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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

SUB-BROKERS: MANIPULATED IPOS OF VARIOUS COMPANIES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person RAJESH JHAVERI STOCK BROKERS PVT.LTD.

(CIN:U67120GJ1995PTC024321)

(Member : ASE,Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE/NSE)  
  FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS   DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS

27-APR-2006

SETTLEMENT ( SETTLEMENT CHARGES RS.1,05,395, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.5,26,975 VIDE CONSENT ORDER)

29-MAY-2009~ 		AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.5,26,975 TOWARDS DISGORGEMENT OF UNLAWFUL GAIN AND RS.1,05,395 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 29/05/2009  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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