| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ARJ SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GLOBAL TELESYSTEMS LTD.
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
ALLEGED VIOLATION OF SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 26-APR-2010 TO 25-APR-2011
26-APR-2010
|
|
| 2 |
|
|
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
|
|
| 3 |
|
|
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
|
|
| 4 |
|
|
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
|
| 5 |
|
|
MITESH MANUBHAI SHETH,M/S
(Member : ASE)
|
|
|
|
MITESH MANUBHAI SHETH
|
|
ALLEGED VIOLATION OF REGULATION 17,17(1)(I),21(4) AND 26(1),30(1) AND CLAUSE B(2) OF CODE OF CONDUCT UNDER SCHEDULE II TO REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF RULE 15(1),15(2) (C) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
ALLEGED VIOLATION OF RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-APR-1995
24-APR-1995
SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)
22-MAR-2010~
|
ORDER DATED 24/04/1995 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.1,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER DATED 22/03/2010
|
| 6 |
|
|
MONARCH NETWORTH CAPITAL LTD.
(PAN:AAACN1184F)
(Member : BSE/NSE)
|
|
|
ALLOWED TRADING TO DEBARRED ENTITY VIOLATING STOCK EXCHANGES BYE LAWS AND BROKER REGULATIONS UNDER SEBI SECURITIES CONTRACTS (REGULATION), 1956
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-DEC-2021
|
|
| 7 |
|
|
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
|
|
| 8 |
|
|
O.P.GUPTA & CO.
(Member : LSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR AND FICTITIOUS TRADING VIOLATING SECTION 16 OF SECURITES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF SRU SHARE BROKERS LTD.
ALLEGED INDULGENCE IN IRREGULAR AND FICTITIOUS TRANSACTIONS IN SCRIPS OF SG GLOBAL EXPORTS LTD. AND SRU SHARE BROKERS LTD.
ALLEGED NON COMPLIANCE WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SG GLOBAL EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 09-DEC-2009 TO 08-DEC-2010
06-DEC-2009
|
|
| 9 |
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
