| S.No. |
ENTITY |
DIRECTORS/ PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A TO Z CONSULTANTS PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
09-OCT-2009
|
|
| 2 |
|
|
AGARWAL SECURITIES
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
27-OCT-2009
|
|
| 3 |
|
|
AGBROS CAPITAL PVT.LTD.
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
27-OCT-2009
|
|
| 4 |
|
|
CAPITAL STOCKS & SHARES
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,10,000 VIDE CONSENT ORDER)
10-NOV-2009
|
|
| 5 |
|
|
CHANDRESH P.LOTIA
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN CREATION OF CROSS DEALS IN SCRIP OF AXEL POLYMERS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-APR-2009
|
|
| 6 |
|
|
JIGNESH SHETH
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN CREATION OF CROSS DEALS IN SCRIP OF AXEL POLYMERS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-APR-2009
|
|
| 7 |
|
|
KUBER FINSTOCK PVT.LTD.
|
|
|
|
CHANDRESH P.LOTIA
|
|
|
JIGNESH SHETH
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN CREATION OF CROSS DEALS IN SCRIP OF AXEL POLYMERS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-APR-2009
|
|
| 8 |
|
|
NIPPIN INVESTMENTS
|
|
|
|
ROHIT JAIN
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-FEB-2010 TO 17-AUG-2010 VIDE CONSENT ORDER)
15-FEB-2010
|
|
| 9 |
|
|
RAJNI & CO.
|
|
|
|
RAJNI KHANEJA
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN PRICE RIGGING, SIPHONING OF ISSUE PROCEEDS, LIQUIDATION OF NOMINEE HOLDINGS AT RIGGED PRICES AND MIS-STATEMENTS & DISCLOSURES IN PROSPECTUS AND LETTER OF OFFER IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-APR-2010
|
|
| 10 |
|
|
RAJNI KHANEJA
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN PRICE RIGGING, SIPHONING OF ISSUE PROCEEDS, LIQUIDATION OF NOMINEE HOLDINGS AT RIGGED PRICES AND MIS-STATEMENTS & DISCLOSURES IN PROSPECTUS AND LETTER OF OFFER IRREGULAR TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-APR-2010
|
|
| 11 |
|
|
ROHIT JAIN
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-FEB-2010 TO 17-AUG-2010 VIDE CONSENT ORDER)
15-FEB-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
