| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
DHWAJA SECURITIES & SERVICES PVT.LTD.
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2007 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT PROFITS WITH NSE
01-OCT-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.23,000, DISGORGEMENT AMOUNT RS.46,000, (INTEREST RS.2,71,981 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
04-JUL-2008~
|
ORDER DATED 01/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.23,000 AGAINST SETTLEMENT CHARGES AND RS.46,000 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 04/07/2008
|
| 2 |
|
|
GHANSHYAM VINAYKANT SHROFF (HUF)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2007 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT PROFITS WITH NSE
01-OCT-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.43,500, DISGORGEMENT AMOUNT RS.87,000, (INTEREST RS.2,71,981 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
04-JUL-2008~
|
ORDER DATED 01/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.43,500 AGAINST SETTLEMENT CHARGES AND RS.87,000 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 04/07/2008
|
| 3 |
|
|
MURARILAL R.DUJODWALA (HUF)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2007 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT PROFITS WITH NSE
01-OCT-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.11,000, DISGORGEMENT AMOUNT RS.22,000, (INTEREST RS.2,71,981 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
04-JUL-2008~
|
AN INTERIM ORDER DATED 01/10/2007 DISPOSED OF, AS APPLICANT AGREED TO PAY RS.11000 AGAINST SETTLEMENT CHARGES AND RS.22000 AGAINST AMOUNT DISGORGED, AS PER CONSENT ORDER DATED 04/07/2008
|
| 4 |
|
|
NARESH KUMAR (HUF)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2007 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT PROFITS WITH NSE
01-OCT-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.43,500, DISGORGEMENT AMOUNT RS.87,000, (INTEREST RS.2,71,981 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
04-JUL-2008~
|
ORDER DATED 01/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.43,500 AGAINST SETTLEMENT CHARGES AND RS.87,000 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 04/07/2008
|
| 5 |
|
|
NIKHIL SHROFF (HUF)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2007 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT PROFITS WITH NSE
01-OCT-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.36,500, DISGORGEMENT AMOUNT RS.73,000, (INTEREST RS.2,71,981 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
04-JUL-2008~
|
ORDER DATED 01/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.36,500 AGAINST SETTLEMENT CHARGES AND RS.73,000 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 04/07/2008
|
| 6 |
|
|
NISHITH N.CHOKSEY (HUF)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2007 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT PROFITS WITH NSE
01-OCT-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.37,000, DISGORGEMENT AMOUNT RS.74,000, (INTEREST RS.2,71,981 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
04-JUL-2008~
|
ORDER DATED 01/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.37,000 AGAINST SETTLEMENT CHARGES AND RS.74,000 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 04/07/2008
|
| 7 |
|
|
PANKAJ L.DEDHIA (HUF)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2007 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT PROFITS WITH NSE
01-OCT-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.41,500, DISGORGEMENT AMOUNT RS.83,000, (INTEREST RS.2,71,981 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
04-JUL-2008~
|
ORDER DATED 01/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.41,500 AGAINST SETTLEMENT CHARGES AND RS.83,000 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 04/07/2008
|
| 8 |
|
|
PARAS SIROHIA (HUF)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2007 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT PROFITS WITH NSE
01-OCT-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.41,000, DISGORGEMENT AMOUNT RS.82,000, (INTEREST RS.2,71,981 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
04-JUL-2008~
|
ORDER DATED 01/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.41,000 AGAINST SETTLEMENT CHARGES AND RS.82,000 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 04/07/2008
|
| 9 |
|
|
R.P.SHROFF (HUF)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2007 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT PROFITS WITH NSE
01-OCT-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.1,22,000, DISGORGEMENT AMOUNT RS.2,44,000, (INTEREST RS.2,71,981 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
04-JUL-2008~
|
ORDER DATED 01/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1,22,000 AGAINST SETTLEMENT CHARGES AND RS.2,44,000 AGAINST AMOUNT DISGORGED, AS PER CONSENT ORDER DATED 04/07/2008
|
| 10 |
|
|
SANJAY M.DUJODWALA (HUF)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2007 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT PROFITS WITH NSE
01-OCT-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.2,80,000, DISGORGEMENT AMOUNT RS.5,60,000, (INTEREST RS.2,71,981 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
04-JUL-2008~
|
AN INTERIM ORDER DATED 01/10/2007 DISPOSED OF, AS APPLICANT AGREED TO PAY RS.280000 AGAINST SETTLEMENT CHARGES AND RS.560000 AGAINST AMOUNT DISGORGED, AS PERCONSENT ORDER DATED 04/07/2008
|
| 11 |
|
|
SUNIL M.DUJODWALA (HUF)
|
|
|
PASSED SENSITIVE INFORMATION TO MANISH INNANI OF PRAYAS SECURITIES PVT.LTD. AND RAJEEV SHROFF OF EMKAY SHARES & STOCK BROKERS PVT.LTD. REGARDING FII DEALINGS IN SHARES OF BILT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2007 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT PROFITS WITH NSE
01-OCT-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.2,07,500, DISGORGEMENT AMOUNT RS.4,15,000, (INTEREST RS.2,71,981 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
04-JUL-2008~
|
AN INTERIM ORDER DATED 01/10/2007 DISPOSED OF, AS APPLICANT AGREED TO PAY RS.207500 AGAINST SETTLEMENT CHARGES AND RS.415000 AGAINST AMOUNT DISGORGED, AS PER CONSENT ORDER DATED 04/07/2008
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
