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January 17, 2006
PR No.
34/2006
Order issued against broker / sub-brokers
Securities and Exchange Board of India (SEBI) has passed three orders dated January 10 & 12, 2006, against the following three broker/sub-brokers:
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Sr.
No.
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Name
of the broker
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SEBI
Regn. No.
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Exchange
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Date
of order
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Order
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1*
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Hasmukhrai
Baldev
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INS010582919
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BSE
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January
10, 2006
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Suspension
� One month
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2*
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Devichand
Hansraj Oswal
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INS230742814
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NSE
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January
12, 2006
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Suspension-
Two months
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3
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M/s
Vintage Capital Markets Ltd.
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INB230794134
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NSE
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January
12, 2006
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Warning
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* Sl. 1 & 2 � Order shall come into force after the expiry of 21 days from the date of the order.
The orders have been passed by Shri Madhukar, Whole Time Member, SEBI, against the above mentioned broker/sub-brokers for non-cooperation with the inspection team, off the floor transactions, non-maintenance of books of accounts, dealing with unregistered sub-brokers, deficiencies in client registration forms, non collection of requisite margins from the clients, etc.
Mumbai
January 17, 2006
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For full copy of order against DEVICHAND HANSRAJ OSWAL, click here.
For full copy of order against DEVICHAND HANSRAJ OSWAL,M/S, click here.
For full copy of order against HASMUKHRAI B.BALDEV, click here.
For full copy of order against HASMUKHRAI B.BALDEV,M/S, click here.
For full copy of order against VINTAGE CAPITAL MARKETS LTD., click here.
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