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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 21-NOV-2024

STOCK BROKERS: MANIPULATED MARKET AND/OR INDULGED IN UNFAIR TRADE PRACTICES

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person AFFLUENCE SHARES & STOCKS PVT.LTD.  
INDULGED IN SYNCHRONIZED TRANSACTIONS AND MATCHED TRADES IN NSE F&O SEGMENT WITH OTHER ENTITY  IMPOSED PENALTY FROM 28-FEB-2020 Rs.1,01,61,582

11-AUG-2021 		SAT: SAT VIDE ITS ORDER DATED 11/08/2021 DISMISSED THE APPEAL  
2
History of entity/person AMRAPALI CAPITAL & FINANCE SERVICES LTD.  
INDULGED IN SYNCHRONIZED TRADING WITH AFFLUENCE GEMS PVT.LTD.  IMPOSED PENALTY Rs.1,01,67,582

19-NOV-2020 		SAT: SAT VIDE ITS ORDER DATED 30/06/2020 DIRECTED APPELLANT TO DEPOSIT OF RS.30 LAC WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER BEFORE THE RESPONDENT. IF THE AMOUNT DEPOSITED FURTHER RECOVERY SHALL NOT BE MADE PURSUANT TO THE IMPUGNED ORDER

SAT: SAT VIDE ITS ORDER DATED 19/11/2020 DISMISSED THE APPEAL  
3
History of entity/person SMIFS LTD.  
ALLOWED AND FACILITATED NON-GENUINE TRADE TRANSACTIONS  IMPOSED PENALTY FROM 20-NOV-2023 Rs.28,87,000

29-FEB-2024 		SAT: SAT VIDE ITS ORDER DATED 29/02/2024 DIRECTED APPELLANT TO DEPOSIT RS.14.60 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL. FURTHER, DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED THREE WEEKS THEREAFTER  
4
History of entity/person VISHVAS SECURITIES LTD.  
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATIONS 7, 17(1) READ WITH 18 OF CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF GANGOTRI TEXTILES LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF, SYNCHRONIZED AND CIRCULAR TRADES IN SCRIP OF GANGOTRI TEXTILES LTD.  		SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-OCT-2016

12-OCT-2016 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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