| S.No. |
ENTITY |
DIRECTORS/ PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ARCADIA BROKERS PVT.LTD.
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKETS BY SYNCHRONIZED TRADES AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,000 VIDE CONSENT ORDER)
08-OCT-2008
|
|
| 2 |
|
|
BIJAL V.DALAL,M/S
|
|
|
|
BIJAL V.DALAL
|
|
ALLEGED FRAUDULENT EXECUTION OF BUY TRADES IN CLIENTS ACCOUNT IN SCRIP OF SUPER SPINNING & BOSCH CHASSIS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
24-JAN-2008
|
|
| 3 |
|
|
FRONTLINE CAPITAL SERVICES LTD.
(Sub-Broker of
IKM INVESTOR SERVICES LTD.
, Member : BSE)
|
|
|
ALLEGED INVOLVEMENT IN CREATION OF ARTIFICIAL MARKET IN SCRIPS OF FLEX INDUSTRIES LTD.,FLEX ENGINEERING LTD. AND FCL TECHNOLOGIES & PRODUCTS LTD. ON BEHALF OF CLIENTS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
04-JAN-2008
|
|
| 4 |
|
|
INFINITY.COM STOCK BROKING PVT.LTD.
(Sub-Broker of
ANAGRAM SECURITIES LTD.
, Member : NSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIP OF GREENFIELD TRADING & FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2008 TO 27-NOV-2009 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 5 |
|
|
INFINITY.COM STOCK BROKING PVT.LTD.
(Sub-Broker of
ANAGRAM SECURITIES LTD.
, Member : ASE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIP OF GREENFIELD TRADING & FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2008 TO 27-NOV-2009 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 6 |
|
|
KANKESHWARI SECURITIES
(Sub-Broker of
ACTION FINANCIAL SERVICES (INDIA) LTD.
, Member : BSE)
|
|
|
|
NIMESH CHITALIA
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF SHUKUN CONSTRUCTION LTD.
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
AIDED AND ABETTED CLIENTS IN EXECUTING SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF SHUKUN CONSTRUCTIONS LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-MAY-2009
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000, LEGAL EXPENSES RS.32,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
05-JAN-2010
|
SAT: ORDER DATED 25/05/2009 DISPOSED OFF. AS APPLICANT AGREED TO PAY RS.3,00,000 TOWARDS AO PENALTY AND RS.32,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER
|
| 7 |
|
|
KANKESHWARI SECURITIES PVT.LTD.
|
|
|
ALLEGED INDULGENCE IN MARKET MANIPULATION THROUGH CIRCULAR TRANSACTIONS AND STRUCTURED DEALS IN SCRIP OF MALVICA ENGINEERING LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE IN CONDUCT OF HIS BUSINESS IN MATTER OF MALVICA ENGINEERING LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
03-AUG-2010
|
|
| 8 |
|
|
PARMATAMA INVESTMENTS PVT.LTD.
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF JINDAL STEEL & POWER LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
09-MAR-2010
|
|
| 9 |
|
|
PRASHANT KHALPADA,M/S
|
|
|
|
PRASHANT KHALPADA
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ATUL AUTO LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ATUL AUTO LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-SEP-2010
|
|
| 10 |
|
|
PRASHANT KHALPADA,M/S
|
|
|
|
PRASHANT KHALPADA
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF ATUL AUTO LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ATUL AUTO LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-SEP-2010
|
|
| 11 |
|
|
RAMABEN SAMANI FINANCE PVT.LTD.
(Sub-Broker of
ISE SECURITIES & SERVICES LTD.
, Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIPS OF OASIS MEDIA MATRIX LTD.,GRANULES INDIA LTD.,WELLWORTH OVERSEAS LTD.,GG AUTOMOTIVE LTD.,T.SPIRITUAL WORLD LTD. AND RASHEL AGROTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS SUB-BROKER)
24-DEC-2009
|
|
| 12 |
|
|
S.L.GUPTA & CO.
(Sub-Broker of
DSE FINANCIAL SERVICES LTD.
, Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF SKYWEB INFOTECH LTD. AND SUNSHINE CAPITAL LTD.
ALLEGED VIOLATION OF CLAUSES A(1) , (3) AND (4) OF CODE OF CONDUCT FOR STOCK BROKERS AS CONTAINED IN SCHEDULE II READ WITH REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS SUB-BROKER)
19-MAY-2009
|
|
| 13 |
|
|
SAI BROKING
(PAN:ACKPN1415A)
|
|
|
|
ANANDHI P.NAIG
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIPS OF BSEL INFRASTRUCTURE REALTY LTD. AND MAHARASHTRA SEAMLESS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 15 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) REGULATIONS, 1992 IN MATTER OF BSEL INFRASTRUCTURE REALTY LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-JUN-2011
|
|
| 14 |
|
|
SARJAN SECURITIES PVT.LTD.
(Sub-Broker of
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
, Member : BSE)
|
|
|
ALLEGED INDULGENCE IN BACK DATING AND FALSIFICATION OF CONTRACT NOTES, BILLS AND BOOKS OF ACCOUNTS ETC IN RESPECT OF OFF-MARKET TRANSACTIONS IN SCRIP OF TATA FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
14-NOV-2008
|
|
| 15 |
|
|
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
|
|
| 16 |
|
|
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. |
