| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
20TH CENTURY SECURITIES LTD.
(Member : NSE/BSE/OTC)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
INTERIM ORDER DATED 31/12/2002 REVOKED BY SEBI
|
| 2 |
|
|
ADITI A.DALAL,M/S
(Member : ASE)
|
|
|
|
ADITI A.DALAL
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD.
DID NOT ISSUE CONTRACT NOTES
|
IMPOSED PENALTY RS.2,50,000
27-DEC-2010
|
|
| 3 |
|
|
ALACRITY SECURITIES LTD.
(Member : BSE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8A(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ODYSSEY CORP.LTD.
|
IMPOSED PENALTY RS.3,00,000
03-MAY-2013
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 4 |
|
|
ALKA SECURITIES LTD.
(PAN:AAACA4835E)
(Member : NSE)
(Along with : MAYURESH REAL ESTATE MANAGEMENT PVT.LTD.)
|
|
|
|
ALKA M.PANDEY
PAN:AGEPP1076H
|
|
|
ANJUBEN KOTHARI
|
|
|
BRIJESH KOTHARI
PAN:AACPK8359C
|
|
|
DIMPLE PRASAD KOTHARI
|
|
|
MAHENDRA PANDEY
PAN:AACPP5315K
|
|
|
MAHESH NATVARLAL KOTHARI
PAN:AACPK2951Q
|
|
|
RAVI PANDEY
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-JUL-2009 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010
|
| 5 |
|
|
AMI STOCK & SHARE BROKERS PVT.LTD.
(PAN:AAECA9673J)
(Member : BSE/NSE)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 45% SHARES OF VERTEX SECURITIES LTD.
|
IMPOSED PENALTY RS.3,50,000
26-NOV-2009
|
INCLUDED IN SEBI LIST DATED 30/09/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 6 |
|
|
ATLANTA SHARE SHOPEE LTD.
(PAN:AAFCA0584K)
(Member : BSE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARANG CHEMICALS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SARANG CHEMICALS LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE IN CONDUCT OF BUSINESS VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF SARANG CHEMICALS LTD.
|
IMPOSED PENALTY RS.3,00,000
20-DEC-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 7 |
|
|
BLB LTD.
(Member : NSE/BSE)
|
|
|
|
VIKRAM RATHI
|
|
MISLED INVESTORS BY PUBLISHING POSITIVE NEWS ABOUT A PROJECT OF VBC FERRO ALLOYS LTD. WHICH IS YET TO BE OPERATED BY COMPANY
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION BY MAKING POSITIVE ANNOUNCEMENTS ABOUT COMPANY AND SOLD THEIR OWN HOLDINGS AT AN INCREASED PRICE TO MAKE UNJUST ENRICHMENT IN SCRIP OF VBC FERRO ALLOYS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY IN MATTER OF VBC FERRO ALLOYS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-FEB-2006 TILL FURTHER ORDERS
10-FEB-2006
|
VACATED INTERIM EX-PARTE ORDER DATED 10/02/2006
|
| 8 |
|
|
BLB LTD.
(Member : BSE/NSE)
|
|
|
|
ANSHUL MEHRA
|
|
|
KAMAL GOEL
|
|
|
P.N.PANDA
|
|
|
SIDDARTH BAGRI
|
|
|
UTTAM SHARMA
|
|
|
VIKAS RAWAL
|
|
MISLED INVESTORS BY PUBLISHING POSITIVE NEWS ABOUT A PROJECT OF VBC FERRO ALLOYS LTD. WHICH IS YET TO BE OPERATED BY COMPANY
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION BY MAKING POSITIVE ANNOUNCEMENTS ABOUT COMPANY AND SOLD THEIR OWN HOLDINGS AT AN INCREASED PRICE TO MAKE UNJUST ENRICHMENT IN SCRIP OF VBC FERRO ALLOYS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY IN MATTER OF VBC FERRO ALLOYS LTD.
|
DIRECTED TO CEASE & DESIST FROM COMMITTING VIOLATIONS OF CODE OF CONDUCT FRAMED FOR STOCK BROKERS
DIRECTED TO CEASE & DESIST FROM GIVING MISLEADING RECOMMENDATIONS IN ANY PUBLIC ACCESSIBLE MEDIA
10-FEB-2006
|
VACATED INTERIM EX-PARTE ORDER DATED 10/02/2006
|
| 9 |
|
|
C.MACKERTICH LTD.
(Member : CSE)
|
|
|
|
AJAY KUMAR KAYAN
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.3,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-APR-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.3,00,00,000
|
| 10 |
|
|
CAVALIER SECURITIES LIMITED
(PAN:AAACC6370Q)
(Member : ASE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF INDIA POLYSPIN LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIA POLYSPIN LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIA POLYSPIN LTD.
|
IMPOSED PENALTY RS.6,00,000
27-OCT-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 11 |
|
|
CAVALIER SECURITIES LIMITED
(PAN:AAACC6370Q)
(Member : ASE)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIA POLYSPIN LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-SEP-2010 TO 07-OCT-2010
08-SEP-2010
|
|
| 12 |
|
|
CLARIDGES INVESTMENTS & FINANCE PVT.LTD.
(PAN:AAACC1607N)
(Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
INTERIM ORDER DATED 31/12/2002 REVOKED BY SEBI
|
| 13 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67120WB1993PLC060799)
(Member : BSE/NSE/CSE/OTC)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 14 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67120WB1993PLC060799)
(Member : OTC/CSE/NSE/BSE)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE , 1997 IN MATTER OF ACQUISITION OF SHARES OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
24-JAN-2008
|
|
| 15 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67120WB1993PLC060799)
(Member : BSE)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUN-2003 TILL INVESTIGATIONS COMPLETED
06-JUN-2003
|
|
| 16 |
|
|
CREDIT SUISSE FIRST BOSTON (INDIA) SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 17 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HOLDINGS OF SHARES OF NEDUNGADI BANK LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NEDUNGADI BANK LTD.
|
IMPOSED PENALTY RS.25,000
15-DEC-2008
|
|
| 18 |
|
|
GALAXY BROKING LTD.
(PAN:AABCG5457B)
(Member : BSE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FILMCITY MEDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF FILMCITY MEDIA LTD.
|
IMPOSED PENALTY RS.2,00,000
09-NOV-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 09/11/2009 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 19 |
|
|
HEM SECURITIES LTD.
(PAN:AABCH8005N)
(Member : BSE,Depository Participants : CDSL)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 20 |
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 3
|
