| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A TO Z CONSULTANTS PVT.LTD.
(PAN:AAACA4696F)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
09-OCT-2009
|
|
| 2 |
|
|
AGARWAL SECURITIES
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
27-OCT-2009
|
|
| 3 |
|
|
AGBROS CAPITAL PVT.LTD.
(CIN:U67190MH1995PTC087585)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
27-OCT-2009
|
|
| 4 |
|
|
AMIT BANSAL,M/S
|
|
|
|
AMIT BANSAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHAMKEN MULTIFAB LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-DEC-2014 TO 08-DEC-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2014 TO 08-DEC-2015
09-DEC-2014
|
|
| 5 |
|
|
AYUSH & CO.
|
|
|
CREATED ARTIFICIAL INCREASE IN PRICE IN SCRIP OF GCCL INFRASTRUCTURE & PROJECTS LTD.
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-OCT-2002 TO 19-OCT-2003
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-OCT-2002 TO 19-OCT-2003
14-OCT-2002
|
|
| 6 |
|
|
BDS SHARE BROKERS PVT.LTD.
(PAN:AACCB0124D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF NAGPUR POWER & INDUSTRIES LTD.
|
IMPOSED PENALTY RS.7,00,000
09-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/05/2022 ALLOWED THE APPEAL AND QUASHED AND SET ASIDE IMPUGNED ORDER DATED 09/09/2020.NO COSTS
|
| 7 |
|
|
DHANVARSHA INVESTMENTS
|
|
|
|
JEEV NARAIN MISHRA
|
|
AIDED AND ABETED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHAMKEN MULTIFAB LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-DEC-2014 TO 08-DEC-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2014 TO 08-DEC-2015
09-DEC-2014
|
|
| 8 |
|
|
GAGAN SECURITIES PVT.LTD.
|
|
|
INDULGED IN PRICE MANIPULATION THROUGH STRUCTURED TRANSACTIONS IN SCRIPS OF KINETIC CAPITAL SERVICES LTD. AND SHUBH INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-APR-2015 TO 12-APR-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-APR-2015 TO 12-APR-2018
13-APR-2015
|
|
| 9 |
|
|
KUBER FINSTOCK PVT.LTD.
(PAN:AACCK2685A)
|
|
|
|
CHANDRESH P.LOTIA
|
|
|
JIGNESH SHETH
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN CREATION OF CROSS DEALS IN SCRIP OF AXEL POLYMERS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-APR-2009
|
|
| 10 |
|
|
MIRAL FINANCIAL CONSULTANCY
|
|
|
|
MINESH PATEL
|
|
ACTED IN CONCERT WITH ASSOCIATED ENTITIES/BROKERS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH CIRCULAR TRADING AND TO SELL THEIR HOLDINGS AT AN ARTIFICIALLY CREATED PRICE IN THE CASE OF MANNA GLASS TECH INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-OCT-2008 TO 22-OCT-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-OCT-2008 TO 22-OCT-2009
23-OCT-2008
|
|
| 11 |
|
|
MPC STOCK BROKING PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUBHASH PROJECTS & MARKETING LTD.
|
IMPOSED PENALTY RS.1,20,000
28-FEB-2011
|
|
| 12 |
|
|
NIPPIN INVESTMENTS
|
|
|
|
ROHIT JAIN
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 18-FEB-2010 TO 17-AUG-2010
15-FEB-2010
|
|
| 13 |
|
|
NORTHEAST COMMODITIES PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HINDUSTAN BIO SCIENCES LTD.
|
IMPOSED PENALTY RS.1,50,000
19-JAN-2009
|
|
| 14 |
|
|
PRASNEETA CONSTRUCTIONS PVT.LTD.
|
|
|
|
AJAY AGGARWAL
|
|
|
GAJANAND AGGARWAL
|
|
|
SANDHYA AGGARWAL
|
|
AIDED AND ABETED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHAMKEN MULTIFAB LTD.
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-DEC-2014 TO 08-DEC-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2014 TO 08-DEC-2015
09-DEC-2014
|
|
| 15 |
|
|
RAJENDRA SECLEASE LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF SAI INFO LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2010 TO 18-SEP-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2010 TO 18-SEP-2010
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
19-MAR-2010
|
|
| 16 |
|
|
SHRI PARSHWA FINANCE
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SAWACA COMMUNICATIONS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2010
13-JAN-2009
|
|
| 17 |
|
|
UNIQUE SECURITIES
|
|
|
|
AJAY JAIN
|
|
INDULGED IN PRICE MANIPULATION THROUGH STRUCTURED TRANSACTIONS IN SCRIPS OF KINETIC CAPITAL SERVICES LTD. AND SHUBH INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-APR-2015 TO 12-APR-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-APR-2015 TO 12-APR-2018
13-APR-2015
|
|
| 18 |
|
|
VAIBHAVLAKSHMI CONSULTANCY
(Sub-Broker of TRIVENI MANAGEMENT CONSULTANCY SERVICES LTD., Member : NSE)
|
|
|
AIDED AND ABETTED CLIENTS IN CREATION OF ARTIFICIAL VOLUME IN SCRIP OF MOREPEN HOTELS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JAN-2003 TO 07-JAN-2005
08-JAN-2003
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
