| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ARIHANT INVESTMENT
(Sub-Broker of ANAND RATHI SHARE & STOCK BROKERS LTD., Member : NSE)
|
|
|
|
BHADRESH SANGHVI
PAN:AXDPS8704K
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
ENGAGED IN ILLEGAL TRADING VIOLATING SECTION 19 (1) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
ISSUED CONTRACT NOTES IN DIFFERENT FORMAT FROM THAT PRESCRIBED BY EXCHANGE VIOLATING REGULATION 7 READ WITH CLAUSES B(2) READ WITH REGULATION 15 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 AND SEBI CIRCULARS NO.MIRSD/DPS-1/CIR-31/2004 DATED 26/08/2004 AND SMD(B)/104/22775/93 DATED 29/10/1993
DISPLAYED MISLEADING BOARD AND NOT DISPLAYED REGISTRATION CERTIFICATE VIOLATING NSE CIRCULAR NO.NSE/MEM/1591 DATED 20/04/2000
OPERATED IML TERMINAL WITHOUT REQUIRED CERTIFICATION VIOLATING BSE NOTICE NO.20070522-25 DATED 22/05/2007 AND 20071024-28 DATED 24/10/2007
DEALT WITH ANOTHER STOCK BROKER FOR OWN TRADE VIOLATING CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 AND REGULATION 2.1.12(A) OF CAPITAL MARKET SEGMENT OF NSE
DID NOT ABIDE BY RULES, REGULATIONS AND BYELAWS OF STOCK EXCHANGE VIOLATING REGULATION 12A (1) (A) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-DEC-2009 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-DEC-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL NOT TO GIVE EFFECT TO ANY DEBIT INSTRUCTION IN DEMAT ACCOUNTS OF SUB BROKER OR OF ANY BENEFICIAL OWNER ON AUTHORITY OF POWER OF ATTORNEY
21-DEC-2009
|
DIRECTIONS ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 21/12/2009 CONFIRMED VIDE ORDER DATED 30/08/2010
|
| 2 |
|
|
BUSINESS POINT SERVICES
(Sub-Broker of BISWANATH MURLIDHAR, Member : BSE)
|
|
|
INDULGED IN TRANSACTIONS CARRIED OUT TO DEFRAUD INVESTORS AND POSED RISK TO STOCK EXCHANGE MECHANISM
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-FEB-2005 TO 17-FEB-2006
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-FEB-2005 TO 17-FEB-2006
18-FEB-2005
|
|
| 3 |
|
|
DANHEM HOLDING & INVESTMENT PVT.LTD.
(Along with : NUMERO UNO PROJECTS LTD.)
|
|
|
|
HEMANG D.JANGLA
|
|
|
KALPESH K.CHAWALLA
|
|
MADE FALSE REPRESENTATION OF BUYBACK OF SHARES OF NUMERO UNO PROJECTS LTD. IN NEWSPAPERS TO MISLEAD/INDUCE INVESTORS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-FEB-2008 TO 14-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2008 TO 14-FEB-2010
15-FEB-2008
|
SAT: APPEAL DISMISSED AS WITHDRAWN
PERIOD OF DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15/02/2008 TO 14/02/2010 HAS BEEN COMPLETED ON 14/02/2010
|
| 4 |
|
|
HAVMORE FINANCIAL SERVICES (INDIA) LTD.
(Along with : NUMERO UNO PROJECTS LTD.)
|
|
|
|
HEMANG D.JANGLA
|
|
|
KALPESH K.CHAWALLA
|
|
MADE FALSE REPRESENTATION OF BUYBACK OF SHARES OF NUMERO UNO PROJECTS LTD. IN NEWSPAPERS TO MISLEAD/INDUCE INVESTORS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-FEB-2008 TO 14-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2008 TO 14-FEB-2010
15-FEB-2008
|
SAT: APPEAL DISMISSED AS WITHDRAWN
PERIOD OF DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15/02/2008 TO 14/02/2010 HAS BEEN COMPLETED ON 14/02/2010
|
| 5 |
|
|
HINDUSTAN HOLDINGS LTD.
(PAN:AAACH0524K)
(Sub-Broker of SOVEREIGN SECURITIES PVT.LTD., Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SUN INFOWAYS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) IN MATTER OF SUN INFOWAYS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-OCT-2011 TO 18-JAN-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-OCT-2011 TO 18-JAN-2012
19-OCT-2011
|
|
| 6 |
|
|
MAX INVESTMENTS & FINANCIAL SERVICES
(Sub-Broker of INDIA INFOLINE LTD., Member : BSE/NSE)
|
|
|
|
AVINASH KRISHNAJI DIXIT
PAN:AEXPD8128H
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 15 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
EXECUTED UNAUTHORISED TRANSACTIONS IN CLIENTS’ ACCOUNTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-DEC-2015 TO 30-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2015 TO 30-DEC-2020
31-DEC-2015
|
|
| 7 |
|
|
MCI SECURITIES PVT.LTD.
