| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANIL MISTRY,M/S
(Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : NSE)
|
|
|
|
ANIL MISTRY
|
|
ACTED IN CONCERT WITH BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH STRUCTURED DEALS/MATCHING BUY AND SELL ORDERS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
ATTEMPTED TO INDUCE PUBLIC TO DEAL BY CREATING MISLEADING APPEARANCE OF TRADING IN THE SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
22-JUN-2006
|
SAT: CASE ADJOURNED
SAT: APPEAL FAILED AND DISMISSED WITH PARTIES TO BEAR THEIR OWN COSTS
|
| 2 |
|
|
ASPI NOSHIR GANDHI,M/S
(Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE)
|
|
|
|
ASPI NOSHIR GANDHI
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ISSUED ADVERTISEMENT IN AHMEDABAD PARSI YELLOW PAGES GIVING MISLEADING INFORMATION VIOLATING REGULATION 15(1)(D) AND 26(XX) OF SEBI (STOCK BROKERS AND SUB-BROKES) REGULATIONS, 1992
|
IMPOSED PENALTY
29-MAR-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 3 |
|
|
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
|
|
| 4 |
|
|
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SAT: APPEAL DISMISSED AS WITHDRAWN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
|
| 5 |
|
|
DAS CO.
(Sub-Broker of VCK SHARE & STOCK BROKING SERVICES LTD., Member : NSE)
|
|
|
|
ATIN DAS
|
|
|
BANI DAS
|
|
|
BIVA RANI DAS
|
|
|
SUDHIR RANJAN DAS
|
|
INVOLVED IN FRAUDULENT ACTIVITIES TO INDUCE INVESTORS TO INVEST MONEY
DEALT IN CASH WITH CLIENTS
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
COMMITTED IRREGULARITIES PERTAINING TO CLIENTS SECURITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 20-FEB-2007 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2007 TILL FURTHER ORDERS
DIRECTED TO REFUND ALL MONEYS COLLECTED FROM INVESTORS UNDER THE MIS SCHEME
20-FEB-2007
|
ENQUIRY PROCEEDINGS DISPOSED OFF WITHOUT IMPOSING ANY FURTHER PENALTY, AS SUB BROKER HAS ALREADY BEEN PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES FROM 20/02/2007
DIRECTIONS IMPOSED VIDE AD-INTERIM EX-PARTE ORDER DATED 20/02/2007 RESTRAINING FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER, DIRECTLY OR INDIRECTLY, VACATED
|
| 6 |
|
|
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
|
| 7 |
|
|
KRISHNA & CO.
(Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : NSE)
|
|
|
|
K.GNANASEKARAN
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH MATCHING/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KLG SYSTEL LTD.
ATTEMPTED TO MISLEAD PUBLIC BY CREATING ARTIFICIAL MARKET IN SCRIP OF KLG SYSTEL LTD.
|
IMPOSED PENALTY RS.7,50,000 ALONG WITH OTHER ENTITIES/PERSONS
06-OCT-2006
|
|
| 8 |
|
|
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
|
| 9 |
|
|
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
|
CANCELLED REGISTRATION AS SUB-BROKER FROM 24-FEB-2009
03-FEB-2009
|
|
| 10 |
|
|
NELLIYAN STOCKS
(Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : NSE)
|
|
|
|
V.ARUNACHALAM
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH MATCHING/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KLG SYSTEL LTD.
ATTEMPTED TO MISLEAD PUBLIC BY CREATING ARTIFICIAL MARKET IN SCRIP OF KLG SYSTEL LTD.
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2006
|
|
| 11 |
|
|
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
|
| 12 |
|
|
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
