June 26, 2009
PR No. 209/2009
Order against M/s. Neelam Bhatia & Co., Member,Ludhiana Stock Exchange Limited
Dr. K. M. Abraham, Whole Time Member, SEBI vide order dated June 24, 2009, has warned M/s. Neelam Bhatia & Co., Member, Ludhiana Stock Exchange(LSE), for the deviations observed herein from the provisions of SEBI (Prohibition of Insider Trading) Regulations, 1992, SEBI (Stock Brokers and Sub-Brokers) Regulations, 1992 and the circulars which regulate its function as a registered intermediary of SEBI. The said stock broker has been further directed to strictly abide by laws, rules and regulations which govern dealings in the securities market.
Mumbai
June 26, 2009
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