|
| 13 |
|
|
TRANSPARENT SHARES & SECURITIES PVT.LTD.
(Member : NSE/BSE)
|
|
|
APPLIED IN IPO OF EDSERV SOFTSYSTEMS LTD. ON BEHALF OF ITS CLIENTS
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(4) AND A(5) OF CODE OF CONDUCT FOR STOCK BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF EDSERV SOFTSYSTEMS LTD.
|
PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER FROM 04-APR-2013 TO 10-APR-2013
04-APR-2013
|
|
| 14 |
|
|
WALLFORT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACW0750G)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN BAILING OUT PUBLIC ISSUE OF MAZDA FABRICS & PROCESSORS LTD. THROUGH FICTITIOUS SUBSCRIPTION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 12-AUG-2010 TO 11-AUG-2011
12-AUG-2010
|
|
| 15 |
|
|
YASHWANT A.THAKKAR,M/S
(Member : BSE)
|
|
|
|
YASHWANT A.THAKKAR
|
|
CREATED AN ILLUSION OF SUBSCRIPTION IN PUBLIC ISSUE OF ELVIS INDIA LTD.WHICH OTHERWISE WAS NOT FULLY SUBSCRIBED
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2003 TO 10-JAN-2005
11-JAN-2003
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