(Sub-Broker of NIRMAL BANG SECURITIES PVT.LTD., Member : NSE, VIDYUT DEVENDRAKUMAR, Member : BSE)
|
|
|
|
ASHIT V.SHAH
|
|
|
MANISH V.SHAH
PAN:AAEPS3791A
|
|
DECEIVED INVESTORS BY MISREPRESENTATION AND FICTITIOUS MEANS
ACTED FALSELY AS SEBI APPROVED INTERMEDIARY UNDER SECURITIES LENDING SCHEME
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-SEP-2005 TILL FURTHER ORDERS
15-SEP-2005
|
DIRECTIONS PASSED VIDE AD INTERIM EX-PARTE ORDER DATED 15/09/2005, UNTIL FURTHER ORDERS CONFIRMED
|
| 8 |
|
|
NUMERO UNO PROJECTS LTD.
(Along with : NUMERO-UNO CREDIT CAPITAL & INVESTMENT PVT.LTD.)
|
|
|
|
HARISH DEVJI RUPAREL
|
|
|
SANDEEP GANTI
|
|
|
VIVEK HARISH RUPAREL
|
|
MADE FALSE REPRESENTATION OF BUYBACK OF SHARES OF NUMERO UNO PROJECTS LTD. IN NEWSPAPERS TO MISLEAD/INDUCE INVESTORS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-FEB-2008 TO 14-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2008 TO 14-FEB-2010
15-FEB-2008
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 9 |
|
|
NUMERO UNO PROJECTS LTD.
(Along with : NUMERO-UNO CREDIT CAPITAL & INVESTMENT PVT.LTD.)
|
|
|
|
HARISH DEVJI RUPAREL
|
|
|
SANDEEP GANTI
|
|
|
VIVEK HARISH RUPAREL
|
|
MADE FALSE REPRESENTATION OF BUYBACK OF SHARES OF NUMERO UNO PROJECTS LTD. IN NEWSPAPERS TO MISLEAD/INDUCE INVESTORS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-FEB-2008 TO 14-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2008 TO 14-FEB-2010
15-FEB-2008
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 10 |
|
|
SHREESURYA INVESTMENTS
(PAN:ABSPJ5397C)
(Sub-Broker of KISAN RATILAL CHOKSEY SHARES & SECURITIES PVT.LTD., Member : BSE/NSE)
|
|
|
|
SAMEER SUDHIR JOSHI
PAN:ABSPJ5397C
|
|
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE TRANSACTIONS VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992
|
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JAN-2016 TO 07-JAN-2021
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC OR ANY OTHER UNREGISTERED ACTIVITY, IN WHATEVER FORM
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JAN-2016 TO 07-JAN-2021
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
20-JAN-2015
|
SEBI VIDE ITS ORDER DATED 08/01/2016 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC IN WHATEVER FORM 2) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FIVE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS 3) REFUND THE MONIES SO COLLECTED FROM CLIENTS AND OTHER INVESTORS IN VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO THEM UNDER SUCH SCHEMES OR INTEREST AT RATE OF 10% PER ANNUM, WHICHEVER IS HIGHER, FROM DATE OF INVESTMENT TILL DATE OF REFUND, WITHIN A PERIOD OF NINETY (90) DAYS FROM DATE OF THIS ORDER AND SUBMIT A REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
|
| 11 |
|
|
SHRI PARSHWA FINANCE
(Sub-Broker of P.SURYAKANT SHARE & STOCK BROKERS PVT.LTD., Member : BSE)
|
|
|
|
PIYUSH SUBODHCHANDRA JHAVERI
|
|
INDULGED IN CREATING ARTIFICIAL PRICE RISE IN UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD.
OFFLOADED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN MARKET WITH ACTIVE CONNIVANCE OF COMPANY MANAGEMENT
INTRODUCED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN THE MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2007 TO 28-MAY-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2007 TO 28-MAY-2008
08-NOV-2007
|
|
| 12 |
|
|
VINTEL SECURITIES PVT.LTD.
(PAN:AABCV0925H)
(Sub-Broker of ISJ SECURITIES PVT.LTD., Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SUN INFOWAYS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) IN MATTER OF SUN INFOWAYS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-OCT-2011 TO 18-JAN-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-OCT-2011 TO 18-JAN-2012
19-OCT-2011
|
|
| 13 |
|
|
VRUDDHI CONFINVEST INDIA PVT.LTD.
|
|
|
|
DEVINA MEHRA
|
|
|
SHANKAR SHARMA
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS SUB BROKER FROM 25-MAY-2001 TILL PENDING ENQUIRY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2001 TILL PENDING ENQUIRY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2001 TILL PENDING ENQUIRY
25-MAY-2001
|
SAT: APPEAL DISMISSED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
