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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 21-NOV-2024

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

ALL SUB-BROKERS

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person 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
History of entity/person SAURIN R.SHAH,M/S  

(Sub-Broker of WELLWORTH SHARE & STOCK BROKING LTD. , Member : BSE)
History of entity/person 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
History of entity/person 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
History of entity/person SUMEET GARG,M/S  

(Sub-Broker of BANSAL SHAREVEST SERVICES LTD. , Member : NSE)
History of entity/person 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
History of entity/person 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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