S.No. |
ENTITY |
DIRECTORS/ PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
41 |
|
SAURIN R.SHAH
(Sub-Broker of
WELLWORTH SHARE & STOCK BROKING LTD.
, Member : BSE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATION IN SCRIP OF KOSIAN INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
18-MAR-2009
|
|
42 |
|
SAURIN R.SHAH,M/S
(Sub-Broker of
WELLWORTH SHARE & STOCK BROKING LTD.
, Member : BSE)
|
|
|
SAURIN R.SHAH
|
|
ALLEGED INDULGENCE IN MANIPULATION IN SCRIP OF KOSIAN INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
18-MAR-2009
|
|
43 |
|
SUMEET GARG
(Sub-Broker of
BANSAL SHAREVEST SERVICES LTD.
, Member : NSE)
|
|
|
ILLEGAL AND UNAUTHORIZED GRANT OF TRADING TERMINAL TO CLIENT
|
SUSPENDED REGISTRATION AS SUB-BROKER FROM 18-JUL-2006 TO 17-JUL-2008
27-JUN-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
31-JUL-2008
|
SAT: IMPUGNED ORDER MODIFIED WITH NO ORDER AS TO COST AS APPELLANT AGREED TO CONSENT ORDER DATED 31/07/2008
|
44 |
|
SUMEET GARG,M/S
(Sub-Broker of
BANSAL SHAREVEST SERVICES LTD.
, Member : NSE)
|
|
|
SUMEET GARG
|
|
ILLEGAL AND UNAUTHORIZED GRANT OF TRADING TERMINAL TO CLIENT
|
SUSPENDED REGISTRATION AS SUB-BROKER FROM 18-JUL-2006 TO 17-JUL-2008
27-JUN-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
31-JUL-2008
|
SAT: IMPUGNED ORDER MODIFIED WITH NO ORDER AS TO COST AS APPELLANT AGREED TO CONSENT ORDER DATED 31/07/2008
|
45 |
|
YASH FINANCE
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF SUN INFOWAYS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) IN MATTER OF SUN INFOWAYS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
02-JUN-2010
|
|
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
|
|
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